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Grant Announcement:
Electronic Records Projects
The National Historical Publications and Records Commission promotes the preservation and use of America's documentary heritage essential to understanding our democracy, history, and culture.
The following grant application information is for Electronic Records Projects.
- See also Archival and Records Projects grants, Professional Development grants and Strategies and Tools grants.
NHPRC support begins no earlier than January 1, 2009.
The deadline for this opportunity has passed. New guidelines will be available in 2009. These guidelines may be used for reference, but should NOT be used to prepare an application.
Grant Program Description
Projects cannot use grant funds to digitize historical records. Applicants who wish to digitize records should refer to the Digitizing Historical Records announcement.
We seek applications for projects that:
- Develop institutional capacity through program evaluation and planning;
- Create institutional capacity with program start-up support;
- Expand the scope of existing programs; or
- Develop electronic records service providers that can offer reliable preservation services to archives.
We strongly encourage each application to include professional development components necessary for the success of the project. These may consist of basic or advanced e-records training for archives staff, agency records managers, high level administrators, IT staff, and others.
- Proposals focused exclusively on professional development for electronic records archivists should apply for Professional Development Grants.
- Proposals focused on research and development of best practices and new tools for electronic records preservation should apply for Strategies and Tools Grants.
Categories
1. Program Planning Projects
Under this category, archives and other repositories may apply for grants of up to $75,000 to develop organizational and financial structures and technical requirements for electronic record archives. Projects will normally last up to eighteen months.
In their proposal for Planning Projects, applicants should:
- Explain what efforts they have made to address the preservation of electronic records with permanent historical value.
- Demonstrate an understanding of the basic issues related to operating an electronic records program, by referring to specific models and studies.
- Demonstrate that they have the support of their institution at the highest possible levels, or make the case that a proposed project will result in such support.
- Explain how the design of their project reflects the best methods to generate the necessary institutional and financial changes required to implement a sustainable electronic records program.
2. Program Start-Up Projects
Under this category, archives and other repositories may apply for up to three year grants of up to $300,000 to implement organizational, financial, and technical structures that will result in sustainable electronic records archives. They may hire new staff, train staff, and/or establish working relationships with electronic records service providers. They may also acquire necessary equipment to support the preservation of electronic records. Applicants not granted awards in this category may be offered a program evaluation and planning grant.
In their proposal for start-up projects, applicants should:
- Evaluate thoroughly the repository's readiness, staff capabilities, and institutional support and commitment.
- Detail the extent of contacts with records creators and information technology professionals in your agency.
- Demonstrate that their institution, at the highest possible levels, will sustain an ongoing electronic records program at the end of grant funding.
- Demonstrate an understanding of the major technical and human issues related to operating an electronic records program, by referring to influential studies and practices.
- Commit to using current standards, best practices, and self-evaluation tools available in implementing their e-records programs.
- Describe how the repository will incorporate electronic records management techniques to identify, appraise, accession, and store born-digital or digitized records.
- Describe how their methods will assure the preservation of authentic electronic records and how they will make the records available for research.
- Identify the steps they will take to develop a persuasive business plan for the continuing operation of the electronic records program. The NHPRC will not financially support the general operations of electronic records archival repositories.
3. Program Expansion Projects
Although the NHPRC does not fund the ongoing operations of electronic records programs, it may support projects that allow successful programs to face new challenges in electronic records preservation and to develop new strategies to solve them. If funds are available, grants would normally be for up to three years and up to $200,000. The Commission expects to make no more than one award in this category.
In their proposal for expansion projects, applicants should:
- Describe their current electronic records programs including the extent of their holdings and the expected rate of growth. Demonstrate their sustainability and institutional support with reference to financial support, workflows, and record creator cooperation.
- Explain their methods of preserving authentic electronic records and providing access to the records. Illustrate why an expansion of the program is necessary, what are its components, how the expansion will be a model for others, and how its results will be disseminated.
- Demonstrate an understanding of the major technical and human issues related to operating an expanded electronic records program by referring to their own experiences and to expert studies.
- Provide a convincing business plan for the continuing operation of the expanded electronic records program. The NHPRC will not financially support the general operations of electronic records programs.
4. Service Providers Projects
If funds are available, the NHPRC may support the start-up or expansion of electronic records service providers with a multiyear grant up to $400,000. The Commission expects to make no more than one award is this category.
Applicants must provide a business plan that:
- Describes the customers, both immediate and projected, and the applicant's growth strategy. Outlines the services to be provided including, for example, electronic records storage, preservation, access, consulting, and staff development.
- Includes a sustainable financial model that outlines expenses (personnel, equipment, rental fees), and revenue from grants, membership fees, and any other sources for the next five years.
- Outline plans for the continuing operation of the business after the grant period. The NHPRC will not financially support the ongoing operations of service providers.
In addition, they must:
- Demonstrate an understanding of the major technical and human issues related to operating an electronic records program, by referring to their own experiences and to expert studies.
- Detail the use of current standards, best practices, and self-evaluation tools available in establishing and maintaining their electronic records services.
Award Information
Awards normally are for one, two, or three years and may range from $50,000 to $400,000. The Commission provides no more than 50 percent of project costs for Electronic Records Projects.
Eligibility
This category is open to archives and other repositories and, for Cooperative Networks and Service Provider projects, other organizations that are part of:
- Nonprofit organizations or institutions,
- Colleges, universities, and other academic institutions,
- State or local government agencies, or
- Federally-acknowledged or state-recognized American Indian tribes or groups.
How to Prepare an Application
You must submit your application via Grants.gov. See How to Apply for information on how to fill out the application forms.
Applicants are encouraged to contact the Director of Technology Initiatives at the NHPRC who may:
- Advise the applicant about the review process;
- Answer questions about what activities are eligible for support;
- Supply samples of successful applications;
- Read and comment on a preliminary draft, if submitted by the draft deadline.
Applicants may also contact your State Historical Records Advisory Board Coordinator about your proposal and seek the board's advice. Many state boards have requirements for submitting draft proposals with deadlines earlier than those of the NHPRC.
Completing the Application
A complete application includes a Project Narrative, Summary, Supplementary Materials, and Budget.
- Before beginning the process, applicants review the Federal grant administration rules and regulations governing NHPRC grants listed in the Administering an NHPRC Grant section.
Project Narrative
The Project Narrative is a description of the proposal. It should be no more than 20 double-spaced pages in 12-pt type with standard margins. Address the requirements listed above, as well as the following questions:
Question 1: What is the purpose of the project and what are its goals?
Introduce the overall goal of your project. Identify explicitly in which of the four categories -Planning, Start-up, Expansion, Service Provider - you are applying. Then, explain the project's relationship to your strategic plans, organizational goals, and collection management plans. Discuss the nature of preliminary planning and the review of existing standards regarding electronic records preservation.
Detail your contacts with record creators and relevant leaders. What relationships have you developed with information technology experts and/or service providers? Explain how this planning, research, and discussions shape your approach. Quantify the amount of the electronic records you manage or expect to manage. Identify why the records are unique and have permanent value. If you expect to include digitized records in your electronic records archives, explain why and how the records were digitized.
Explain how this project will change the management of born-digital and digitized records in your repository. For example, will the project result in new polices, new infrastructure, new business plans, new service agreements, or new positions?
Question 2: What is the significance of the project in relation to the NHPRC's programs and goals?
Explain briefly how the project relates to the Commission's overall mission, vision, and goals, particularly the goal to promote sustainable electronic records programs in archives and other historical records repositories. Applicants may want to review the Commission's Strategic Plan.
Question 3: What is the plan of work for the grant period?
Describe in detail your plan of work in intervals of, at most, six months. Use specific months and identify the person(s) on the project team who will be responsible for each part of the project. In your supplementary materials, include a month-by-month project plan that indicates which project staff and resources will be used to accomplish each of the stages.
Question 4: What products, if any, will be produced during the grant period?
Describe assessments, manuals, specifications, new software, or documentation that you plan to complete during the project. Indicate if you plan to present the results of the project in professional newsletters, conference presentations, journal articles, or on the Internet. Describe how you will market your program with press releases, brochures, speeches, websites and other types of outreach.
Question 5: What are the qualifications of the personnel?
Please provide a narrative explanation of the qualifications of the staff named in the project budget, both for those already on staff and for those to be hired. Explain any special training planned for personnel. In supplementary materials, provide a resume or vitae of not more than three pages per person for all staff named in the project budget. For those staff to be hired for the project, provide job descriptions or the call for consultants.
Question 6: What are your performance objectives?
List four to seven quantifiable objectives in the proposal by which you and the Commission can evaluate the project following the submission of the final report.
Project Summary
The Project Summary should be no more than 3 double-spaced pages in 12-pt type with standard margins, and it must include these sections:
- Purposes and Goals of the Project
- Significance and Relationship to NHPRC Goals and Objectives
- Summary of Plan of Work for the Grant Period
- Products and Publications to be completed during the Grant Period
- Names, Titles, Institutions, Phone Numbers, and E-Mail Addresses of the Project Director and Key Personnel
- Performance Objectives
Supplementary Materials
Please attach up to 20 pages of Supplementary Materials to your Narrative, such as:
- Resumes of named staff members (required)
- Position descriptions for staff to be hired with grant funds (required, if applicable)
- Detailed work plan charts that supplement the Narrative
- Statements of commitment to the project by partners, including records creators
- Your institution's mission, goals, and objective statements
- Your institution's pertinent policies on collections development, processing, and preservation.
If these materials are available on a web site, please provide the URLs.
The Project Budget
A three-column NARA/NEH budget form has been developed for the convenience of those applicants who wish to identify the project costs that will be charged to Federal funds and those that will be cost shared. However, only the third column, Total, is used in determining total project costs. All of the items listed in the project budget, whether supported by grant funds or cost-sharing contributions, must be reasonable and necessary to accomplish project objectives, allowable in terms of the applicable Federal cost principles, auditable, and incurred during the grant period. Applicants should review the appropriate Office of Management and Budget circulars on cost principles.
Commission grants are for a portion of total project costs. The ratio of grant funds to the total project cost is indicated in the Award Information in this Grant Announcement. The balance is the cost sharing and is the responsibility of successful applicants. Cost sharing may include in-kind contributions (including volunteer labor and indirect costs), non-Federal third-party contributions, and any income earned directly by the project, but may not include other Federal grants.
General Instructions
- Use the NARA/NEH Budget form found in the Grants.gov application package. Note that the form itself contains additional instructions.
- You may include with your application a narrative budget supplement; for example, to explain the specifications of employees' duties or equipment, the requirement and costs of consultants, or the need for travel funds.
- Charges to the project for items such as salaries, fringe benefits, travel, and contractual services must conform to the written policies and established practices of the applicant organization.
- For some projects, you may request funding for up to 3 years, but if the project will take 18 months or longer, you must provide a budget for each project year or fraction thereof.
- Provide specific budget figures, rounding to the nearest dollar.
Budget Categories
In preparing the budget, please follow the suggestions below in each of the categories:
Salaries: List each staff position and the full salary to be charged to the project and show the percentage of time each staff member will devote to the project. Indicate which positions are to be filled for the proposed project and which personnel are already on the staff of the applicant institution. Grant funds may be used to pay the salaries of only those individuals actually working on the project. You may count the time provided to the project by advisory board members.
Fringe Benefits: Include employee benefits using your organization's standard rates. No separate benefits should be included for positions that are computed at a daily rate or using honoraria.
Consultant Fees: Include payments for consultant services and honoraria. Provide justification for large or unusual consultant fees. Include consultant travel expenses in the "Travel" category.
Travel: Include transportation, lodging, and per diem expenses. The NHPRC does not fund staff travel to professional meetings unless the travel is essential to accomplish the goals of the project.
Supplies and Materials: Include routine office supplies and supplies ordinarily used in professional practices. Justify the cost of specialized materials and supplies in a supplemental budget narrative.
Services: Include the cost of duplication and printing, long-distance telephone, equipment leasing, postage, contracts with third parties, and other services that you are not including under other budget categories or as indirect-cost expenses. The costs of project activities to be undertaken by each third-party contractor should be included in this category as a single line item charge. Include a complete itemization of the costs in a supplemental budget narrative.
Other costs: Include costs for necessary equipment above $5,000, stipends for participants in projects, and other items not included in previous grant categories. The NHPRC does not provide grant funds for the acquisition of routine equipment such as office furnishings and file cabinets, but we may allow for the purchase of archival equipment, such as shelving units, and technical equipment, such as computers and peripherals, essential for a project. Include specifications for equipment over $5,000 in a supplemental budget narrative.
Indirect costs: Include reasonable or negotiated "overheard" costs. See the Budget Form instructions to determine how to calculate indirect costs. You should not include indirect costs that exceed your cost sharing obligation. You may waive indirect costs and instead include specific overhea costs in the appropriate budget categories.
Application Review
The NHPRC staff will acknowledge receipt of the application soon after we receive it. We then begin the evaluation process:
- State Boards
Your State Historical Records Advisory Board may evaluate the application on technical merits as well as its relation to state plan priorities. - Peer Reviewers
We may ask 5 to 10 external peer reviewers to evaluate the proposal. - Commission Staff
Approximately 2 months after the submission deadline, the Project Director receives blind copies of reviewers' comments and questions from the Commission staff. Applicants have an opportunity to expand on the material provided, clear up any misconceptions, and generally strengthen the proposal before the Commission meeting. Staff make overall recommendations to the Commission based on reviewers' comments, the appropriateness of the project in meeting the Commission's goals, the proposal's completeness, conformity to application requirements and overall eligibility, and answers to the questions letter. - The Commission
After reviewing proposals, the comments of peer reviewers, the applicants' responses to the reviews, and evaluations by the Commission staff, Commission members deliberate on proposals and make funding recommendations to the Archivist of the United States who, as Commission Chairman, has final statutory authority. Throughout this process, all members of the Commission and its staff follow conflict-of-interest rules to assure fair and equal treatment of every application.
Application Cycle
This is a general guide to the Application Cycle and deadlines:
- April 1 – Submit draft to the NHPRC (optional).
- June 2 – Deadline - Final proposal postmarked by this date to the NHPRC.
- November – Commission meets.
- January 1, 2009 – Earliest possible starting date for project.
Notification
Grants are contingent upon available appropriated funds. In some cases, the Commission will adjust grant amounts depending upon the number of recommended proposals and total budget. The Commission may recommend to the Archivist to approve the proposal and extend an offer of a grant with applicable terms and conditions, or it may recommend rejections of the proposal.
Grant applicants will be notified within 2 weeks after the Archivist’s decision.
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