[Federal Register Volume 67, Number 25 (Wednesday, February 6, 2002)]
[Proposed Rules]
[Pages 5542-5548]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-2758]


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NATIONAL ARCHIVES AND RECORDS ADMINISTRATION

36 CFR Part 1206

RIN 3095-AA93


National Historical Publications and Records Commission Grant 
Regulations

AGENCY: National Archives and Records Administration (NARA).

ACTION: Proposed rule.

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SUMMARY: The proposed rule updates and clarifies the National 
Historical Publications and Records Commission (NHPRC or ``the 
Commission'') regulations using plain language. We are removing 
outdated information, and expanding sections for greater clarity and 
conformity with our current guidelines. This revised regulation applies 
to all NHPRC applicants and grantees.

DATES: Comments are due by April 8, 2002.

ADDRESSES: Comments must be sent to Regulation Comments Desk (NPOL). 
Our postal address is Room 4100, Policy and Communications Staff, 
National Archives and Records Administration, 8601 Adelphi Road, 
College Park, MD 20740-6001, and our fax number is 301-713-7270.You may 
also submit comments via email to [email protected]. If you send an 
email, see Supplementary Information for detailed instructions.

FOR FURTHER INFORMATION CONTACT: Nancy Allard at telephone number 301-
713-7360, ext. 226, or fax number 301-713-7270.

SUPPLEMENTARY INFORMATION: If you send comments via email, please 
submit comments in the body of your message or as an ASCII file 
avoiding the use of special characters and any form of encryption. 
Please also include ``Attn: RIN 3095-AA93'' in the subject line of the 
email and your name and return address in your email message. If you do 
not receive a message confirming that we have received your email, 
contact the Regulation Comment desk at 301-713-7360, ext. 226.
    The terms ``we'', ``I'', and ``our'' as used in this preamble refer 
to NHPRC and ``you'' and ``your'' refer to the reader.
    The NHPRC makes grants to State and local government archives, 
colleges and universities, libraries, historical societies, nonprofit 
organizations, and individuals in the United States to help identify, 
preserve, publish, and provide public access to records, photographs, 
and other materials that document United States history.
    We are proposing the following substantive changes. Delete outdated 
or unnecessary information. Remove the definitions for ``regional'' and 
``national'' projects in Sec. 1206.2 because we no longer use them. 
Update the requirements for subvention grants (proposed Sec. 1206.18) 
to conform to our guidelines, adding the requirement that the grantee 
send ten complimentary copies of the volume to the project director or 
editor in addition to the five copies sent to the NHPRC.
    Remove Sec. 1206.20, Microform publication standards because we no 
longer have our own specifications. We now refer applicants and 
grantees to accepted industry standards. Reduce the number of copies of 
the guides required for microform projects, from five copies to three.
    Add additional information on our relationship with the State 
historical records advisory boards, including a statement that 
recognizes planning as a function of all State boards. Also, in the 
case where there is no active State board in a State, we provide that 
applicants, other than State government agencies, may apply directly to 
the NHPRC. We cite ``The Manual of Suggested Practices for State 
Historical Records Coordinators and State Historical Records Advisory 
Boards'' for additional guidance, replacing ``Guidelines for State 
Historical Records Coordinators and State Historical Records Advisory 
Boards.'' In addition, we specify that either the governor or the State 
coordinator may designate a deputy State historical records 
coordinator.
    Remove the definition for ``combined grants'' because it was 
confusing and redundant. Clarify cost sharing arrangements and 
policies. Expand our explanation of the review and evaluation process.
    This proposed rule is a significant regulatory action for the 
purposes of Executive Order 12866 and has been reviewed by the Office 
of Management and Budget. As required by the Regulatory Flexibility 
Act, I certify that this rule will not have a significant impact on a 
substantial number of small entities. In fiscal year 2000 the NHPRC 
made grants to only 72 organizations and entities as defined in the 
Act, from the 84 applications submitted.

List of Subjects in 36 CFR Part 1206

    Archives and records, Grant programs-education, Reporting and 
recordkeeping requirements.

    For the reasons set forth in the preamble, NARA proposes to revise 
part 1206 of title 36, Code of Federal Regulations to read as follows:

PART 1206--NATIONAL HISTORICAL PUBLICATIONS AND RECORDS COMMISSION

Subpart A--General
Sec.
1206.1  How do you use pronouns in this part?
1206.2  What does this part cover?
1206.3  What terms have you defined?
1206.4  What is the purpose of the Commission?
1206.5  Who is on the Commission?
1206.6  How do you organize the grant program?
1206.8  How do you operate the grant program?
Subpart B--Publications Grants
1206.10  What are the scope and purpose of publications grants?
1206.12  What type of proposal is eligible for a publications grant?
1206.14  What type of proposal is ineligible for a publications 
grant?
1206.16  What are my responsibilities once I have received a 
publications grant?
1206.18  What is a subvention grant, and am I eligible for one?
Subpart C--Records Grants
1206.20  What are the scope and purpose of records grants?
1206.22  What type of proposal is eligible for a records grant?
1206.24  What type of proposal is ineligible for a records grant?
Subpart D--State Historical Records Advisory Boards
1206.30  What is a State historical records advisory board?

[[Page 5543]]

1206.32  What is a State historical records coordinator?
1206.34  What are the duties of the deputy State historical records 
coordinator?
Subpart E--Applying for NHPRC Grants
1206.40  What types of funding and cost sharing arrangements does 
the Commission make?
1206.42  Does the Commission ever place conditions on its grants?
1206.44  Who may apply for NHPRC grants?
1206.46  When are applications due?
1206.48  How do I apply for a grant?
1206.50  What must I provide as a formal grant application?
1206.52  Who reviews and evaluates grant proposals?
1206.54  What formal notification will I receive and will it contain 
other information?
Subpart F--Grant Administration
1206.60  Who is responsible for administration of NHPRC grants?
1206.62  Where can I find the regulatory requirements that apply to 
NHPRC grants?
1206.64  When do I need prior written approval for changes in the 
grant project?
1206.66  How do I obtain written approval for changes in my grant 
project?
1206.68  Are there any changes for which I do not need approval?
1206.70  What reports am I required to make?
1206.72  What is the format and content of the financial report?
1206.74  What is the format and content of the narrative report?
1206.76  What additional materials must I submit with the final 
narrative report?
1206.78  Does the NHPRC have any liability under a grant?
1206.80  Must I acknowledge NHPRC grant support?

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

Subpart A--General


Sec. 1206.1  How do you use pronouns in this part?

    In the section heading questions we use the pronouns ``I'' and 
``my'' to refer to the reader, and ``you'' to refer to the National 
Historical Publications and Records Commission (``NHPRC'' or ``the 
Commission'') as if you, the reader, were asking us, the Commission, 
these questions. In the section body, we use the pronouns ``you'' and 
``yours'' to refer to the reader and ``we'' and ``our'' to refer to the 
Commission as we answer the questions posed.


Sec. 1206.2  What does this part cover?

    This part prescribes the procedures and rules governing the 
operation of the grant program of the National Historical Publications 
and Records Commission.


Sec. 1206.3  What terms have you defined?

    (a) The term Commission means the National Historical Publications 
and Records Commission or the Chairman of the Commission or the 
Executive Director of the Commission, acting on the Commission's 
behalf.
    (b) The term historical records means record material having 
permanent or enduring value regardless of physical form or 
characteristics, including, but not limited to, manuscripts, archives, 
personal papers, official records, maps, audiovisual materials, and 
electronic files.
    (c) In Secs. 1206.30 and 1206.32, the term State means all 50 
States of the Union, plus the District of Columbia, Puerto Rico, the 
U.S. Virgin Islands, Guam, American Samoa, Northern Mariana Islands, 
and the Trust Territories of the Pacific.
    (d) The term State projects means records projects involving 
records or activities directed by organizations operating 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.
    (e) The term cost sharing means the financial contribution the 
applicant pledges to the cost of a project. Cost sharing can include 
both direct and indirect expenses, in-kind contributions, third-party 
contributions, and any income earned directly by the project (e.g., 
registration fees).
    (f) The term direct costs means expenses that are attributable 
directly to the cost of a project, such as salaries, project supplies, 
travel expenses, and equipment rented or purchased for the project.
    (g) The term indirect costs means costs incurred for common or 
joint objectives and therefore not attributable to a specific project 
or activity. Typically, indirect costs include items such as overhead 
for facilities maintenance and accounting services.
    (h) The term board refers to a State historical records advisory 
board.
    (i) The term coordinator means the coordinator of a State 
historical records advisory board.


Sec. 1206.4  What is the purpose of the Commission?

    The National Historical Publications and Records Commission, a 
statutory body affiliated with the National Archives and Records 
Administration, supports a wide range of activities to preserve, 
publish, and encourage the use of primary documentary sources. These 
sources can be in every medium, created with tools ranging from quill 
pen to computer, relating to the history of the United States. Through 
our grant programs, training programs, and special projects, we offer 
advice and assistance to non-Federal, non-profit organizations, 
agencies, and institutions, including Federally-acknowledged or State-
recognized Native American tribes or groups, and to individuals 
committed to the preservation, publication, and use of United States 
documentary resources.


Sec. 1206.5  Who is on the Commission?

    Established by Congress in 1934, the Commission is a 15-member 
body, chaired by the Archivist of the United States and comprised of 
representatives of the three branches of the Federal Government and of 
professional associations of archivists, historians, documentary 
editors, and records administrators.


Sec. 1206.6  How do you organize the grant program?

    We primarily offer grants through a program supporting publications 
projects (Subpart B) and records projects (Subpart C). We also offer 
fellowships for individuals in archival administration and documentary 
editing, as well as an annual institute for the editing of historical 
documents.


Sec. 1206.8  How do you operate the grant program?

    (a) The Executive Director and staff manage the program under 
guidance from the Commission and the immediate administrative direction 
of its chairman, the Archivist of the United States.
    (b) To assure fair treatment of every application, all members of 
the Commission and its staff follow conflict-of-interest rules.
    (c) The purpose and work plan of all NHPRC funded grant projects 
must be in accord with current NHPRC guidelines and funding can be 
released only upon the recommendation of the Commission to the 
Archivist.

Subpart B--Publications Grants


Sec. 1206.10  What are the scope and purpose of publications grants?

    Publications projects are intended to make documentary source 
material that is important to the study and understanding of United 
States history widely available. Historical records must have national 
value and interest.


Sec. 1206.12  What type of proposal is eligible for a publications 
grant?

    We provide support for:
    (a) Documentary editing projects consisting of either the papers of 
a United States leader in a significant phase of life in the United 
States or historical records relating to outstanding

[[Page 5544]]

events or topics or themes of national significance in United States 
history. These projects involve collecting, compiling, transcribing, 
editing, annotating, and publishing, either selectively or 
comprehensively, the papers or historical records.
    (b) Fellowships in historical documentary editing at editorial 
projects supported by the NHPRC.
    (c) Subvention grants to nonprofit presses to help defray 
publication costs of NHPRC-supported or endorsed editions.


Sec. 1206.14  What type of proposal is ineligible for a publications 
grant?

    We do not support:
    (a) Historical research apart from the editing of documentary 
publications; or
    (b) Documentary editing projects to publish the papers of someone 
who has been deceased for fewer than ten years.


Sec. 1206.16  What are my responsibilities once I have received a 
publications grant?

    (a) Printed publications.
    (1) With no subvention grant. You, the project director, must send 
three copies of each book publication to: National Historical 
Publications and Records Commission (NHPRC), National Archives and 
Records Administration, 700 Pennsylvania Avenue, NW., Washington, DC 
20408-0001.
    (2) With subvention grant. You, the publisher, must submit five 
copies of each book publication to the NHPRC at the address in 
paragraph (a)(1) of this section and ten copies to the project director 
or editor. The project director need not provide any copies to the 
NHPRC. (See Sec. 1206.18.)
    (b) Microform publications. For microform projects, you, the 
grantee, must make positive micrographics and all finding aids 
available to institutions, scholars, or students through interlibrary 
loan and for purchase. You must also send three complimentary copies of 
the microform guides and indexes to the NHPRC at the address in 
paragraph (a)(1) of this section.
    (c) Electronic documentary publications. If you publish a 
documentary edition in electronic form, you must produce a copy of the 
edition in an archivally-recognized format for long-term preservation.


Sec. 1206.18  What is a subvention grant, and am I eligible for one?

    (a) A subvention grant is a subsidy of printing costs.
    (b) We use subvention grants to encourage the widest possible 
distribution of NHPRC-supported and endorsed documentary editions and 
the highest archival permanence standards of paper, printing, and 
binding.
    (c) The Commission considers grant applications from nonprofit 
presses for the subvention of part of the costs of manufacturing and 
distributing volumes that we have funded or formally endorsed.
    (d) You, the publisher, must send five complimentary copies to 
NHPRC, and ten complimentary copies to the project director or editor 
for each published volume for which we gave you a subvention grant.

Subpart C--Records Grants


Sec. 1206.20  What are the scope and purpose of records grants?

    Records projects are supported by the National Historical 
Publications and Records Commission to preserve and make available 
State government, local government, and non-government historical 
records of national and State significance for the purpose of 
furthering an understanding and appreciation of United States history.


Sec. 1206.22  What type of proposal is eligible for a records grant?

    We provide support for:
    (a) Locating, preserving and making available records of State, 
local, and other governmental units; and other private collections 
maintained in non-Federal, non-profit repositories and 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;
    (b) Advancing the state of the art in archival and records 
management; and in the long-term maintenance and easy access of 
authentic electronic records;
    (c) Promoting cooperative efforts among institutions and 
organizations in archival and records management;
    (d) Improving the knowledge, performance, and professional skills 
of those who work with historical records; and
    (e) Fellowships in archival administration, a training program in 
various aspects of archival management held at host institutions.


Sec. 1206.24  What type of proposal is ineligible for a records grant?

    We do not support proposals:
    (a) To construct, renovate, furnish, or purchase a building or 
land;
    (b) To purchase manuscripts or other historical records;
    (c) To conserve archaeological artifacts, museum objects, or works 
of art;
    (d) To exhibit archaeological artifacts, museum objects, works of 
art, and documents;
    (e) To acquire, preserve, or describe books, periodicals, or other 
library materials;
    (f) To acquire, preserve, or describe art objects, sheet music, or 
other works primarily of value as works of art or entertainment;
    (g) To support celebrations, reenactments, and other observations 
of historical events.
    (h) To conduct a records project centered on the papers of an 
appointed or elected public official who remains in major office, or is 
politically active, or the majority of whose papers have not yet been 
accessioned into a repository;
    (i) To process historical records, most of which will be closed to 
researchers for more than five years, or not be accessible to all users 
on equal terms, or will be in a repository that denies public access;
    (j) To conduct an arrangement, description, or preservation project 
in which the pertinent historical records are privately owned or 
deposited in an institution subject to withdrawal upon demand for 
reasons other than requirements of law; and
    (k) To conduct an arrangement, description, or preservation project 
involving Federal government records that are:
    (1) In the custody of the National Archives and Records 
Administration (NARA) or an archives officially affiliated with NARA;
    (2) In the custody of another Federal agency; or
    (3) Deposited in a non-Federal institution without an agreement 
authorized by NARA.

Subpart D--State Historical Records Advisory Boards


Sec. 1206.30  What is a State historical records advisory board?

    (a) Each State actively participating in the NHPRC records program 
must adopt an appointment process and appoint a State historical 
records advisory board (the board) consisting of at least seven 
members, including the State historical records coordinator (see 
Sec. 1206.32), who chairs the board, unless otherwise specified in 
State statute or regulation. The board coordinator must provide the 
Commission with a description of the appointment process. A majority of 
the members should have recognizable experience in the administration 
of government records, manuscripts, 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

[[Page 5545]]

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. They may be re-appointed to serve additional terms. 
Preferably their terms should be staggered so that one-third of the 
board is newly appointed or re-appointed each year. If the board is not 
established in State law, members may continue to serve until 
replacements are appointed. The board may adopt standards for 
attendance and may declare membership positions open if those standards 
are not met. The Board should adopt a conflict-of-interest policy, 
unless otherwise provided for in State statute or regulation.
    (b) The board is the central advisory body for historical records 
planning and for Commission-funded records projects carried out within 
the State. The board helps historical records repositories and other 
information agencies coordinate activities within the State. The board 
reviews State records grant proposals for State projects as defined in 
the NHPRC guidelines and makes recommendations to the Commission. The 
board also engages in planning activities by developing, revising, and 
submitting to the Commission priorities for State historical records 
projects following the NHPRC guidelines. The board may also provide 
various other services. For example, it may sponsor and publish surveys 
of the conditions and needs of historical records in the State; solicit 
or develop proposals for projects to be carried out in the State with 
NHPRC grants or regrants; promote an understanding of the role and 
value of historical records; and review the operation and progress of 
projects in the State financed by NHPRC grants.
    (c) The NHPRC will not consider a grant proposal from a State 
government agency until a board is appointed and all appointments are 
current. If an active board is not in place within a State, local 
governments, nonprofit organizations or institutions, and individuals 
within that state may apply directly to the Commission for support.


Sec. 1206.32  What is a State historical records coordinator?

    (a) Appointment. In order to actively participate in the NHPRC 
records program, your governor must appoint a State historical records 
coordinator (coordinator), the full-time professional official in 
charge of the State archival program or agency, unless otherwise 
specified in state statute or regulation. If your State has another 
State government historical agency or agencies with archival and/or 
records responsibilities, the official(s) in charge of at least one of 
these must be a member of the State historical records advisory board 
(board).
    (b) Duties. 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 will be the central coordinating officer 
for the historical records grant program in the State and should serve 
as chair of the board unless otherwise specified in the State statute 
or regulation. The coordinator is not deemed to be an official or 
employee of the Federal Government and will receive no Federal 
compensation for such service. The ``Manual of Suggested Practices 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. For a copy, write to NHPRC, National Archives 
and Records Administration, 700 Pennsylvania Avenue NW., Washington, DC 
20408-0001, or contact us by email at [email protected].
    (c) Replacement. 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 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 will 
serve until the governor appoints a coordinator in order to conduct the 
necessary business of the board.


Sec. 1206.34  What are the duties of the deputy State historical 
records coordinator?

    The governor or coordinator may designate a deputy State historical 
records coordinator to assist in carrying out the duties and 
responsibilities of the coordinator and to serve as an acting 
coordinator at the coordinator's direction or upon the coordinator's 
resignation or other inability to serve.

Subpart E--Applying for NHPRC Grants


Sec. 1206.40  What types of funding and cost sharing arrangements does 
the Commission make?

    (a) Types of grants.
    (1) Matching grant. A matching grant is a way to demonstrate shared 
Federal/non-Federal support for projects. We will only match funds 
raised from non-Federal sources, either monies provided by the 
applicant's own institution specifically for the project or from a non-
Federal third-party source.
    (2) Outright grant. Outright grants are those awards we make 
without any matching component.
    (b) Cost sharing arrangements.
    (1) For publications projects that first received NHPRC funding 
prior to 1992, the Commission will supply as much as 75 percent of the 
direct costs.
    (2) For publications projects funded after 1992, the Commission 
will provide no more than 50 percent of direct costs. We will give 
preference to projects for which the sponsoring institution bears at 
least 25 percent of the direct costs. For short-term (i.e., 3 years or 
less) publications projects, we will give preference to applicants that 
provide at least 50 percent of the project's total direct and indirect 
costs.
    (3) For records projects, the Commission will give preference to 
projects in which the applicants provide at least 50 percent of the 
project's total direct and indirect costs.
    (4) We prefer the applicant cover indirect costs through cost 
sharing.


Sec. 1206.42  Does the Commission ever place conditions on its grants?

    In making its decisions on grants, the Commission may place certain 
conditions on its grants. We describe those possible conditions in the 
booklet Grant Guidelines: How to Apply for NHPRC Grants, How to 
Administer NHPRC Grants. For a copy, write to NHPRC, National Archives 
and Records Administration, 700 Pennsylvania Avenue NW., Washington, DC 
20408-0001, or contact us by email at [email protected].


Sec. 1206.44  Who may apply for NHPRC grants?

    The Commission will consider applications from State and local 
government agencies (Federal agencies are not eligible to apply), U.S. 
non-profit organizations and institutions, including institutions of 
higher education, Federally acknowledged or state-recognized Native 
American tribes or groups, United States citizens applying as 
individuals rather than for an organization, and State historical 
records advisory boards. Most NHPRC grants to individuals are awarded 
under its fellowship programs. In general, we prefer projects operating 
within a host institution.


Sec. 1206.46  When are applications due?

    The Commission generally meets twice a year, and we consider grant 
proposals during our meetings. For current application deadlines 
contact the NHPRC staff or your State historical records coordinators 
(for records grant proposals). Some State boards have

[[Page 5546]]

established pre-submission review deadlines for records proposals; 
further information is available from your State coordinator(s). We 
will publish deadlines once a year in the Federal Register. All 
proposals must be postmarked by those deadlines.


Sec. 1206.48  How do I apply for a grant?

    (a) Contact the NHPRC staff. We encourage you to discuss your 
proposal through correspondence, by phone, or in person with Commission 
staff and/or, in the case of records proposals, with the appropriate 
State historical records coordinator before you submit the proposal and 
at all stages of your proposal's development.
    (b) Contact your State Historical Records Advisory Board.
    (1) Contact is not necessary if:
    (i) Your proposal is for documentary editing and publication 
subvention projects;
    (ii) You are a Native American applicant; or
    (iii) Your project will largely take place in more than one state.
    (2) Staff contacts and a list of State historical records 
coordinators may be found on our Web site at http://www.nara.gov/nhprc.


Sec. 1206.50  What must I provide as a formal grant application?

    You must submit the following materials as part of your grant 
application:
    (a) Application forms. You can obtain copies of the following 
application forms from the Commission:

------------------------------------------------------------------------
   If you are an applicant for . . .        Then you must submit . . .
------------------------------------------------------------------------
(1) NHPRC publication and records        ``Application for Federal
 grants.                                  Assistance'' (Standard Form
                                          424) and ``Budget Form'' (NA
                                          Form 17001; OMB Control Number
                                          3095-0004);
(2) Subvention grants..................  NHPRC subvention grant
                                          application (OMB Control
                                          Number 3095-0021),
                                          ``Application for Federal
                                          Assistance'' (Standard Form
                                          424) and ``Budget Form'' (NA
                                          Form 17001);
(3) Archival or historical documentary   NHPRC ``Application for Host
 editing fellowship host institutions.    Institutions of Archival
                                          Administration or Historical
                                          Documentary Editing
                                          Fellowships'' (OMB Control
                                          Number 3095-0015)
(4) NHPRC-sponsored fellowships........  ``Application for Archival
                                          Administration or Historical
                                          Documentary Editing
                                          Fellowships'' (OMB Control
                                          Number 3095-0014);
(5) NHPRC-sponsored editing institute..  ``Application for Attendance at
                                          the Institute for the Editing
                                          of Historical Documents'' (OMB
                                          Control Number 3095-0012).
------------------------------------------------------------------------

    (b) Assurances and certifications. You must submit the following 
assurances and certifications, signed by an authorized representative 
of your institution, or if you are an individual applicant, by you:
    (1) ``Assurances--Non-Construction Programs'' (Standard Form 424B).
    (2) ``Certification Regarding Lobbying; Debarment, Suspension and 
Other Responsibility Matters; and Drug-free Workplace Requirements.''
    (c) Project summary. You must submit a project summary. A 
description of the project summary is found in the booklet Grant 
Guidelines: How to Apply for NHPRC Grants, How to Administer NHPRC 
Grants that is available from the NHPRC and from State historical 
records coordinators.
    (d) List of performance objectives. You must list in the proposal 
from four to seven quantifiable objectives by which the project can be 
evaluated following the submission of the final report and the closing 
of the grant. NHPRC evaluates the project to determine whether it 
produces the results promised in grant applications.
    (e) Submission requirements. Send the original, signed copy of your 
application to the NHPRC, National Archives and Records Administration, 
700 Pennsylvania Avenue, NW., Washington, DC 20408-0001. Your properly 
completed application and any materials you send with it (such as 
pamphlets and photographic prints) will not be returned to you. 
Additional copies must be sent as follows:

------------------------------------------------------------------------
     If you are applying for . . .           Then you must send . . .
------------------------------------------------------------------------
(1) A documentary editing project that   Two additional copies to the
 has previously been supported by the     NHPRC;
 Commission.
(2) A subvention grant.................  Two additional copies to the
                                          NHPRC;
(3) A new documentary editing project..  Two additional copies to the
                                          NHPRC;
(4) A records grant and you are a        Two additional copies to the
 Native American applicant.               NHPRC;
(5) A records that is being done in a    One additional copy to the
 state where there is a State             NHPRC and one copy to the
 historical records advisory board.       State historical records
                                          coordinator. In order to help
                                          facilitate the review process,
                                          however, it is recommended a
                                          state where that applicants
                                          send a copy for each member of
                                          the state board;
(6) A records grant whose work will      Two additional copies to the
 take place in more than one State.       NHPRC.
------------------------------------------------------------------------

Sec. 1206.52  Who reviews and evaluates grant proposals?

    (a) State boards. State historical records advisory boards evaluate 
records proposals on technical merits as well as on their relation to 
State-plan priorities. The board can return proposals it finds 
inappropriate or incomplete, with recommendations for revision, on 
which we will not act unless the applicant submits a revision for 
consideration in a later cycle. The Board may also recommend that the 
Commission reject the proposal.
    (b) Peer reviewers. The NHPRC asks from five to ten external peer 
reviewers, some of whom may be selected from a list provided by you, to 
evaluate the proposal if the proposal:
    (1) Requests NHPRC funds of $75,000 or more;
    (2) Requests a grant period of two years or more;
    (3) Involves complex technological processes and issues with which 
the NHPRC staff may be unfamiliar;
    (4) Is a resubmission that the NHPRC invited; or
    (5) Is not reviewed by a State historical records advisory board.
    (c) Other reviewers. We may subject on-going documentary editions 
to

[[Page 5547]]

special review by NHPRC staff and outside specialists, particularly 
when:
    (1) You propose to change the project director/editor;
    (2) Your sponsoring institution encounters difficulties or you 
propose a change in that institution;
    (3) Your major search for materials has been completed;
    (4) Your project finishes publication in one medium and plans to 
begin publication in another; or
    (5) You change your project's estimate of quantity of publications 
and/or time needed to complete the project.
    (d) NHPRC staff. NHPRC staff will analyze the reviewer's comments, 
State board evaluations, the appropriateness of the project toward 
Commission goals, the proposal's completeness and conformity to 
application requirements. The staff will, through a questions letter to 
you, raise important issues or concerns and allow you the opportunity 
to respond. The staff will then make recommendations to the Commission.
    (e) The Commission. After individually reviewing the proposal and 
recommendations on it from State boards, peer reviewers, and NHPRC 
staff, Commission members will deliberate on all eligible proposals and 
recommend to the Archivist of the United States what action to take on 
each (fund, partially fund, endorse, reject, resubmit, etc.). By 
statute the Archivist chairs the Commission and has final authority to 
make or deny a grant.


Sec. 1206.54  What formal notification will I receive, and will it 
contain other information?

    (a) The grant award document is a letter from the Archivist of the 
United States to you, the grantee. The letter and attachments specify 
terms of the grant. NHPRC staff notifies project directors informally 
of awards and any conditions soon after the Commission recommends the 
grant to the Archivist of the United States. Unsuccessful applicants 
will be notified within two weeks by letter.
    (b) The grant period begins and ends on the dates specified in the 
award document. Grant periods must begin on the first day of a month 
and end on the last day of a month.

Subpart F--Grant Administration


Sec. 1206.60  Who is responsible for administration of NHPRC grants?

    The grantee institution and the project director designated by the 
institution share primary responsibility for the administration of 
grants. In the case of grants made to individuals, the individual named 
as project director has primary responsibility for the administration 
of the grant.


Sec. 1206.62  Where can I find the regulatory requirements that apply 
to NHPRC grants?

    (a) In addition to this part 1206, NARA has issued other 
regulations that apply to NHPRC grants in 36 CFR ch. XII, subchapter A. 
NARA also applies the principles and standards in the following Office 
of Management and Budget (OMB) Circulars for NHPRC grants:
    (1) OMB Circular A-21, ``Cost Principles for Educational 
Institutions'';
    (2) OMB Circular A-87, ``Cost Principles for State, Local and 
Indian Tribal Governments'';
    (3) OMB Circular A-122, ``Cost Principles for Non-Profit 
Organizations''; and
    (4) OMB Circular A-133, ``Audits of States, Local Governments, and 
Non-Profit Organizations.''
    (b) These regulations and circulars are available on our web site 
at www.nara.gov/nhprc. Our regulations may also be found at http://www.nara.gov/nara/cfr/subch-a.html, and OMB Circulars at http://www.whitehouse.gov/omb/grants/.
    (c) Additional policy guidance related to Title VI of the Civil 
Rights Act of 1964, regarding persons with limited English proficiency, 
is provided in our guidelines.


Sec. 1206.64  When do I need prior written approval for changes to the 
grant project?

    You must obtain prior written approval from the Commission for any 
changes in the grant project and terms of the grant, including:
    (a) Revising the scope or objectives of the project;
    (b) Changing the project director or other key project personnel 
who are specifically named in the grant application or award or related 
correspondence;
    (c) Contracting out, sub-granting, 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;
    (d) Changing the beginning date of the grant or extending the grant 
period;
    (e) Re-budgeting of grants of $100,000 or more, when cumulative 
transfers among direct cost categories total more than 10 percent of 
the total project budget (i.e., grant funds plus other funds). With 
written approval from the Executive Director of the Commission, 
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; and
    (f) Creating the following new cost categories:

------------------------------------------------------------------------
                                         When your new cost category was
  You must obtain approval from . . .       not in the final approved
                                                budget where . . .
------------------------------------------------------------------------
(1) The Executive Director of the        (i) such action seems
 Commission or the Executive Director's   appropriate for the
 designee.                                fulfillment of the original
                                          purposes of the grant; and
                                         (ii) the amount of funds
                                          involved does not exceed 10
                                          percent of the amount of the
                                          award, or $5,000, whichever is
                                          less.
(2) The full Commission................  The amount of funds involved
                                          exceeds the amount in
                                          paragraph (f)(1)(ii) of this
                                          section.
------------------------------------------------------------------------

Sec. 1206.66  How do I obtain written approval for changes in my grant 
project?

    (a) You must make all requests for changes in the form of a letter. 
The grant-receiving institution's authorized representative, as 
indicated on the grant application form (SF 424), must sign the letter. 
The signed, written response of the Commission's Executive Director, or 
the Executive Director's designee, will constitute approval for the 
change.
    (b) You must make requests for extension of the grant period not 
more than two months before the scheduled end of the grant period. We 
will not allow extensions unless you are up-to-date in your submission 
of financial and narrative reports.


Sec. 1206.68  Are there any changes for which I do not need approval?

    You do not need approval for re-budgeting of grants of less than 
$100,000. For such grants:
    (a) You may adjust the amounts allocated to existing budget lines 
for both grant funds and cost sharing;

[[Page 5548]]

    (b) You 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; and
    (c) You may also shift cost-sharing funds among existing cost-
sharing categories.


Sec. 1206.70  What reports am I required to make?

    (a) Grant recipients are generally required to submit annual 
financial status reports and semi-annual narrative progress reports, as 
well as final financial and narrative reports at the conclusion of the 
grant period. The grant award document will specify the dates your 
reports are due.
    (b) Send the original reports to the NHPRC, National Archives and 
Records Administration, 700 Pennsylvania Avenue NW., Washington, DC 
20408-0001. One copy of each records project narrative report must be 
sent to the State historical records coordinator if the board reviewed 
the proposal. Other records projects should send courtesy copies of 
narrative reports to State coordinators whose States are involved in or 
affected by the project. Provide the names of individuals to whom 
copies of the report have been sent when submitting the original report 
to the NHPRC.


Sec. 1206.72  What is the format and content of the financial report?

    You must submit financial reports on Standard Form 269 and have 
them signed by the grantee's authorized representative or by an 
appropriate institutional fiscal officer. If cost sharing figures are 
20 percent less than anticipated in the project budget you must explain 
the reason for the difference.


Sec. 1206. 74  What is the format and content of the narrative report?

    (a) Interim narrative reports should summarize briefly the 
objectives and activities for the entire grant and then focus on those 
accomplished during the reporting period. The report should include a 
summary of project activities; whether the project proceeded on 
schedule; any revisions of the work plan, staffing pattern, or budget; 
and any web address created by the project. It should include an 
analysis of the goals met during the reporting period and any goals for 
the period that were not accomplished. For documentary editing 
projects, it also must include information about the publication of 
volumes and the completion of finding aids, as well as any work that is 
pending with publishers.
    (b) The final report must provide a detailed assessment of the 
project, following the format in paragraph (a) of this section, 
including whether the goals set in the original proposal were 
realistic; whether there were unpredicted results or outcomes; whether 
the project encountered unexpected problems and how you faced them; and 
how you could have improved the project. You must discuss the project's 
impact, if any, on the grant-receiving institution and others. You must 
indicate whether all or part of the project activities will be 
continued after the end of the grant, whether any of these activities 
will be supported by institutional funds or by grant funds, and if the 
NHPRC grant was instrumental in obtaining these funds.
    (c) The project director must sign narrative reports.


Sec. 1206.76  What additional materials must I submit with the final 
narrative report?

    (a) For records-related projects, you are required to send the 
NHPRC three copies of any finding aids, reports, manuals, guides, 
forms, articles about the project, and other materials produced about 
or based on the grant project at the time that the final narrative 
report is submitted.
    (b) Documentary editing projects must send the NHPRC three copies 
of any book edition unless support for their publication was provided 
by an NHPRC subvention grant. For those volumes, presses rather than 
projects are responsible for submitting the required number of volumes 
(see Sec. 1206.18(d)). Projects with microform editions must send the 
NHPRC three copies of the microform guides and indexes produced by the 
project.


Sec. 1206.78  Does the NHPRC have any liability under a grant?

    No, the National Archives and Records Administration (NARA) and the 
Commission cannot assume any liability for accidents, illnesses, or 
claims arising out of any work undertaken with the assistance of the 
grant.


Sec. 1206.80  Must I acknowledge NHPRC grant support?

    Yes, grantee institutions, grant project directors, or grant staff 
personnel may publish results of any work supported by an NHPRC grant 
without review by the Commission; however, publications or other 
products resulting from the project must acknowledge the assistance of 
the NHPRC grant.

    Dated: October 17, 2001.
John W. Carlin,
Archivist of the United States.
[FR Doc. 02-2758 Filed 1-29-02; 8:45 am]
BILLING CODE 7515-01-U