FY 2013 Grant Announcement (Initial):
Electronic Records Projects
The National Historical Publications and Records Commission (NHPRC), a part of the National Archives and Records Administration (NARA), supports projects that promote 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.
Funding Opportunity Number: ELECTRONIC-201306
Catalog of Federal Domestic Assistance (CFDA) Number: 89.003
NHPRC support begins no earlier than January 1, 2014.
Grant Program Description
The NHPRC supports efforts by archivists and records managers to meet the challenges of electronic records. Projects to increase repository capacity must involve institutions that have already established archives and records management programs.
We seek applications in the following categories:
- Start-up projects: Develop the capacity of institutions to prepare to capture and preserve electronic records, through program planning; or
- Collaborative projects: Establish and/or improve electronic records archives by engaging in effective and innovative collaborations; or
- Electronic Records Professional Development projects: Develop and offer professional education curricula, basic and advanced institutes, or research seminars.
Most electronic records archives depend upon collaboration among archivists, record managers, and information technology specialists. Only a few organizations have all the required expertise, making training, collaboration and recruitment of new personnel essential components of electronic records archives. We strongly encourage applicants in start up and collaborative projects to include professional development components necessary for the success of those projects. These may consist of basic or advanced electronic records and digital preservation training for archives staff, agency records managers, high level administrators, information technologists, and others.
We also seek applications for electronic records professional development projects. Projects can be for professional education curricula, basic and advanced institutes, or research seminars. Such projects should anticipate results that will affect individuals in multiple locations. If your professional development proposal does not satisfy this requirement, the application will be ineligible. Professional development proposals that reach individuals in other states and/or are easily replicable will be more competitive.
Projects in this program cannot digitize historical records. Applicants who wish to digitize records should refer to the Digitizing Historical Records announcement. In addition, projects cannot establish electronic document management systems that only manage born-digital records with limited retention periods. Applications requesting support for these activities will be considered ineligible in this program.
For a comprehensive list of the Commission's limitations on funding, please see What We Do and Do Not Fund.
Award Information
A grant normally is for 1 to 3 years and up to $200,000. The Commission expects to make up to 3 grants in this category, for a total of up to $600,000.
Eligibility
Eligible applicants:
- Nonprofit organizations or institutions
- Colleges, universities, and other academic institutions
- State or local government agencies
- Federally-acknowledged or state-recognized Native American tribes or groups
Applicant organizations must be registered in the System for Award Management (SAM) prior to submitting an application, maintain SAM registration throughout the application and award process, and include a valid DUNS number in their application. Details on SAM registration and requesting a DUNS number can be found at the System for Award Management website at http://sam.gov. Please refer to the User Guides section and the Grants Registrations PDF.
Ineligible applications will not be reviewed.
Cost Sharing
Cost sharing is required. It is the financial contribution the applicant pledges to the cost of a project. Cost sharing can include both direct and indirect expenses, in-kind contributions, non-Federal third-party contributions, and any income earned directly by the project. The NHPRC will provide up to 50 percent of the total project costs.
Application and Submission Information
Applicants should follow the instructions on how to fill out the online forms and apply electronically using the Application Instructions section on the NHPRC website.
The National Historical Publications and Records Commission (NHPRC) requires that grant applications be submitted via Grants.gov. In the event that Grants.gov is experiencing technical difficulties that prevent submission, applicants must first attempt to resolve the issue with the Grants.gov Contact Center (800-518-4726). If Grants.gov cannot solve the problem, applicants may request an alternative. To make use of the NHPRC backup system, applicants must contact Jeff de la Concepcion (202-357-5022) no later than 3:00 Eastern Time on the day of the deadline with their valid Grants.gov Contact Center trouble-ticket number.
A complete application includes the Application for Federal Assistance (Standard Form 424), Assurances - Non-Construction Programs (Standard Form 424B), a Project Narrative, Summary, Supplementary Materials, and Budget. Applications lacking these items are ineligible and will not be reviewed. In order to ensure eligibility, applicants should first review the rules and regulations governing NHPRC grants under 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 on 8.5 x 11 inch paper with standard margins.
Please organize your narrative in sections following the specific directions for your type of project:
Electronic Records Archives Start-up 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 records archives. Projects will normally last up to eighteen months.
1. Introduce the overall goal of your project. Explain the project's relationship to your strategic plan, organizational goals, and archival collection management plans. Establish that the participating organization has a functioning archival and records management program.
2. Discuss the nature of your preliminary planning and your review of existing standards and methods regarding electronic records preservation. A starting point might be the InterPARES guidelines for creators and preservers of electronic records.
3. Describe the nature of the electronic records you expect to manage in terms of content, number of files, and bytes. Explain which of these electronic records have permanent value according to records retention policies, legal status, or historical value.
4. 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. Explain how your approach reflects your organizational structure, planning, and research. How will you identify the electronic records that are to be preserved as archives? Will you, for example, be conducting inventories or interviews? Who are the key stakeholders that you will reach? Refer specifically to what has helped your organization change in response to previous technological challenges. Explain why the proposed approach is likely to result in the ongoing development of the electronic records archives.
5. Describe the products you will produce for the completed project. Describe assessments, manuals, specifications, and other documentation that you plan to complete during the project. Indicate if you plan to present the results of the project to external audiences through professional newsletters, conference presentations, journal articles, or online.
6. For the people or positions in the proposal, provide a narrative explanation of the qualifications of the staff who will contribute to the success of this project. Explain any special training planned for members of the project staff to help them support the project. In supplementary materials, provide a résumé of not more than two pages per person for all staff named in the project budget. For those staff to be hired, provide job descriptions or call for consultants.
7. List four to six quantifiable performance objectives that will allow you and the Commission to evaluate the project following the submission of the final report. For example, how many more people will understand electronic records management processes within your organization(s) or outside; how many new policies will have been adopted; how many partnerships will have been formed to preserve electronic records; what evidence of increased institutional support will you have received.
8. Provide evidence of your institution's ability to follow the relevant federal financial and managements regulations if the project application were successful. In particular, address the nature of your financial management system(s). Please note how the system(s) track actual grant and cost share expenses in comparison with budgeted expenses. In addition, explain how your personnel and management systems track the amount of time staff and consultants would spend on this project.
Electronic Records Archives Collaborative Projects
Under this category, applicants may propose projects that will establish or improve electronic records archives by working in collaborations. Grants are for up to $200,000. Projects will normally last one to three years.
1. Introduce the overall goal of your project and explain its expected impact on electronic records preservation. Explain the reason for including each partner in the collaboration. Establish that at least one of the participating organizations has a functioning archival and records management program and responsibility for born-digital records of permanent value. Include technical specifications for hardware and/or software that will be used in the project.
2. Describe (if applicable) the status of the electronic records program(s) including the extent of staff, archival holdings, and the expected rate of growth. Provide examples of institutional support in terms of financial support, policy statements, workflows, and record creator cooperation. Describe the nature of the electronic records you expect to manage in terms of content, number of files, and bytes. Explain which of these electronic records have permanent value according to records retention policies, legal status, or historical value.
3. Explain your current or expected methods of preserving authentic electronic records and providing access to the records. Demonstrate an understanding of the major technical and human issues related to operating electronic records archives by referring to your experiences and to expert studies.
4. Discuss how this collaborative project will change your electronic records archives. Some possibilities: developing more partnerships with records creators; a focus on particular types of records with special preservation issues that requires study of emerging standards; building specific access methods for the electronic records archives. More generally, will the project improve your institutional capacity? Will it provide others, including those in the federal government, with needed tools or approaches?
5. Explain the nature of your collaboration with other organizations with expertise in electronic records archives. Consortia of organizations may want to work together to leverage different skills and capacities. We strongly encourage applicants to explore the possibility of working with established electronic records service providers. In general, proposals that involve collaborations outside of a single institution will be more competitive.
6. Describe in detail your plan of work in intervals of, at most, six months. Identify the person(s) on the project team who will be responsible for each part of the project. Explain how your approach reflects the different capacities of your collaborators. Refer specifically to what you see as effective workflows for responding to technological challenges. Explain why the proposed approach is likely to result in ongoing development of the electronic records archives.
7. Describe the products you will produce for the completed project. Describe assessments, manuals, specifications, and other documentation that you plan to complete during the project. Explain how you will disseminate the project to external audiences through professional newsletters, conference presentations, journal articles, or on the Internet. Successful applicants are expected to maintain websites with information about the project's procedures and results.
8. For the people or positions in the proposal, provide a narrative explanation of the qualifications of the staff that will contribute to the success of this project. Explain any special training planned for members of the project staff to help them support the project. In supplementary materials, provide a résumé of not more than two pages per person for all staff named in the project budget. For those staff to be hired, provide job descriptions or call for consultants.
9. List four to six quantifiable performance objectives that will allow you and the Commission to evaluate the project following the submission of the final report. For example, how many electronic records (in bytes) will you have accessioned and preserved, how many more people will use improved electronic records management processes within your organization(s) or outside; how many partnerships will have been formed to preserve electronic records; what methods will have you developed that reduce the cost of managing and preserving electronic records.
10. Provide evidence of your institution's ability to follow the relevant federal financial and managements regulations if the project application were successful. In particular, address the nature of your financial management system(s). Please note how the system(s) track actual grant and cost share expenses in comparison with budgeted expenses. In addition, explain how your personnel and management systems track the amount of time staff and consultants would spend on this project.
Electronic Records Professional Development Projects
Under this category, applicants may propose projects that will develop and offer professional education curricula, basic and advanced institutes, or research seminars. Grants are for up to $150,000. Projects will normally last one to three years.
1. Describe your project's overall purpose and long-term goals. Explain how the project builds on your organization's professional knowledge, training, and experiences. Describe the size and nature of the project's audiences and how you intend to reach them. Explain how you intend to offer programming at multiple locations and in how many states. Explain how the activities proposed will have a significant impact on professional practices.
2. Describe the plan of work for the grant period. Describe in detail the types of activities you intend to engage in and the relationships among them. Outline each stage of the planned work and include the costs for each major stage. Be certain to include enough time to evaluate the impact of the project on participants and the field. If needed for clarification, include in the supplementary materials charts that identify the people, time, and resources needed for each stage.
3. Describe the products you will produce for the completed project. These may include reports, survey data and summaries, training sessions, recommendations, curriculum material, and other products, as well as related publicity. Describe the audience for each proposed product and the intended outreach plan. Justify what you will charge for any product. Describe how you are going to track the use of the products created through your project.
4. For the people or positions in the proposal, provide a narrative explanation of the qualifications of the staff that will contribute to the success of this project. Demonstrate that the project staff has the skills, educational background, and experience appropriate to the project. Explain the roles of all staff named in the project budget, both for those already on staff and for those to be hired. Include descriptions of outside project advisors, reviewers, and evaluators. In the supplementary materials, provide a résumé of not more than two pages per person for all staff named in the project budget. For those staff or consultants to be hired for the project, provide position descriptions or call for consultants.
5. List four to six measurable objectives. Focus on quantifiable results that reflect what you intend to accomplish and complete during the grant period. For example, how many people, from the target audience, will be reached by the project; how many participants will gain, retain, and use knowledge over the short and long-term; how many publications will describe the project.
6. Provide evidence of your institution's ability to follow the relevant federal financial and managements regulations if the project application were successful. In particular, address the nature of your financial management system(s). Please note how the system(s) track actual grant and cost share expenses in comparison with budgeted expenses. In addition, explain how your personnel and management systems track the amount of time staff and consultants would spend on this project.
Project Summary
The Project Summary should be no more than 3 double-spaced pages in 12-pt type on 8.5 x 11 inch paper with standard margins, and it should include these sections:
- Project's Purpose and Significance
- Methods
- 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
Please ensure that the project director listed on this summary is the same person listed in Section 8 (f), of the SF 424. If your institution requires a different contact person on the SF 424, please explain in one sentence. - Performance Objectives
Supplementary Materials
Prepare up to 20 pages of Supplementary Materials to your Narrative, such as:
- Résumés of named staff members (please use only institutional addresses and phone numbers) (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
- Summaries of your institution's pertinent policies on records management, collections development, processing, and digital preservation
If these materials are available on a web site, please provide the URLs.
Project Budget
You must submit a budget on the NHPRC Budget Form available on the Application Instructions page. Note that the form itself contains additional instructions. You may include with your application a narrative budget supplement for budget categories that require further detail. Provide specific budget figures, rounding to the nearest dollar.
Applicants will be asked to compute the project costs to be charged to grant funds as well as those that will be supported by the applicant through cost sharing, which includes both direct and indirect expenses, in-kind contributions, non-Federal third-party contributions, and any income earned directly by the project.
If the project expects program income, it should be allocated among specific budget categories on the cost-sharing column of the project budget. The total amount of expected program income should be reported on page 13 of the NHPRC budget form under "Project Funding for Entire Grant Period." The same amount should appear on the Application for Federal Assistance, SF424, item 18f. Please use the narrative budget supplement to explain the calculation of the expected income and its allocation.
All of the items listed, 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.
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. In addition, successful applicants will be required to certify that they have adequate accounting and timekeeping procedures to meet the Federal requirements.
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 technical specifications for equipment over $5,000 in a supplemental budget narrative.
- Draft (optional) Deadline: April 1, 2013
- Final Deadline: June 11, 2013
Applications must be submitted electronically by midnight Eastern Time on June 11, 2013.
NHPRC support begins no earlier than January 1, 2014.
Deadline Policy: Given that technical or administrative difficulties with Grants.gov may periodically delay the timely submission or receipt of applications, the Commission staff will make provisions for the receipt of such applications past the established deadline. Under these circumstances, applicants with technical or administrative issues related to Grants.gov must contact NHPRC staff as soon as possible, but no later than by 3:00 PM Eastern Time on the published application deadline. Applications that fail to meet deadlines for reasons other than those noted will not be considered for funding.
Application Review Information
The NHPRC staff will acknowledge receipt of the application soon after we receive it. The following evaluation criteria and weights will be used by NHPRC staff and other reviewers to form recommendations.
Criteria for Electronic Records Archives Start-Up Projects
- The importance of the electronic records archives based on the records to be preserved. (30 percent)
- The likelihood that the project will result in a sustainable electronic records archives based on the applicant's analysis of the field and its work plan. (30 percent)
- The ability to complete the project's objectives based on the qualifications of the staff, the inclusion of appropriate work plans including professional development, and the reasonableness of the budget (including cost share). (25 percent)
- Effectiveness of the dissemination plans for the project's results. (15 percent)
Criteria for Electronic Records Archives Collaborative Projects
- The importance of the electronic records archives based on the records to be preserved and the potential for more effective electronic records management derived from the proposed methods. (30 percent)
- The likelihood that the effectiveness and innovativeness of the project's methods will improve the archival community's ability to efficiently store and manage electronic records. (30 percent)
- The ability to complete the project's objectives using the proposed methods, based on the qualifications of the staff, the inclusion of appropriate work plans, professional development, and collaborations, and the reasonableness of the budget (including cost share). (25 percent)
- Effectiveness of the dissemination plans for the project's results. (15 percent)
Criteria for Electronic Records Professional Development Projects
- Ability of the project to address the electronic records needs in the education and training of archival professionals in multiple locations. (30 percent)
- Ability of the project to improve best practices in the training of archival professionals, and the transferability of these methods for wider use in these communities, including those who work in the federal government. (30 percent)
- Ability to complete the project's proposed objectives, judged by the qualifications of the staff and the reasonableness of the work plan and budget (including cost share). (25 percent)
- Effectiveness of the dissemination plans for the project's results. (15 percent)
Application Review Process
After submitting a proposal, do not discuss the pending application to the NHPRC with any Member of the Commission. Commission Members must ensure fair and equitable treatment of all applications and do not discuss proposals with individual applicants.
- 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 7 external peer reviewers to evaluate the proposal. - Commission Staff
Approximately 3 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 in the application, clear up any misconceptions, and generally strengthen the proposal before the Commission meeting. Staff makes overall recommendations to the Archivist, who chairs the Commission, based on 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 and selects award recipients. 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.
Award Administration Information
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 rejection of the proposal.
Grant applicants will be notified within 2 weeks after the Archivist’s decision.
Agency Contact
Applicants are encouraged to contact Nancy Melley, Director for Technology Initiatives, at 202-357-5452, or nancy.melley@nara.gov. She can:
- 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. Applicants should submit a draft at least 2 months before the 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.
For more information on how to comply with Federal regulations, see our Administering a Grant section.
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