National Historical Publications and Records Commission (NHPRC)

Electronic Records Projects

Frequently Asked Questions

How do we decide if we should propose a Planning or a Start Up project?

Make a list of what you have already done to get ready for the preservation of born-digital records. What training have staff members received? What contacts have you made with records creators and IT staff? What electronic records in your organization have you already identified?

Then also consider how change happens in your organization. Is it more likely that you will build support for an electronic records program if you have a report created with the help of outside experts? If so, a planning project is probably the first step. Or will leadership be more impressed by a demonstration of records that you have preserved. If so, a start up project might be more appropriate.

Can you be more specific about when we should propose a Planning project?

In general, propose a planning project:

  • If you have done no planning at your institution beyond reviewing the best practices of similar institutions;
  • If you have no staff members that are already devoting at least part of their time to planning for this issue;
  • If your current IT infrastructure/knowledge needs more development before you can implement any sort of program;
  • If you have electronic records that need to be managed but you still need to do more work connecting to the records creators;
  • If you are confident that with the help of a consultant and/or project staff, you will be able to make significant progress on developing an Electronic Records management plan that address key issues in long-term preservation of born-digital records.

Can you be more specific about when we should propose a Start Up project?

In general, propose a start up project:

  • If you have already done some planning and thinking about how to structure an electronic records program in your environment;
  • If you have the support of the highest level of leadership;
  • If you know what kind of infrastructure changes you will need to make;
  • If you can commit substantial staff time to the project;
  • If you want to engage in partnerships with service providers;
  • If you are confidant that at the end of the start up project, you will have preserved electronic records in some digital repository that meets preservation standards.

If you are wavering and think you have the time to prepare a start-up application, you should do so. If the Commission feels that a planning grant is more appropriate, they can fund the first steps in your proposal.

We wish to submit a draft for review by NHPRC program staff. How should we do this?

Send as complete a draft as possible by email to lucy.barber@nara.gov by April 1, 2008. You may attach the grants.gov package or send individual documents. Drafts are easier to evaluate if they contain clear descriptions of the scope of your project as well as rough figures about project costs. Program staff will reply as promptly as possible to the drafts.

The application refers to standards and best practices. Are there particular ones that we must use?

The field of electronic records preservation is constantly updating its standards and best practices. In addition, there are a number of different approaches that may fit best with your institution's infrastructure and organizational model. For this reason, the Commission does not mandate one practice. However, applicants in all three categories should look at some of these websites and project pages for information:

  • Trustworthy Repositories Audit & Certification (TRAC): Criteria and Checklist at http://www.crl.edu/content.asp?l1=13&l2=58&l3=162&l4=91

  • CASPAR - Cultural, Artistic and Scientific knowledge for Preservation, Access and Retrieval at http://www.casparpreserves.eu/

  • The National Space Science Data Center provides links to many standards, including the Open Archival Information System model, at ISO Archiving Standards - Overview at http://nost.gsfc.nasa.gov/isoas/

  • Department of Defense has developed an Electronic Recordkeeping Framework (DoD 5015.2-STD) which sets guidelines for Records Management applications that handle electronic records. The Joint Interoperability Test Command maintains a webpage, Records Management Applications with information on the certification process, including specific software program that have met the standard at http://jitc.fhu.disa.mil/recmgt/.

Are collaborations acceptable?

Absolutely. You want to explain why the collaboration will increase the likelihood of a sustainable electronic records program. In some cases, your collaborator might be a service provider; in other cases, it might be equivalent institutions with similar needs. Be sure to include the necessary details on who will contribute what to the project and include letters of support where appropriate.

We need to upgrade our retention schedule to include electronic records. Can this be part of a Planning or Start-up grant?

Absolutely. For organizations that operate records management programs, this step is often a productive first step. Remember that some of the records identified in that process must be determined to be permanent digital records.

We are a municipality and our elected officials are funding more e-government applications. Can the records from such projects be the target of an electronic records project?

It depends. If the e-government initiative is resulting in records that are permanent in their digital form, then yes. If the e-government initiative is providing access to records on websites that must be preserved in hard copy by local or state regulation, then no. You must be very clear in your application about what regulations (if any) determine if an electronic record is the official version of a record.

We are an archival repository and are starting to receive donations of computer files from donors. Can we apply for a grant?

Yes, but the project would have to focus on establishing general procedures to deal with such donations, including appraisal, preservation, and access. The files you have already received could be processed as part of testing that general process, but we would want to see procedures established for future donations as well.

How do I get a sample proposal?

Request one from Lucy Barber at lucy.barber@nara.gov

In each description of the categories, there are specific guidelines for proposals, but in the section on Preparing the Narrative there are more general questions. How should I arrange my proposal?

Follow the general order of the questions in Preparing the Narrative, but be certain that you address the category-specific items at appropriate places. The general questions tend to give you a structure for the proposal. The specific guidelines under each category establish your readiness for that area but should fit easily into the overall structure of the Narrative.

Who received service provider grants in the past? Can we work with them?

The Commission funded two institutions to help them develop preservation services for electronic records. Both of them welcome collaborators.

  • Emory University is running the MetaArchives Cooperative which is based on a LOCKSS framework. Its website is available at www.metaarchive.org; the project manager is Katherine Skinner who can be reached at kskinne@emory.edu.
  • San Diego Supercomputer Center is establishing a Distributed Custodial Preservation (DCP) Center. The project manager is Richard Marciano, marciano@sdsc.edu.

There are other non-profits and for-profit companies that may also be able to help you with your project.

Can we apply for funds to supplement work we are starting with our own funds?

Absolutely. A cost share of at least 50% of total costs is required for these projects. However, be sure to be clear about what you are going to accomplish with all the project funds. In the past, some proposals have discussed ambitious goals that were not represented in the work plan or the budget. Upon inquiry, it was often the case that the project narrative described a long-term project, but the budget and/or work plan only represented part of the long term project.

We are already preserving electronic records but are facing some particular problems that we assume others will also face. Can we apply?

Yes. You will want to apply in the Program Expansion category. Be clear about what you have already done, what you still need to do, and why other institutions are likely to face similar challenges. It could be useful to contact other repositories to get letters of support for your project.

We want to add more digitized items to our existing web resource. Is this a good project for this grant?

No. Digitizing of records is not an acceptable part of Electronic Records proposals. These projects must focus on the preservation of born-digital records or digitized records that are now the official record because of additional metadata or manipulation.

We have analog audiovisual records and need to preserve them in a digital format. Is this the right grant program to apply against?

No. The Commission funds preservation reformatting in its Detailed Processing Projects category.

Top of Page

PDF files require the free Adobe Reader.
More information on Adobe Acrobat PDF files is available on our Accessibility page.

The U.S. National Archives and Records Administration
8601 Adelphi Road, College Park, MD 20740-6001
Telephone: 1-86-NARA-NARA or 1-866-272-6272