[Federal Register Volume 75, Number 208 (Thursday, October 28, 2010)]
[Rules and Regulations]
[Pages 66316-66319]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2010-27282]



[[Page 66316]]

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NATIONAL ARCHIVES AND RECORDS ADMINISTRATION

36 CFR Part 1206

[FDMS Docket NARA-10-0001]
RIN 3095-AB67


National Historical Publications and Records Commission Grants

AGENCY: National Historical Publications and Records Commission, NARA.

ACTION: Final rule.

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SUMMARY: The National Historical Publications and Records Commission 
(NHPRC), National Archives and Records Administration (NARA), is 
amending its regulations by removing individual eligibility for NHPRC 
grants, changing the time for posting of grant opportunity 
announcements from four to three months before the application 
deadline, and reflecting the new Office of Management and Budget (OMB) 
requirement to use Standard Form (SF) 425, Federal Financial Report. 
These actions are necessary updates to our business processes and are 
intended to allow us greater flexibility to respond to changing needs 
and a simplified financial reporting form and process. This final rule 
also adjusts the order and format of the definitions section for 
consistency with other NARA regulations, and makes minor typographical 
changes for clarity and consistency.

DATES: This rule is effective November 29, 2010.

FOR FURTHER INFORMATION CONTACT: Lucy Barber, Deputy Executive 
Director, National Historical Publications and Records Commission, 
National Archives and Records Administration, 700 Pennsylvania Avenue, 
NW., Room 106, Washington, DC 20408-0001, 202-357-5306.

SUPPLEMENTARY INFORMATION: On April 7, 2010, NARA published a proposed 
rule (75 FR 17638) for revisions to the regulations on the National 
Historical Publications and Records Commission. Some of the revisions 
were required by regulatory changes from the Office of Management and 
Budget; others proposed changes to eligible applicants and the required 
posting period for grant announcements before grant deadlines. We 
received five formal comments from individuals on the proposed changes. 
We are also responding to one comment made on a public blog Web site 
regarding individual applicants although we normally would not respond 
to comments that are made outside the formal comment process. We simply 
cannot monitor all possible ways people could make comments, including 
public blogs, so cannot be responsible for knowing about, or 
addressing, comments that are made outside the designated methods. In 
this case, however, the comment was brought to our attention and 
because it concerned a comment already raised through the formal 
process, we included it in our responses.
    Of the comments we received, one commentator supported all the 
changes. Two individuals were concerned about changing the period for 
public notification of grant opportunities from four to three months 
prior to application deadlines. They commented that applicants wanted 
as much time as possible to prepare applications.
    NARA will continue to post NHPRC grant opportunities in as timely a 
manner as possible to ensure that applicants have sufficient time to 
prepare their application packages. NARA notes that before any public 
posting can take place, the Commission must review and approve all 
grant opportunity announcements at its scheduled meetings. This ensures 
that the Commission members review overall funding priorities and offer 
grant programs that reflect those priorities. Given this requirement, 
the Commission has found that a four-month posting requirement has 
reduced its ability to initiate new grant programming in a timely and 
effective manner and is seeking a three-month public posting period in 
order to provide flexible and responsive grant programs. We have 
checked the grant posting periods for comparable federal agencies and 
programs, and we have found two to three months to be a typical time 
frame between grant postings and grant application deadlines. NARA will 
retain our proposed change to three months for its NHPRC grant 
opportunity postings.
    The other two respondents commented on the proposal to no longer 
allow individuals to apply for NHPRC grants. In addition, on a public 
blog, a member of the public raised objections on this issue. 
Currently, the only program for which individual applicants are 
eligible is the Publishing Historical Records grant program. One 
respondent and the blog commenter felt that the overall decline in 
institutional support for research increased the need for the NHPRC to 
support independent scholars, despite any practical challenges 
associated with such grants. The other commenter supported the proposed 
change, noting that the administration of grants has become far more 
complex in recent years. In addition, he noted that projects funded in 
Publishing Historical Records often take decades to complete and 
require technological infrastructure rarely available to an independent 
scholar.
    NARA considered the comments carefully. The Publishing Historical 
Records grant program is highly competitive and requires that all 
applicants have the ability to meet the Commission's substantial 
requirements for project cost-sharing and sustainability. NARA believes 
that some form of institutional support for publishing projects ensures 
that individual scholars have a better chance of meeting the grant 
requirements, particularly for projects of the scope involved in 
Publishing Historical Records. In the last five years, the Commission 
has found no proposals from independent scholars that have met the 
requirements for funding. However, the Commission has seen independent 
scholars partner with academic institutions to meet these requirements. 
We anticipate that this practice will continue in the future. We also 
hope that this change will make grant options less confusing for 
individuals who are seeking federal awards for activities entirely 
unrelated to the mission of the NHPRC who regularly contact us for 
individual support. NHPRC staff members currently spend considerable 
time redirecting these individuals to more appropriate venues. For both 
of these reasons, NARA therefore will implement the proposed change.
    We have made two additional changes to the final rule; the 
revisions were made in response to two regulatory changes that occurred 
since publication of the proposed rule. The revisions are the inclusion 
of additional OMB regulatory requirements that apply to NHPRC grants 
and are found in Sec.  1206.72(a)(1), 2 CFR Part 25 Universal 
Identifier and Central Contractor Registration, and Sec.  1206.72(a)(2) 
2 CFR Part 170 Reporting Subaward and Executive Compensation 
Information. Because these revisions became mandatory after the comment 
period for the proposed rule and are required after October 1, 2010, we 
have included them in the final rule.
    This final rule is not a significant regulatory action for the 
purposes of Executive Order 12866. As required by the Regulatory 
Flexibility Act, it is hereby certified that this rule will not have a 
significant impact on small entities. This rule is not a major rule as 
defined in 5 U.S.C. Chapter 8, Congressional Review of Agency 
Rulemaking.

[[Page 66317]]

List of Subjects in 36 CFR Part 1206

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


0
For the reasons stated in the preamble, NARA amends Title 36 of the 
Code of Federal Regulations, Part 1206, as follows:

PART 1206--NATIONAL HISTORICAL PUBLICATIONS AND RECORDS COMMISSION

0
1. The authority citation for part 1206 continues to read as follows:

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

Subpart A--[Amended]


Sec.  1206.1  [Removed]

0
2. Section 1206.1 is removed.


Sec.  1206.2  [Redesignated as Sec.  1206.1]

0
3. Redesignate Sec.  1206.2 as Sec.  1206.1

0
4. Revise Sec.  1206.3 to read as follows:


Sec.  1206.3  What definitions apply to the regulations in Part 1206?

    As used in Part 1206:
    Board refers to a State historical records advisory board.
    Commission (see NHPRC).
    Coordinator means the coordinator of a State historical records 
advisory board.
    Cost sharing means the financial contribution the applicant pledges 
toward the total cost of a project. Cost sharing can include both 
direct and indirect expenses, contributions provided by the applicant 
or by third parties as in-kind or cash contributions, and any income 
earned directly by the project.
    Direct costs means expenses that are attributable directly to the 
cost of a project, such as salaries, project supplies, travel expenses, 
equipment rented or purchased for the project, or services procured for 
the project.
    Grant opportunity announcement refers to a document published on 
the NHPRC Web site and at http://www.grants.gov that describes a type 
of grant offered, eligibility requirements, and application 
instructions.
    Guidance refers to a non-binding document published on the NHPRC 
Web site to clarify or explain Commission policy or to provide 
procedural details.
    Historical records means documentary material having permanent or 
enduring value, including manuscripts, personal papers, official 
records, maps, audiovisual materials, and electronic files.
    Historical records repository means organizations whose mission is 
to acquire, preserve, and promote the use of historical records. They 
include archives, special collections, museums, and historical 
societies.
    Indirect costs means costs incurred for common or joint objectives 
of an applicant's organization and therefore not attributable to a 
specific project or activity. Typically, indirect costs include items 
such as overhead for facilities maintenance and accounting services.
    NHPRC means members of the National Historical Publications and 
Records Commission acting as a body.
    NHPRC staff refers to the Executive Director and the staff of the 
Commission or the Executive Director of the Commission.
    State, in Sec. Sec.  1206.40 through 1206.42, means all 50 States 
of the Union, plus the District of Columbia, Puerto Rico, the U.S. 
Virgin Islands, Guam, American Samoa, and the Commonwealth of the 
Northern Mariana Islands.
    The Manual of Suggested Practices refers to ``The Manual of 
Suggested Practices for State Historical Records Advisory Boards.'' It 
is a type of guidance.


0
5. Revise Sec.  1206.4 to read as follows:


Sec.  1206.4  What is the purpose of the Commission?

    The National Historical Publications and Records Commission (NHPRC 
or Commission), a statutory body affiliated with the National Archives 
and Records Administration (NARA), supports a wide range of activities 
to preserve, publish, and encourage the use of primary documentary 
sources. Through the NHPRC's grant programs, training programs, and 
special projects, the Commission offers advice and assistance to State 
and local government agencies, non-Federal nonprofit organizations and 
institutions, and Federally-acknowledged or state-recognized Native 
American tribes or groups committed to the preservation, publication, 
or use of United States documentary resources.

0
6. Amend Sec.  1206.8 by revising paragraphs (b), (d), and (e) to read 
as follows:


Sec.  1206.8   How do you operate the grant program?

* * * * *
    (b) The Commission establishes grant program priorities as 
reflected in its grant opportunity announcements and, from time-to-
time, issues non-binding, clarifying guidance documents through the 
NHPRC Web site.
* * * * *
    (d) The purpose and work plan of all NHPRC-funded grant projects 
must be in accord with current Commission program guidance as reflected 
in the grant opportunity announcements.
    (e) The Commission makes funding recommendations to the Archivist 
of the United States, who has the authority to award grants.

0
7. Amend Sec.  1206.10 by revising paragraphs (b) and (c) to read as 
follows:


Sec.  1206.10  How do you make grant opportunities known?

* * * * *
    (b) The NHPRC staff prepares grant opportunity announcements 
consisting of all information necessary to apply for each grant and 
publishes the announcements on the NHPRC Web site (http://www.archives.gov/nhprc) at least three months before the final 
application due date.
    (c) The NHPRC staff publishes notice of each announcement on http://www.grants.gov, a Federal government Web site widely available to the 
public, at least three months before the final application due date.

0
8. Amend Sec.  1206.12 by revising paragraph (a) to read as follows:


Sec.  1206.12  What are my responsibilities once I have received a 
grant?

    (a) Comply with all Federal regulations about grants administration 
that are contained in Sec.  1206.72.
* * * * *

Subpart B--[Amended]

0
9. Amend Sec.  1206.24 by revising paragraph (a) introductory text to 
read as follows:


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

    (a) The Commission does not support:
* * * * *

Subpart C--[Amended]

0
10. Amend Sec.  1206.32 by revising paragraphs (a) and (b) introductory 
text to read as follows:


Sec.  1206.32  What type of proposal is eligible for a records grant?

    (a) The Commission provides grants to historical records 
repositories for locating, preserving and encouraging use of records 
held by State, local, and other governmental units and private archives 
and collections of papers maintained in non-Federal, nonprofit 
repositories and special collections

[[Page 66318]]

relating to the study of American history.
    (b) The Commission provides support to historical records 
repositories and other institutions for:
* * * * *

0
11. Amend Sec.  1206.34 by revising the introductory text to read as 
follows:


Sec.  1206.34  What type of proposal is ineligible for a records grant?

    In addition to other programmatic limitations established by the 
Commission as found in the grant opportunity announcements, NHPRC does 
not support proposals:
* * * * *

Subpart D--[Amended]

0
12. Amend Sec.  1206.40 by revising paragraph (a) to read as follows:


Sec.  1206.40  What is a State records program?

    (a) Each State is eligible to receive NHPRC grants to support the 
work of the State historical records advisory board (board); to operate 
statewide historical records services; and to make sub-grants to 
eligible organizations within the State in support of historical 
records activities.
* * * * *

0
13. Amend Sec.  1206.41 by revising paragraphs (a) and the first and 
last sentence of paragraph (b) as follows:


Sec.  1206.41  What is a State historical records advisory board and 
how is it constituted?

    (a) Responsibilities. The board is the central advisory body for 
historical records coordination within the State and for NHPRC State 
and local records projects within the State. The board engages in 
planning; it develops, revises, and submits to the Commission a State 
plan including priorities for State historical records projects 
following ``The Manual of Suggested Practices.'' The board reviews all 
State and local records projects within the State and makes 
recommendations for State projects to the Commission.
    (b) * * * Each State participating in the NHPRC State program must 
adopt an appointment process and appoint a board following ``The Manual 
of Suggested Practices.'' * * * 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.


0
14. Amend Sec.  1206.42 by revising paragraphs (a), the first two 
sentences of paragraph (b), and paragraph (c) to read as follows:


Sec.  1206.42  What is a State coordinator?

    (a) Duties. The State coordinator (coordinator) is the officer 
responsible for the NHPRC State program. He or she reports the State 
board appointment process, membership and recommendations to the NHPRC 
at least on an annual basis and may serve as chair of the board and may 
perform other duties following applicable State statute or regulation 
and ``The Manual of Suggested Practices.''
    (b) * * * The coordinator should be the full-time professional 
official in charge of the State archival program or agency, unless 
otherwise specified in State statute or regulation. The coordinator 
serves ex officio, unless otherwise specified in State statute or 
regulation. * * *
    (c) Replacement. In the absence of a deputy coordinator, the State 
board may select an acting coordinator until another coordinator is 
appointed, in order to conduct the necessary business of the board.


Sec.  1206.43  [Amended]

0
15. Amend Sec.  1206.43 by capitalizing the ``S'' in the word ``State'' 
in the heading and in the text.


0
16. Revise Sec.  1206.44 to read as follows:


Sec.  1206.44  Who is eligible for sub-grants?

    All organizations located within a State that has an active State 
historical records board and entities defined in Sec.  1206.54 may be 
eligible, as determined by the board.


0
17. Amend Sec.  1206.45 by revising the heading and paragraphs (a)(1), 
(b), and (c) to read follows:


Sec.  1206.45  What rules govern sub-grant distribution, cost sharing, 
grant administration, and reporting?

    (a) * * *
    (1) The distribution of re-grant funds;
* * * * *
    (b) Each participating State is responsible for ensuring that the 
sub-grantees comply with Federal grant administration and reporting 
requirements.
    (c) Each participating State must annually prepare a report to the 
NHPRC on its sub-grant program, following the requirements outlined in 
Sec.  1206.80.

Subpart E--[Amended]

0
18. Amend Sec.  1206.50 by revising the first two sentences of 
paragraph (a)(1) to read as follows:


Sec.  1206.50  What types of funding and cost sharing arrangements does 
the Commission make?

    (a) * * *
    (1) * * * A matching grant is a Federal grant awarded only after 
the applicant raises its share of non-Federal support for a project. We 
will match only 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. * * *
* * * * *


Sec.  1206.52  [Amended]

0
19. Amend Sec.  1206.52 by removing the words ``We describe'' from the 
second sentence and adding in their place the words ``The Commission 
describes''.


0
20. Revise Sec.  1206.54 to read as follows:


Sec.  1206.54  Who may apply for NHPRC grants?

    The Commission will consider applications from State government 
agencies in States where there is an active board; local government 
agencies; United States nonprofit organizations and institutions, 
including institutions of higher education; or Federally-acknowledged 
and State-recognized American Indian tribes or groups.


0
21. Revise Sec.  1206.56 to read as follows:


Sec.  1206.56  When are applications due?

    The Commission generally meets twice a year, and considers grant 
proposals submitted by the deadlines set by the Commission. The 
deadlines are published in each grant opportunity announcement and at 
http://www.grants.gov. All proposals must be submitted by the published 
deadline.


0
22. Amend Sec.  1206.58 by revising paragraphs (a), (b) introductory 
text, (b)(1)(i), (b)(1)(ii), and (b)(2), and by removing paragraphs 
(b)(1)(iii) and (b)(3).
    The revisions read as follows:


Sec.  1206.58  Whom may I contact about applying for a grant?

    (a) Contact the NHPRC staff. The Commission encourages you to 
discuss your proposal through correspondence, by phone, or in person 
with NHPRC staff.
    (b) Contact your State Historical Records Advisory Board as 
appropriate. NHPRC encourages you to discuss your proposal with your 
State historical records coordinator at all stages of your proposal's 
development and before you submit the proposal.
    (1) * * *

[[Page 66319]]

    (i) Your proposal is for publications or subvention projects; or
    (ii) You are an American Indian tribe.
    (2) You will find the staff contacts and a list of State historical 
records coordinators on the Commission's Web site at http://www.archives.gov/nhprc.


Sec.  1206.60  [Amended]

0
23. Amend Sec.  1206.60 in the first sentence by removing the word 
``Web'' and adding in its place the word ``web''.


0
24. Revise Sec.  1206.64(a) to read as follows:


Sec.  1206.64  What formal notification will I receive, and will it 
contain other information?

    (a) Successful grant applicants will receive a formal grant award 
document. The document and attachments specify terms of the grant. 
NHPRC staff notifies project directors informally of awards and any 
conditions soon after the Archivist approves the grants.
* * * * *

Subpart F--[Amended]


Sec.  1206.70  [Amended]

0
25. Amend Sec.  1206.70 by removing the second sentence.


0
26. Amend Sec.  1206.72 by revising paragraph (a) to read as follows:


Sec.  1206.72  What are, and 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 Parts 1200 to 1212 and 
2 CFR Part 2600. NARA also applies the principles and standards in the 
following regulations and Office of Management and Budget (OMB) 
Circular for NHPRC grants:
    (1) 2 CFR Part 25 Universal Identifier and Central Contractor 
Registration;
    (2) 2 CFR Part 170 Reporting Subaward and Executive Compensation 
Information;
    (3) 2 CFR Part 220 Cost Principles for Educational Institutions 
(OMB Circular A-21);
    (4) 2 CFR Part 225 Cost Principles for State, Local, and Indian 
Tribal Governments (OMB Circular A-87);
    (5) 2 CFR Part 230 Cost Principles for Non-Profit Organizations 
(OMB Circular A-122); and
    (6) OMB Circular A-133, ``Audits of States, Local Governments, and 
Nonprofit Organizations.'' This circular is available at http://www.whitehouse.gov/omb/circulars_default.
* * * * *


Sec.  1206.74  [Amended]

0
27. Amend Sec.  1206.74 in the first sentence by removing the word 
``Commission'' and adding ``NHPRC'' in its place.


0
28. Revise Sec.  1206.76 to read as follows:


Sec.  1206.76  May I receive an extension to my grant project?

    Yes, requests for extensions of the grant period should be signed 
by the grantee's authorized representative and submitted not more than 
two months before the scheduled end of the grant period. The NHPRC will 
not allow extensions unless a project is up-to-date in its submission 
of financial and narrative reports.


Sec.  1206.80  [Amended]

0
29. Amend Sec.  1206.80(a) in the first sentence by removing the word 
``status''.


0
30. Revise Sec.  1206.82 to read as follows:


Sec.  1206.82  What is the format and content of the financial report?

    Grant recipients must submit financial reports on Standard Form 425 
and have them signed by the grantee's authorized representative or by 
an appropriate institutional fiscal officer.


0
31. Amend Sec.  1206.84 by revising the second sentence of paragraph 
(a) and removing paragraph (c).
    The revision reads as follows:


Sec.  1206.84  What is the format and content of the narrative report?

    (a) * * * 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; any web address created by 
the project; and any other press releases, articles, or presentations 
relating to the grant project or its products. * * *
* * * * *

0
32. Revise Sec.  1206.86 to read as follows:


Sec.  1206.86  What additional materials must I submit with the final 
narrative report?

    You must submit the materials required in the NHPRC grant 
announcements and in the grant award document.


Sec.  1206.88  [Amended]

0
33. Amend Sec.  1206.88 by removing the phrase ``the National Archives 
and Records Administration (NARA)'' and adding ``NARA'' in its place.

    Dated: October 18, 2010.
David S. Ferriero,
Archivist of the United States.
[FR Doc. 2010-27282 Filed 10-27-10; 8:45 am]
BILLING CODE 7515-01-P