N.Y. Education Law § 140: Historical documentary heritage grants and aid

§ 140. Historical documentary heritage grants and aid. 1. Short title.

This section shall be known and may be cited as the "New York

documentary heritage act".

2. Definitions. As used in this section, the following terms shall

mean:

a. "Historical records". Records that contain significant information

that is of enduring value and are therefore worthy of long-term

retention and systematic management. Historical records may include

diaries, journals, ledgers, minutes, reports, photographs, maps,

drawings, blueprints, agreements, memoranda, deeds, case files, and

other material. They may take any of several physical forms: parchment,

paper, microfilm, cassette tape, film, videotape, computer tapes, discs,

and other "machine readable" formats.

b. "Historical records program". Any deliberate, organized program to

collect, hold, care for, and make available historical records,

including identifying, appraising, arranging, describing, and

referencing them and using them in exhibitions and other public and

educational programs.

c. "Institutions eligible for historical records program grants".

Chartered or incorporated nonprofit archives, libraries, historical

societies and museums and other nonprofit institutions in New York state

which operate historical records programs and which meet standards to be

established by the commissioner pursuant to regulations adopted for such

purposes. Institutions operated by state or federal government agencies,

and local government archives shall not be eligible for historical

records project grants, except that an institution of the state

university of New York or the city university of New York may apply for

historical records project grants with regard to records other than

internal records generated by the institution after July first, nineteen

hundred forty-eight if it is a component of the state university of New

York or after July first, nineteen hundred seventy-nine if it is a

component of the city university of New York or after the subsequent

date on which the institution became a component of such university.

d. "Historical records program project". A project to carry out one or

more of the activities described in subdivision three of this section.

e. "Cooperative project". A collaborative effort undertaken by two or

more historical records programs, to meet shared needs or to accomplish

a common purpose, or a project undertaken by a service provider to

address the historical records needs of more than one historical records

program.

f. "Regional advisory and assistance agency". A reference and research

library resources system, or an alternate public or nonprofit agency or

organization willing to provide historical records program development

advice and assistance services covering a reference and research library

resources system region which is acceptable to the commissioner.

g. "Historical records program development advice and assistance".

Advice and assistance on the development and strengthening of historical

records programs, promotion of cooperation, coordinated documentation

planning, training in historical records management techniques, advice

and assistance in reporting of information concerning historical records

to statewide and national data bases where appropriate, and initiatives

to increase public awareness of the values and uses of historical

records.

h. "Service provider". A nonprofit professional or other association,

local government, college or university, historical service agency, or

other nonprofit institution or system which provides services to

historical records programs.

i. "Cost sharing". Local funds, local in-kind services, and other

funds and support from other than state sources.

j. "Program year". The annual period from July first through June

thirtieth.

3. Scope of activities to be supported. The commissioner is authorized

to provide grants and advice to institutions eligible for historical

records programs and cooperative projects, and aid to regional advisory

and assistance agencies, the central administration of the state

university of New York and the central administration of the city

university of New York. Grants shall be used to support the development

and administration of historical records programs; the surveying,

appraisal, identification, collection, duplication, arrangement,

description, and making available of historical records; public and

educational programming relating to historical records; projects to

improve archival techniques; and projects to promote the research use of

historical records. Aid to regional advisory and assistance agencies

shall be used to promote and assist the development of historical

records programs. Aid to the central administrations of the state

university of New York and the city university of New York shall be used

to develop guidelines, policies and procedures, training, technical

assistance, materials, oversight, retention and disposition schedules

for university records, and to promote, guide and direct the component

institutions of such universities in the sound administration of

archival records.

4. Distribution of funds. a. Historical documentary heritage funds

shall be distributed as follows: (1) Grants. (i) individual historical

records program projects shall be eligible for at least thirty-five

percent of the amount available;

(ii) cooperative projects shall be eligible for up to twenty percent

of the amount available.

(2) Aid. (i) regional advisory and assistance agencies shall be

eligible for forty percent of the amount available;

(ii) the central administration of the state university of New York

shall be eligible for two and one-half percent of the total amount

available;

(iii) the central administration of the city university of New York

shall be eligible for two and one-half percent of the total amount

available.

b. Notwithstanding the provisions of subparagraphs one and two of

paragraph a of this subdivision, the commissioner, taking into account

the recommendations of the New York state historical records advisory

board, may distribute funds designated for one purpose to address the

needs of another purpose, provided that the commissioner determines that

the significance of the contributions to be realized from the proposals

in one category outweighs the significance of the contributions to be

realized from the proposals in another category.

5. Cost-sharing. The commissioner shall determine the amount of

cost-sharing required from historical records programs, including

cooperative programs. For individual historical records program projects

involving arrangement, description, and other work relating directly to

the administration of historical records held by a program, the amount

of such cost-sharing shall be at least fifty percent.

6. Applications for historical records program projects. a. Filing. By

dates determined by the commissioner each year, an eligible institution

may file an application, in a form prescribed by the commissioner, for a

grant to support the approved costs of a proposed historical records

project.

b. Content. Such application shall include, but need not be limited

to:

(1) a statement describing the applicant's need for the funding

requested;

(2) collection statements and policies used by the institution to

guide its acquisition efforts;

(3) a summary description of the records included in the historical

records program of the institution;

(4) the status of finding aids and published guides for the historical

records held by the institution;

(5) the current and/or anticipated level of use and audience for the

historical records;

(6) the importance of the historical records for documenting life in

New York;

(7) the expected impact of the grant upon the historical records

program;

(8) the plan of work for the activities for which the funding is

sought;

(9) the proposed project budget, including cost-sharing which would be

committed to the project; and

(10) the staff and other resources devoted to the institution's

historical records program on an ongoing basis.

c. Approval. In approving any application pursuant to this

subdivision, the commissioner shall consider:

(1) information in the proposal as set forth in paragraph b of this

subdivision;

(2) the capacity of the institution to make the historical records

known and accessible for research, education, public programs, improved

policy making and other public benefits;

(3) the potential for improving the documentation of the heritage of

any racial and ethnic group; and

(4) the potential for improving the documentation of under documented

subjects, institutions, or activities.

7. Application for cooperative projects. a. Filing. By dates to be

established by the commissioner each year, a service provider or an

eligible institution acting as fiscal agent on behalf of a group of

eligible institutions, may file an application, in a form prescribed by

the commissioner. A group of cooperating institutions may be formed

because of a common purpose, rather than because of geographical

proximity.

b. Content. Such application shall include, but need not be limited

to:

(1) a statement describing the applicant's need for the funding

requested;

(2) a description of the issue, problem, or need that the project will

address;

(3) a description of the historical records programs to be served and

how the effort to be undertaken in a cooperative project relates to and

will strengthen these programs;

(4) description of the plan of work for the project;

(5) outcome or product of the project and how it will improve the

identification and administration of historical records or contribute to

the strengthening of historical records programs; and

(6) the proposed budget, including cost-sharing that would be

contributed to the project.

c. Approval. In approving any application pursuant to this

subdivision, the commissioner shall consider:

(1) information in the proposal as set forth in paragraph b of this

subdivision;

(2) the importance of the records involved for the documentation of

life in New York state;

(3) the importance of the project and the intended outcome or product

in terms of strengthening the programs of the cooperating institutions

and promoting improved historical records management;

(4) the capacities of the cooperating institutions or service

providers for carrying out the project, including prior experience with

cooperative or service projects; and

(5) the potential for cooperating institutions to sustain an ongoing

productive cooperative relationship as a result of the project.

8. Aid for regional advisory and assistance agencies. a. Coordination.

The commissioner shall establish statewide priorities for regional

advisory and assistance agencies and shall assist and coordinate their

efforts.

b. Historical records program advice and assistance plans. To be

eligible to receive aid annually, each participating regional advisory

and assistance agency shall submit an annual workplan acceptable to the

commissioner, and, after the first year of receiving aid, a report on

activities of the prior year and a five-year plan, by dates designated

by the commissioner. The five-year plan shall outline goals and

objectives to be accomplished in the region during the five-year period.

The annual workplan shall describe the activities to be carried out

during the year and the program advice and assistance to be provided.

The five-year plans and the annual workplans shall reflect regional

priorities and shall be consistent with statewide priorities established

by the commissioner.

c. Aid. The commissioner shall each year determine the distribution of

aid among eligible regional advisory and assistance agencies. In doing

so, he shall take into account the level of resources needed to provide

the services described in paragraphs f and g of subdivision two of this

section in a satisfactory manner, the extent of the geographical area

served by each agency, and the size of the population served by each

agency, and shall distribute the available funds in such a manner as

will best give effect to this section.

9. Aid for state university of New York and city university of New

York. To be eligible to receive aid annually, the central

administration of the state university of New York and the central

administration of the city university of New York shall each submit an

annual workplan acceptable to the commissioner, and, after the first

year of receiving aid, a report on activities of the prior year and a

five-year plan.

11. Regulations. The commissioner shall adopt regulations to implement

the provisions of this section.