U.S. GOVERNMENT PRINTING OFFICE

WASHINGTON : 

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79–010

" ! SENATE 106TH CONGRESS

2d Session

REPORT

2000

106–466

Calendar No. 914

A BILL TO AMEND TITLE 44, UNITED STATES

CODE, TO AUTHORIZE APPROPRIATIONS

FOR THE NATIONAL HISTORICAL PUBLICATIONS AND RECORDS COMMISSION FOR

FISCAL YEARS 2002 THROUGH 2005

R E P O R T

OF THE

COMMITTEE ON GOVERNMENTAL AFFAIRS

UNITED STATES SENATE

TO ACCOMPANY

H.R. 4110

TO AMEND TITLE 44, UNITED STATES CODE, TO AUTHORIZE APPROPRIATIONS FOR THE NATIONAL HISTORICAL PUBLICATIONS

AND RECORDS COMMISSION FOR FISCAL YEARS 2002 THROUGH

2005

OCTOBER 3 (legislative day, SEPTEMBER 22), 2000.—Ordered to be printed

(II)

COMMITTEE ON GOVERNMENTAL AFFAIRS

FRED THOMPSON, Tennessee, Chairman

WILLIAM V. ROTH, JR., Delaware

TED STEVENS, Alaska

SUSAN M. COLLINS, Maine

GEORGE VOINOVICH, Ohio

PETE V. DOMENICI, New Mexico

THAD COCHRAN, Mississippi

ARLEN SPECTER, Pennsylvania

JUDD GREGG, New Hampshire

JOSEPH I. LIEBERMAN, Connecticut

CARL LEVIN, Michigan

DANIEL K. AKAKA, Hawaii

RICHARD J. DURBIN, Illinois

ROBERT G. TORRICELLI, New Jersey

MAX CLELAND, Georgia

JOHN EDWARDS, North Carolina

HANNAH S. SISTARE, Staff Director and Counsel

SUSAN G. MARSHALL, Professional Staff Member

JOYCE A. RECHTSCHAFFEN, Minority Staff Director and Counsel

PETER A. LUDGIN, Minority Professional Staff Member

DARLA D. CASSELL, Chief Clerk

106–466

Calendar No. 914

106TH CONGRESS REPORT

2d Session " ! SENATE 106–466

AMENDING TITLE 44, UNITED STATES CODE, TO AUTHORIZE APPROPRIATIONS FOR THE NATIONAL HISTORICAL

PUBLICATIONS AND RECORDS COMMISSION FOR FISCAL

YEARS 2002 THROUGH 2005

OCTOBER 3, (legislative day, SEPTEMBER 22), 2000.—Ordered to be printed

Mr. THOMPSON, from the Committee on Governmental Affairs,

submitted the following

REPORT

[To accompany H.R. 4110]

[Including cost estimate of the Congressional Budget Office]

The Committee on Governmental Affairs, to whom was referred

the bill (H.R. 4110) to amend title 44, United States Code, to authorize appropriations for the National Historical Publications and

Records Commission for fiscal years 2002 through 2005, having

considered the same, reports favorably thereon without amendment

and recommends that the bill do pass.

CONTENTS

Page

I. Background and Need for the Legislation ...................................................... 1

II. Legislative History ........................................................................................... 3

III. Section-by-Section Analysis ............................................................................. 3

IV. Regulatory Impact Statement ......................................................................... 4

V. CBO Cost Estimate .......................................................................................... 4

VI. Changes to Existing Law ................................................................................. 5

I. BACKGROUND AND NEED FOR LEGISLATION

The National Historical Publications and Records Commission

(NHPRC), provides grants to archivists, historians, State and local

governments, and non-Federal agencies and institutions across the

Nation to support a wide range of activities to preserve, publish,

and encourage the use of documentary sources relating to the history of the United States. H.R. 4110 would reauthorize the Commission to continue its important work, setting an authorization

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cap at $10 million annually from fiscal year 2002 to fiscal year

2005. The NHPRC, which is affiliated with the National Archives

and Records Administration (NARA), complements National Archives’ work in protecting vital American documents. Unlike the

National Archives, which maintains Federal records, the Commission assists non-Federal historical societies, institutions, non-profit

organizations, universities, State and local governments, and individuals.

In 1934, both NARA and the Commission, then called the National Historical Publications Commission, were formed with the

latter charged to support the publication of the papers of America’s

important people and events. In 1974, 40 years after the creation

of the Commission, (under Public Law 93–536) Congress expanded

the Commission’s focus to include archival records, giving the Commission authority to work for the collection, preservation, and increased access to records, in addition to its work with historical

publications.

The Commission is composed of 15 members and is chaired by

the Archivist of the United States. Seven of the members are appointed by the Judicial, Executive, and Legislative branches of the

Federal Government. Professional societies of archivists, historians,

documentary editors, and Government records administrators, and

the Librarian of Congress appoint the remaining Commission members. Commission members review all eligible project proposals,

recommend to the Archivist those grants they believe should be

funded, and are instrumental in developing the goals and programs

for the Commission. The Commission’s administrative staff implements Commission policies and recommendations, provides assistance and advice to potential applicants, advises the Commission on

proposals, and supervises the grants they award.

The NHPRC is the only national grant-making organization in

the Nation whose sole focus is the preservation and publication of

America’s documentary history. This year, the Commission received

$6.25 million of its maximum $10 million available appropriation.

Sixty percent of this money was awarded to projects addressing the

Commission’s three major goals, and the remaining 40 percent

helped fund other projects, including documentary editions, and archival preservation and cataloguing projects (e.g., papers and photographs). The Commission supports the professional development

of archivists, documentary editors, and record-keepers through fellowships, institutes, conferences, workshops, and other programs.

In addition, the Commission has undertaken a number of projects

that focus on the records of under-documented groups, such as Native Americans, African Americans, Asian Americans, Pacific Islanders, and other ethnic and interest groups, and social and political movements.

The Commission’s Strategic Plan has identified three major goals

over the next three years:

(1) The NHPRC will continue its work toward the timely completion of its Founding Fathers Projects, which includes collecting,

transcribing, annotating and publishing the papers of George

Washington, John Adams, Benjamin Franklin, Thomas Jefferson,

and James Madison. It will also continue to work on papers that

document the Ratification of the Constitution, the First Federal

Congress, and the early Supreme Court.

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(2) The NHPRC will promote broad public participation in historical documentation by collaborating with State Historical Records

Advisory Boards (SHRABs) to plan and carry out jointly funded

programs to strengthen the Nation’s archival infrastructure and expand the range of records that are protected and accessible. Commission grants help fund these advisory boards in the States and

U.S. Territories. The Commission also awards the States regrants,

(funds that are matched by the States) that the State then provides

to projects within the State. Over the past five years, the NHPRC

awarded more than $3.7 million in regrants, which funded 600

projects.

(3) Finally, the Commission provides leadership in funding research-and-development programs on appraising, preserving, disseminating, and providing access to important documentary

sources in electronic form. The NHPRC has awarded $425,000 in

grants to support the non-Federal portion of the United States

team working on International Research on Permanent Authentic

Records in Electronic Systems, known as the InterPARES project.

The InterPARES project is an international project in which countries, including Italy, China, and Japan, work together with the

United States on the permanent preservation of authentic electronic records. In addition, the NHPRC awarded $300,000 to the

San Diego Supercomputer Center for a project to continue the Center’s work; and, specifically, to look at the scalability and usefulness of the technology it is developing to maintain and provide

long-term access to electronic records in archives smaller than

NARA. The NHPRC recently launched a major initiative to broaden the base and raise the level of archival expertise in electronic

record-keeping throughout the Nation. Without this work, Federal,

State, and local records could be lost, due to the dynamic growth

and sophistication of new technology.

Reauthorizing the Commission will ensure the Commission’s continued work on these and other important projects.

II. LEGISLATIVE HISTORY

No hearings were held on H.R. 4110 by the Committee on Governmental Affairs. The committee marked up the bill September

27, 2000, without objection or amendments. On March 29, 2000

Chairman Stephen Horn, Subcommittee on Government Management, Information and Technology introduced H.R. 4110, a bill to

reauthorize the National Historical Publications and Records Commission from Fiscal Year 2002 through Fiscal Year 2005. On April

4, 2000, the Subcommittee on Government Management, Information and Technology held a legislative hearing on the bill. Chairman Horn heard testimony from archivists and historians working

to preserve documents of historical significance.

No amendments were offered at the subcommittee level.

III. SECTION-BY-SECTION ANALYSIS

Section 1. Short title

Section 1 authorizes funding for the National Historical Publications and Records Commission.

It amends Section 2504(f)(1) of title 4 of the U.S. Code in subparagraphs (J) and (K), adding ‘‘and’’ to include new subparagraphs

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(L O), which would fund the Commission for fiscal year 2002 to fiscal year 2005.

IV. REGULATORY IMPACT STATEMENT

H.R. 4110 would reauthorize the appropriation of $10 million—

the amount authorized for fiscal year 2001—to the National Historical Publications and Records Commission for each of the fiscal

years 2002 through 2005. The Commission received an appropriation of $6.25 million in 2000, and the President has requested $6

million for the Commission in fiscal year 2001. The Congressional

Budget Office estimates that implementing H.R. 4110 would increase costs by $34 million over the fiscal years of 2002 through

2005, assuming appropriations of the authorized amounts. Because

the bill would not affect direct spending or receipts, pay-as-you-go

procedures would not apply.

H.R. 4110 contains no intergovernmental or private-sector mandates as defined in the Unfunded Mandates Reform Act (UMRA)

and would impose no costs to State, local or tribal governments.

V. CONGRESSIONAL BUDGET OFFICE COST ESTIMATE

U.S. CONGRESS, CONGRESSIONAL BUDGET OFFICE, Washington, DC, September 29, 2000.

Hon. FRED THOMPSON, Chairman, Committee on Governmental Affairs,

U.S. Senate, Washington, DC.

DEAR MR. CHAIRMAN: The Congressional Budget Office has prepared the enclosed cost estimate for H.R. 4110, an act to amend

title 44, United States Code, to authorize appropriations for the

National Historical Publications and Records Commission for fiscal

years 2002 through 2005.

If you wish further details on this estimate, we will be pleased

to provide them. The CBO staff contact is John R. Righter.

Sincerely,

BARRY B. ANDERSON

(For Dan L. Crippen, Director).

Enclosure.

H.R. 4110—An act to amend title 44, United States Code, to authorize appropriations for the National Historical Publications and

Records Commission for fiscal years 2002 through 2005

Summary: H.R. 4110 would authorize the appropriation of $10

million—the same amount authorized for 2001—to the National

Historical Publications and Records Commission for each of fiscal

years 2002 through 2005. The Commission received an appropriation of $4.25 million in 2000. CBO estimates that implementing

H.R. 4110 would cost $34 million over the fiscal year 2002–2005

period, assuming appropriations of the authorized amounts. Because the legislation would not affect direct spending or receipts,

pay-as-you-go procedures would not apply. H.R. 4110 contains no

intergovernmental or private-sector mandates as defined in the Unfunded Mandates Reform Act (UMRA) and would impose no costs

on state, local, or tribal governments.

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Estimated cost to the Federal Government: The estimated budgetary impact of H.R. 4110 is shown in the following table. This estimate assumes that the amounts authorized will be appropriated

and that spending will occur at historical rates. The costs of this

legislation fall within budget function 800 (general government).

By fiscal year, in millions of dollars—

2000 2001 2002 2003 2004 2005

SPENDING SUBJECT TO APPROPRIATION

Commission Spending Under Current Law:

Authorization Level 1 ........................................................................ 4 10 0 0 0 0

Estimated Outlays ........................................................................... 6 8 5 1 0 0

Proposed Changes:

Authorization Level .......................................................................... 0 0 10 10 10 10

Estimated Outlays ........................................................................... 0 0 5 9 10 10

Commission Spending Under H.R. 4110:

Authorization Level 1 ........................................................................ 4 10 10 10 10 10

Estimated Outlays ........................................................................... 6 8 10 10 10 10

1 The 2000 level is the amount appropriated for that year.

Pay-as-you-go considerations: None.

Intergovernmental and private-sector impact: The legislation contains no intergovernmental or private-sector mandates as defined

in UMRA and would impose no costs on state, local, or tribal governments.

Previous CBO cost estimate: On May 25, 2000, CBO transmitted

a cost estimate for H.R. 4110 as ordered reported by the House

Committee on Governmental Reform on May 18, 2000. The two

versions of the legislation are identical, as are our cost estimates.

Estimate prepared by: Federal Costs: John R. Righter. Impact on

State and Local Governments: Susan Sieg Tompkins. Impact on the

Private Sector: Paige Piper/Bach.

Estimate approved by: Peter H. Fontaine, Deputy Assistant Director for Budget Analysis.

VI. CHANGES TO EXISTING LAW

Changes in existing law made by the bill, as reported, are shown

as follows (existing law proposed to be omitted is enclosed in black

brackets, new matter is printed in italic, existing law in which no

change is proposed is shown in roman):

SECTION 2504 OF TITLE 44, UNITED STATES CODE

2504. Duties; authorization of grants for historical publications

and records programs; authorization for appropriations

(a) * * *

* * * * * * *

(f)(1) For the purposes specified in this section, there is hereby

authorized to be appropriated to the National Historical Publications and Records Commission—

(A) * * *

* * * * * * *

(J) $10,000,000 for fiscal year 2000; and

(K) $10,000,000 for fiscal year 2001; and

(L) $10,000,000 for fiscal year 2002;

(M) $10,000,000 for fiscal year 2003;

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(N) $10,000,000 for fiscal year 2004; and

(O) $10,000,000 for fiscal year 2005.

* * * * * * *

NATIONAL ARCHIVES AND

RECORDS ADMINISTRATION, College Park, MD, July 25, 2000.

Hon. FRED THOMPSON, Chairman, Committee on Governmental Affairs,

U.S. Senate, Washington, DC.

DEAR MR. CHAIRMAN: I would like to ask for your assistance in

a matter of great importance to the historical preservation community and by extension to the American public. As you are aware,

H.R. 4110, a bill to reauthorize the National Historical Publications

and Records Commission (NHPRC), was passed by the House of

Representatives today and is being sent to the Senate for consideration. The NHPRC provides grants to archivists, historians, State

and local governments, and non-Federal agencies and institutions

across the nation to support a wide range of activities to preserve,

publish, and encourage the use of documentary sources relating to

the history of the United States. H.R. 4110 would authorize the

Commission to continue its important work, setting an authorization cap at $10 million annually through 2005, identical to the current funding cap. The NHPRC, which is affiliated with the National Archives and Records Administration (NARA), complements

National Archives’ work in protecting vital American documents.

Unlike the National Archives, which maintains Federal records,

the Commission assists non-Federal historical societies, institutions, non-profit organizations, universities, State and local governments, and individuals. Your colleague, Senator Jeffords, is currently serving with distinction as the Senate representative on the

Commission.

Whatever could be done procedurally to ensure Senate action on

H.R. 4110 this session would be greatly appreciated by the Commission and the many publics that it serves. If we may be of assistance in providing further information to you or your staff, please

call on us.

Sincerely,

JOHN W. CARLIN,

Archivist of the United States.

DEPARTMENT OF STATE,

TENNESSEE STATE LIBRARY AND ARCHIVES,

Nashville, TN, August 2, 2000.

Hon. FRED THOMPSON, U.S. Senator from Tennessee, Dirksen Senate Office Building,

Washington, DC.

DEAR SENATOR THOMPSON: H.R. 4110, reauthorization for the

National Historical Publications and Records Commission

(NHPRC) is pending before the Governmental Affairs Committee.

Continued NHPRC grant funding for local archives preservation

projects is crucial to encouraging state and local investment to preserve the historical experience of Tennessee citizens. I affirm this

from my experience as Assistant State Archivist and chair of the

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Tennessee Historical Records Advisory Board that recommends

projects to NHPRC for funding.

In the past two years I have examined records and records keeping practices of more than half the courthouses in Tennessee.

Again and again I have noted a direct connection between the trust

that local citizens have in local government and the confidence they

have in the local government record keeping system and archives.

In communities where records are in dire peril of extinction

through neglect and decay, the frustration of local citizens with

their government is high. The very idea that there is national concern and the availability of competitive funding grants to improve

local records keeping helps me greatly to encourage local governments to do right by their own records and their own citizens.

I hope you will do everything necessary to move the legislation

along and to encourage your colleagues to improve support of the

work of the NHPRC. Tennessee will most surely benefit thereby.

Sincerely,

WILLIAM W. MOSS,

Assistant State Archivist,

Chairman, Tennessee Historical Records Advisory Board.

THE STATE EDUCATION DEPARTMENT,

THE UNIVERSITY OF THE STATE OF NEW YORK,

Albany, NY, August 31, 2000.

Hon. FRED THOMPSON,

Chairman, Senate Committee on Governmental Affairs, Dirksen

Senate Office Building, Washington, DC.

DEAR CHAIRMAN THOMPSON: On behalf of the New York State

Board of Regents and Education Department, which includes the

State Archives, we write to encourage your support to reauthorize

the National Historical Publications and Records Commission

(NHPRC). Federal NHPRC support has been an important source

of funding for statewide strategic planning for New York’s historical records. This support enabled our State to create strong strategic plans that have become national models and to establish a

framework for garnering support for New York’s documentation

priorities.

Like other states across the nation, New York has limited resources to make historical records accessible to the public. Additionally, many of our archival holdings are not accessible to the

public due to lack of enabling tools and technology. NHPRC funding, coupled with our State funding, has and continues to build capacity within New York’s historical records community. Our combined funding is a catalyst; it is often matched and sometimes doubled by local funding.

State and local documentary records hold essential information

regarding our national heritage. There are many areas of our public life—in health, education, transportation, natural resources, economic development, lands and property, etc.—that are only documented at the state and local levels. This information also provides

in-depth understanding of how federal policies affect localities. We

urge your strong support of NHPRC reauthorization.

Sincerely,

CARL T.HAYDEN,

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Chancellor, Board of Regents.

RICHARD P. MILLS,

Commissioner of Education.

THE SOCIETY OF AMERICAN ARCHIVISTS,

Chicago, IL, September 10, 2000.

Senator FRED THOMPSON,

Chairman, Senate Government Affairs Committee, Dirksen Senate

Office Building, Washington, DC.

DEAR SENATOR THOMPSON: On behalf of the Society of American

Archivists, we urge you to support H.R. 4110, a bill for the reauthorization of the National Historical Publications and Records

Commission (NHPRC), a statutory body affiliated with the National Archives and Records Commission that supports a wide

range of activities to preserve, publish and encourage the use of

documentary sources relating to the history of the United States.

By making grants to state and local archives, colleges and universities, libraries, historical societies and other nonprofit organizations in the United States, this small, but very effective granting

body ensures that the various levels of American history are preserved and used by our citizens.

The Society of American Archivists is the oldest and largest association of archivists in the United States, representing more than

3,000 individuals and 400 institutions. It is the authoritative voice

in the United States on issues that affect the identification, preservation, and use of the historical record.

The National Historical Publications and Records Commission, in

its 66 year history has ensured that the documentary history of

this country is not lost, by making the papers of our founding fathers and other prominent Americans widely available through the

publication of their documents. The figures represented include the

Founding Fathers, such as George Washington, Thomas Jefferson

and Benjamin Franklin and Presidents, such as Andrew Jackson,

James K. Polk, and Andrew Johnson.

The Commission has served a vital role in providing the funding

to state boards for the creation of a national archival infrastructure. The focus for these state grants has been on strategic planning, implementation and statewide collaboration. An excellent example of providing services to the local small historical societies is

the NFACE project, the National Forum on Archival Continuing

Education, which seeks to determine the continuing education

needs of the nation’s historical records keepers and to develop an

action agenda to meet those needs.

NHPRC serves as the venture capitalist for the archival work

necessary to ensure our historical heritage: by providing seed

money for new ideas; by taking risks on experimental programs,

such as the work being done by the San Diego Supercomputer Center to develop a method to preserve electronic records; and by providing expertise for fledgling programs, helping to move these local

programs forward. It would be a great loss if the National Historical Publications and Records Commission were not reauthorized.

We urge you to move forward and approve this bill by the end of

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this legislative session to ensure the continuing effectiveness of this

outstanding program.

Sincerely,

LEON J. STOUT, President.

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