PURPOSE: This rule outlines the management plan of the grants-in-aid program for historical records preservation.

1. (1) The Missouri Historical Records Advisory Board (MHRAB) Regrant Program, administered by the Missouri State Archives, Office of Secretary of State, with funds provided by the National Historical Publications and Records Commission (NHPRC) and the state of Missouri, grants financial assistance to historical records repositories to enhance the preservation and access of Missouri’s documented heritage. This grants-in-aid program is a significant effort in the Missouri Historical Records Advisory Board’s mission to promote and support the identification of, preservation of, and access to all historical records in Missouri.
2. (2) Those eligible to apply include institutions such as historic, ethnic and religious societies; museums; libraries; and colleges and universities whose archival collections or records of historic value are open to the public on equal terms for everyone.

3. (3) Activities supported by the MHRAB Regrant Program include—

   1. (A) Education;
   2. (B) Planning;
   3. (C) Preservation;
   4. (D) Professional consultants;
   5. (E) Essential equipment;
   6. (F) Reference tools.
4. (4) Local government entities are ineligible to apply, as the Missouri State Archives Local Records Grant Program (initiated in 1991) offers direct help for records preservation and management to all jurisdictions supported by tax levies.

5. (5) Ineligible activities include—

   1. (A) Construction, renovation, furnishing, or purchasing a building or land;
   2. (B) Purchasing manuscripts or other historical records;
   3. (C) Conserving or exhibiting archaeological artifacts, museum objects, or works of art;
   4. (D) Undertaking an oral history project unrelated to Native Americans;
   5. (E) Acquiring, preserving, or describing books, periodicals, or other library materials;
   6. (F) Acquiring, preserving, or describing art objects, sheet music, or other works primarily of value as works of art or entertainment;
   7. (G) Undertaking a documentary editing project to publish the papers of someone who has been deceased for less than ten years;
   8. (H) Undertaking a project centered on the papers of an appointed or elected public official who remains in major office, or is politically active, or the majority of whose papers have not yet been accessioned in a repository;
   9. (I) Processing documents, a major portion of which will be closed to researchers for more than five years, or not be accessible to all users on equal terms, or will be in a repository that denies public access;
   10. (J) Undertaking an arrangement, description, or preservation project in which the pertinent documents are privately owned or deposited in an institution subject to withdrawal upon demand for reasons other than requirements of law;

   11. (K) Undertaking an arrangement, description, or preservation project involving federal government records that are—

       1. 1. In the custody of the National

Archives and Records Administration (NARA); or

1. 2. In the custody of some other federal

agency; or

1. 3. Have been deposited in a non-federal

institution without an agreement authorized by NARA. Note: Many federally funded activities not directly undertaken by the federal government produce documents that may in law be considered federal records, including records produced under federal contracts or grants. If your project deals with federal records, you should talk further with the Archives Grant Administrator;

1. (L) Funding for—

   1. 1. Existing/permanent staff positions;
   2. 2. Equipment nonessential to the pro-

ject;

1. 3. Payments to lobbyists;
2. 4. Hospitality expenses;
3. 5. Prizes/awards;
4. 6. Benefit activities such as socials,

fundraisers, etc.;

1. 7. Educational outreach not available to

the public;

1. 8. Activities having a religious purpose;
2. 9. Expenses incurred prior to the grant

period.

1. (6) Funding.

   1. (A) The MHRAB Regrant Program supports 100% of the total costs for projects between $500 and $5,000.
   2. (B) For projects over $5,000 the MHRAB Regrant Program supports 70% of the project and the applicant must contribute a minimum of 30% in cost-sharing match with 10% of the total project cost in local cash match.
   3. (C) An in-kind contribution may consist of staff time, supplies, utilities (if local space is required for the project), donated to the project.
   4. (D) Permanent equipment is a separate line item requiring a 50/50 match of grant funds and local cash.
   5. (E) Applicants that have a higher percentage of cash cost-sharing will be given preference when all other things are equal.
   6. (F) The maximum grant that can be requested is $25,000 per application.

2. (7) Grant Application Requirements.

   1. (A) Identification of entity, entity’s governance structure and project personnel.

   2. (B) Activity description—

      1. 1. Statement of purpose and goals;
      2. 2. Project summary;
      3. 3. Detailed analysis of plan, discussion

of techniques and time line of activities;

1. 4. Project objectives;
2. 5. Specific end results or products.

3. (C) Funding description—

   1. 1. Budget layout;
   2. 2. Budget explanation;
   3. 3. Need for outside funding;
   4. 4. Local entity’s accounting methods

and audit procedures.

1. (D) Relevant information—

   1. 1. Statement of any previous relevant

actions;

1. 2. Evaluation of results (how will the

success or failure be measured);

1. 3. Description of importance of the pro-

ject in terms of an overall, long-range program.

1. (E) Authorization—

   1. 1. Signed and dated by proper official;
   2. 2. Identification of preparer of the appli-

cation.

1. (F) Support material—

   1. 1. Letter of commitment from the appli-

cant’s funding authority;

1. 2. Resumes of project personnel, con-

sultants, volunteers, and descriptions of their grant-funded duties;

1. 3. Required forms;
2. 4. Appropriate attachments, such as

floor plans, sample forms, letters of support;

1. 5. Identification of necessary services,

equipment, supplies;

1. 6. Other relevant information.

1. (8) Evaluation of Proposals.

   1. (A) The Archives Grant Administrator will review grant applications for completeness; conformity to application requirements; soundness of budget; and relevancy to the objectives of the MHRAB Regrant Program.
   2. (B) Each complete application will be summarized and forwarded to the MHRAB.

   3. (C) The MHRAB will evaluate applications based on the following criteria—

      1. 1. Demonstrated need for outside fund-

ing;

1. 2. Commitment to professional prac-

tices;

1. 3. Historical value of records;
2. 4. Ability to maintain achievements.
3. (D) The MHRAB will make funding decisions at meetings set for this purpose.
4. (E) The Archives Grant Administrator will notify the applicant on behalf of the MHRAB in writing if the proposal has been funded or rejected.

1. (9) Grant Calendar.

   1. (A) The first grant period will begin in September 2001 and the second in March 2002; both will close December 31, 2002. Award letters will be issued by the Archives Grant Administrator, Office of Secretary of State.
   2. (B) The first payment in the grant award will not accompany the official award letter, but should be received by the end of the first month in each grant cycle. Subsequent payments are contingent upon receipt by the Archives Grant Administrator of complete and accurate Interim Reports submitted by the grantee.
   3. (C) Grant work must be monitored while in progress. Archives staff may visit the work site for review at any time during the grant cycle.
   4. (D) Any changes in the project, including changes of personnel, must be submitted in writing to the Archives Grant Administrator, Office of Secretary of State.
   5. (E) The grantee must submit Final Reports within 30 days of the grant cycle’s conclusion. Report forms will be provided to the grantee. Final Reports should relate to the original grant proposal and evaluate the progress made in accomplishing stated goals and objectives. Failure to comply may negatively impact the organization’s ability to obtain future grants.
   6. (F) Grant projects must be completed during the grant period. One extension may be requested in writing to the Archives Grant Administrator, Office of Secretary of State. The request must relate the extenuating circumstances hindering completion of the grant project. If an extension is granted, notification will be made in writing by the Archives Grant Administrator, Office of Secretary of State. A request for extension must be made by August 2002. If the extension is not approved, the award may be canceled.

2. (10) Accounting.

   1. (A) Grantees must keep financial records for each grant in accordance with agreed upon accounting practices. These records, as public records, shall be subject to inspection by Secretary of State staff and members of the MHRAB during regular business hours throughout the grant period and for the following three years after the grant period ends. If any litigation, claim, or audit is begun before the end of the three years, the records must be retained until such proceeding is resolved.
   2. (B) Grant money must be deposited in an auditable, interest-bearing account, and interest received must be applied to the project.
   3. (C) While the grantee cannot invoice expenses incurred before the grant period begins, expenses incurred after the grant period begins but before the monies are available are allowable. 15 CSR 30-45
   4. (D) Grantees must submit documentation for in-kind contributions with Interim and Final Reports. Grantees must submit bid information for services or purchases over $3,000 with Interim and Final Reports.
   5. (E) All unused grant funds and interest in possession of the grantee must be returned to the MHRAB Regrant Program.
   6. (F) In the case of default by the grantee, the grant will be revoked and all unused funds must be returned to the MHRAB Regrant Program. The Archives Grant Administrator will notify the grantee of default in writing.
3. (11) Auditing Requirements. The grantee is responsible for ensuring that the MHRAB receives copies of the audit report for any audit performed during the grant period or for the following three years.

4. (12) Conflicts of Interest.

   1. (A) An MHRAB member shall abstain from reviewing or voting on proposals if s/he is indirectly connected with a proposed project through employment at the same institution, indirectly supervises the project, serves as an unpaid consultant to the project, or is an officer of the institution or association that submits the proposal. Nor may the board member be physically present during board discussion of such a proposal.
   2. (B) An MHRAB member may participate in discussion of, but not vote on, a grant proposal if s/he merely subscribes to membership in the organization submitting the proposal, but holds no office.

AUTHORITY: sections 109.221.3 and 109.221.5, RSMo Supp. 1999.* Original rule filed Oct. 6, 2000, effective April 30, 2001.

*Original authority: 109.221, RSMo 1989, amended 1990, 1993, 1995, 1998.