National Historical Publications and Records Commission – Archives Basic Projects

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

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

The Commission is particularly concerned that some historical collections in archives and repositories are difficult for most researchers to find because they are not processed or represented in national catalogs. It hopes to encourage repositories to reveal these “hidden collections” by concentrating on materials in their backlogs. In addition, the NHPRC wishes to continue support for planning for archives, collection development, and appropriate preservation.

As a result, the Commission seeks proposals for projects that support backlog processing and collections cataloging, phased preservation, and/or collections development. Proposed projects must employ the best and most cost-effective archival methods. Activities included under Basic Projects may be any one or combination of the following:

Basic Processing,
Preservation Planning,
Collections Development, and
Establishing Archives.
Although projects focused exclusively on professional development are not eligible in this grant category, we strongly encourage each application to include professional development components necessary for the success of the project.

Categories:
1. Basic Processing
Basic processing emphasizes activities to reveal collections that researchers cannot easily discover. A minimum standard is the creation of a basic catalog record for each collection or archival series at a repository. Basic processing will also include reappraisal of collections with a goal of deaccessioning entire collections where appropriate. In addition, applicants must plan to establish standard accessioning and processing practices that will prevent future backlogs, including, if necessary, a revised collection development policy. Likewise, institutions must develop or implement processing techniques to eliminate unprocessed backlogs of holdings at a level consistent with appropriate standards and at a reasonable rate.

In general, repositories should catalog personal papers and manuscript collections at the collection level, and catalog institutional records at the series level. Basic processing usually includes surveying and describing at the next component level: at the series level for manuscript collections, and at the subseries level for institutional records. Basic processing projects should not include the creation of file or folder listings. (For such projects, organizations should consult Archives – Detailed Processing Projects.)

After identifying collections and records, applicants will need to create MARC catalog records in a national bibliographic utility. Likewise, finding aids must comply with Encoded Archival Description standards and must be made available to appropriate regional and national archival databases. Applicants must also plan for promoting use of their collections after completing this processing.

2. Preservation Planning
The NHPRC supports preservation planning and implementation projects that focus on the repository’s preservations of collections as a whole. This approach of “phased preservation” often involves surveys of collections, assessment of environmental controls, and risk assessment. NHPRC cannot fund projects that involve construction, but applicants may include planning for necessary improvements to physical facilities. Collection-level preservation assessments may also be carried out as part of a basic processing project.

Detailed preservation activities such as comprehensive reboxing and refoldering; preservation copying, reformatting, or microfilming; removing staples and paper clips; and item-level repair and conservation are not permitted. (For such projects, organizations should consult Archives – Detailed Processing Projects.)

3. Collections Development
Organizations seeking to improve collections development may apply for grants to support the following activities: documentation strategies, surveys, appraisal projects, records management projects with archival components, reappraisal and deaccessioning, and fieldwork and other collecting activities. The NHPRC does not support projects to create new documentation, except for oral history projects conducted by American Indian tribes and other indigenous peoples that rely on oral traditions to document their history and culture.

All projects that include collecting activities must show that the institution has developed, or will develop as a part of the project, initial processing techniques to gain basic physical and intellectual control over new accessions. If the repository has a large unprocessed backlog of holdings, collections development activities may only occur alongside basic processing activities.

4. Establishing Archives
Organizations may apply for grants to support archives start-up projects. An initial grant may support the cost of a consultant to assess the need and sustainability of an archives program. The consultant can help the organization identify the needs for an archives program, the necessary financial and organizational resources, a records management plan (if necessary), and its collecting scope. The consultant may assist in preparing a mission statement, goals and objectives, a staffing plan, and operational rules and procedures.

If the organization already has a detailed assessment, it may submit a proposal for costs associated with starting their archives program. The applicant must demonstrate an understanding of, and willingness to follow, the principles outlined in this announcement. The assessment should include a well thought-out collections development plan, a plan for basic processing of new accessions in a timely manner to avoid future backlogs, and a phased preservation plan. Applications for start-up projects must provide convincing evidence of a sound and sustainable business plan, including commitments for ongoing support from the parent institution.
A grant normally is for one or two years and for up to $150,000. The Commission expects to make up to 20 grants in this category for a total of up to $1,000,000. The Commission provides no more than 50 percent of project costs for Basic Projects.
Cost sharing 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.
NHPRC support begins no earlier than June 1, 2009.