National Archives: Framework Governing Use of Presidential Library Facilities and Staff
Published: 2011-02-28T00:00:00

Fast Facts:

Highlights:
section_title: Why GAO Did This Study
paragraphs: The National Archives and Records Administration (NARA) operates presidential libraries for all of the former U.S. presidents since Herbert Hoover. These libraries received over 2.4 million visits in 2009, including researchers, public program attendees, and museum visitors. Each library is associated with a private foundation, which raised the funds to build the library and then turned the library facility over to the federal government. These foundations typically have ongoing relationships with the libraries they built, and some of these library-foundation relationships involve sharing of staff and facilities. Per congressional request, this report describes the principal laws, regulations, and NARA policies that govern library-foundation relationships and the appropriate use of library facilities and staff. GAO reviewed specific laws governing presidential libraries, and NARA regulations and policies. We also reviewed applicable laws and regulations governing activities held on government property and acceptable activities of federal employees. Further, we interviewed relevant NARA officials. NARA reviewed a draft of this report and had no substantive comments. NARA made technical suggestions which we incorporated as appropriate. GAO is not making any recommendations in this report.
section_title: What GAO Found
paragraphs: The federal laws specific to presidential libraries focus primarily on the design and construction of library facilities and, once constructed, the deeding of the library facilities, or the rights to use the facilities, to the federal government. NARA building-use regulations outline the permissible and prohibited uses of presidential library facilities by outside organizations. Prohibited uses include profit-making, commercial advertisement or sales, partisan political activities, or sectarian activities. Other laws and regulations govern what federal employees may and may not do in their official capacity. As federal employees, NARA library employees must follow these rules in their interactions with the foundation associated with the library. NARA's Office of Presidential Libraries has developed a policy manual and standards that address topics such as museum activities and records. This office also works with the NARA General Counsel to develop guidance governing the library-foundation relationship, such as those related to the foundations' use of library facilities and when and how library staff can support foundation activities. The libraries also have one or more written agreements with their associated foundation that govern different aspects of the relationship. These agreements differ in format; content; and the extent to which they address use of facilities, library and foundation staff relationships, and political activities.

section_title: Letter
paragraphs: The National Archives and Records Administration (NARA) operates  presidential libraries for all of the former U.S. presidents since Herbert  Hoover. These libraries received over 2.4 million visits in 2009, including  researchers, public program attendees, and museum visitors. Each library  is associated with a private foundation and some of these library– foundation relationships involve sharing of staff and facilities. Libraries  are generally funded by appropriated funds, donations, museum store  revenue, admission and other fees, endowments, and foundation funds.  Some libraries are located on university campuses and also receive some  support from the university. In some cases, state or local governments also  contributed to library construction and provide ongoing support for some  libraries. NARA manages its federal employees’ activities and determines  the appropriate use of federal facilities and federal funds at the  presidential libraries based on an understanding of the applicable laws,  regulations, and policies. On the basis of your request and subsequent  discussions with your staff, this report describes the principal laws,  regulations, and NARA policies that govern library–foundation  relationships and the appropriate use of library facilities and staff.
We reviewed applicable laws and regulations governing activities held on  government property and acceptable activities of federal employees. We  also reviewed specific laws governing presidential libraries, and NARA  regulations and policies. We interviewed NARA officials in the Office of  Presidential Libraries, General Counsel, and Inspector General. To identify  the principal laws, regulations, and NARA policies that govern library– foundation relationships, we reviewed 29 policy documents, laws, and  regulations that related to presidential libraries. We identified 17 that were  relevant to the library–foundation relationship for facilities use, staff, and  political activities. We also reviewed an additional 30 documents that  NARA described as agreements establishing the relationship between  presidential libraries and private foundations. We conducted our work  from May 2010 through February 2011 in accordance with all sections of  GAO’s Quality Assurance Framework that are relevant to our objective.  The framework requires that we plan and perform the engagement to  obtain sufficient and appropriate evidence to meet our stated objectives  and to discuss any limitations in our work. We believe that the information  and data obtained, and the analysis conducted, provide a reasonable basis  for the findings and conclusions in this product.
subsections: section_title: Background
paragraphs: Prior to 1940, U.S. presidents or their descendents typically retained  ownership of papers documenting their terms of office. The fate of these  papers was up to the former president or his descendents, and some were  lost forever. In 1940, Franklin D. Roosevelt was the first president to  arrange to have a library built using privately raised funds and to then  transfer both the facility and his papers to the federal government.  Through its Office of Presidential Libraries, NARA operates presidential  libraries housing the papers of all subsequent presidents through George  W. Bush, as well as President Roosevelt’s predecessor in the White  House, Herbert Hoover. At the end of a president’s term, NARA staff begin  working with the president’s official records and other materials. This  work goes on during library construction and during the period between  the dedication of the library facility and its transfer to the federal  government. Table 1 provides facts about the 13 presidential libraries and  museums operated by NARA.
For most of the libraries, as the president’s term was coming to a close or  after it ended, friends and supporters of the president created a private  charitable foundation to collect donations to construct a library. Under  current law, NARA collaborates with each presidential library foundation  on the construction of the library facility, and when the facility  construction is complete, the foundation deeds or gives the right to use the  library facility or a portion of the facility to NARA. The Presidential  Libraries Act of 1986 also requires that the National Archives Trust Fund  receive an operating endowment for each library before NARA can accept  the transfer of the library. These endowments fund some of the federal  government’s costs for the operation and maintenance of the presidential  libraries. Figure 1 captures key steps of the current process of  establishing a presidential library. Some variations from this process may  exist.
Each library is operated by a director who is a NARA employee, and other  library staff who are also NARA employees. The staffs typically include an  administrative officer, facility manager, education and exhibits specialists,  archivists, archives technicians, and clerks, among other staff. The  director of a presidential library is appointed by the Archivist of the United  States, the head of NARA, who consults with the former president in  selecting a candidate.
The Office of Presidential Libraries is headed by the Assistant Archivist for  Presidential Libraries. The Office of Presidential Libraries is responsible  for overseeing the management of records at the libraries, the  development of policies and procedures for the management and  operation of presidential libraries, and the development and coordination  of plans, programs, and resource allocations at presidential libraries. The  Office of Presidential Libraries is also involved in the creation of new  presidential libraries.
Funds appropriated by Congress support NARA’s staffing, administration,  security, maintenance, and renovation projects at the library. In fiscal year  2009, NARA spent more than $68 million in appropriations to operate the  presidential libraries. In addition, for fiscal year 2009 NARA received $41.5  million in special appropriations for repairs and restoration to the John F.  Kennedy Presidential Library and Museum ($22 million), the Franklin D.  Roosevelt Presidential Library and Museum ($17.5 million), and the  Lyndon Baines Johnson Library & Museum ($2 million).
Each private foundation is operated by a director, president, or CEO and  other staff that may include a chief financial officer and director of  communications, among other positions. Foundation support enables the  libraries to expand their research and archival functions, as well as  undertake additional projects such as public outreach efforts. The  foundations’ level of involvement in the activities at their associated  library, such as collaboration on public and educational programs, varies  from library to library. Foundations may also sponsor their own programs  and activities, such as hosting a lecture series or academic discussion or  producing a newsletter. NARA officials told us that, in most cases, these  kinds of programs and activities are offered in conjunction with and  supported by library staff. For example, a foundation may pay for a lecture  series that is held in NARA-controlled space.
The foundations may also generally support their associated libraries with  additional funding for new facilities and equipment and for updating  permanent exhibits, adding program space, and giving the library the use  of foundation staff time for library activities. Foundations provide these  resources directly to their associated library. This process generally is  handled at the library level based on the relationship between the library  and the foundation. Each presidential library also has a trust fund that  receives revenue from the sale of publications, museum shop sales,  document reproductions, audio-visual reproductions, library admissions,  public space rentals, educational conferences, and interest income. Trust- fund money helps the library cover the cost of museum shop inventory,  personnel, operational and financial systems, equipment, and supplies.  These funds may also support exhibit-related and public-programming  expenses. In fiscal year 2009, the trust funds for presidential libraries had a  total end-of-year balance of approximately $15 million. In addition to trust  funds, presidential libraries also maintain funds from gifts donated to a  library for general library support or for specific projects or programs.
section_title: Federal Laws and Regulations, NARA Policies, and Individual Library Agreements Provide Guidance on the Library–Foundation Relationship
subsections: section_title: Federal Laws Govern Library Creation
paragraphs: The federal laws specific to presidential libraries focus primarily on the  design and construction of library facilities and, once constructed, the  deeding of the library facilities, or the rights to use the facilities, to the  federal government. Congress has enacted three primary statutes that  provide the legal rules for the design, construction, and transfer of library  facilities.
section_title: Federal Regulations Govern the Use of Library Facilities by Outside Organizations
paragraphs: NARA’s building-use regulations outline the permissible and prohibited  uses of the presidential library facilities by other groups. According to the  regulations, other groups may request the use of presidential library  facilities when the activity is    sponsored, cosponsored, or authorized by the library;    conducted to further the library’s interests; and    does not interfere with the normal operation of the library.
The regulations prohibit the use of the facilities for profit-making,  commercial advertisement or sales, partisan political activities, or  sectarian activities.
When NARA considers it to be in the public interest, NARA may allow for  the occasional, nonofficial use of rooms and spaces in a presidential  library and charge a reasonable fee for such use. Additionally, the  regulations require outside organizations to apply for the use of library  space by writing to the library director and submitting an Application for  Use of Space in Presidential Libraries. Applying organizations must agree  to review their event plans with library staff and that the plans will  conform to library rules and procedures. The application also confirms  that the organization will not charge admission fees, make indirect  assessment fees for admission, or take collections for their events.  Further, the application prohibits the organization from suggesting that  the library endorses or sponsors the organization.
section_title: Federal Laws and Regulations Govern the Use of Staff
paragraphs: Federal laws and regulations specify for all federal employees—including  federal employees working at presidential libraries—what they may and  may not do in their official capacity. For example, federal employees may  not engage in commercial or political activity associated with their federal  positions. According to NARA’s General Counsel, there are no special laws  or regulations that apply only to how library employees interact with the  foundation or, if applicable, university associated with their library, but  the laws and regulations that apply throughout the federal government  also apply to library employees.
The Hatch Act provides the rules for the activities of library employees at  events such as candidate debates or speeches by candidates that  sometimes take place at the libraries. The Hatch Act, which is enforced by  the U.S. Office of Special Counsel (OSC), prohibits certain political  activities for federal employees. At an event such as these (or at any other  time) a library employee may not    use official authority to interfere with an election;    solicit, accept, or receive political contributions from any person;  run for nomination or as a candidate for election to a partisan political  office; or solicit or discourage the political activity of any person  connected to the business of the employee’s office.
NARA employees must also follow the Standards of Ethical Conduct for  Employees of the Executive Branch issued by the Office of Government  Ethics. The standards emphasize that employees have a responsibility to  the U.S. government and its citizens to place loyalty to the Constitution,  laws, and ethical principles above private gain, and set forth 14 general  principles. Among other things, the standards describe limitations on  actions an employee may take while seeking other employment, and  require that employees use the time they are serving in an official capacity  in an honest effort to perform official duties.
section_title: The Office of Presidential Libraries Provides Further Guidance on Facilities’ Use and Staff Activities
paragraphs: NARA’s Office of Presidential Libraries oversees the 13 presidential  libraries. That office has developed systemwide policies, including the  Presidential Libraries Manual, which discusses museum activities and  records topics, and the NARA / Office of Presidential Libraries  Architecture and Design Standards for Presidential Libraries. The Office of  Presidential Libraries also works with the NARA General Counsel on the  development of policies governing the library–foundation relationship.  The NARA General Counsel has issued legal opinions on foundations’ use  of library facilities, when and how library staff can support foundation  activities, and if library staff can fundraise for the foundations.  Additionally, NARA officials explained that the NARA General Counsel  and the Office of Presidential Libraries negotiate with the foundations on  the agreements establishing the relationship between a new library and its  associated foundation.
According to NARA officials, library directors at the individual libraries  consult with the NARA General Counsel about activities that could have  political undertones before allowing a program or event. For example,  library directors have contacted NARA General Counsel to inquire about  using libraries as polling places. NARA approved the use of libraries as  polling places as long as certain requirements were met such as that no  political solicitation occurs on library-controlled property. In another  example, a local political party requested but was not allowed to hold a  political forum at the library.
NARA officials told us that NARA does not have internal directives  specifically regarding the supervision of library and foundation staff. They  said that when library staff are concerned about supervision or other  issues while working on a collaborative project with the foundations, they  are expected to seek advice from the NARA General Counsel’s ethics  program staff. Table 3 provides a summary of NARA policies and NARA  General Counsel opinions concerning library–foundation activities and  other outside uses of the libraries.
section_title: Library–Foundation Agreements Further Define Their Relationship
paragraphs: Each presidential library has a written agreement with its associated  foundation and, if applicable, the associated university that governs  aspects of the relationship between the entities. These agreements differ  in format; content; and the extent to which they address use of facilities,  library and foundation staff relationships, and political activities. These  agreements must be consistent with the applicable statutes and NARA  regulations. At some libraries, the library–foundation relationship is  addressed by more than one agreement due to the updating or  supplementing of original documents, or to the changing format of the  agreements over time. Some of the oldest agreements are primarily a  series of Letters of Offer and Acceptance between the foundation and the  General Services Administration (GSA), with later agreements taking the  form of a mutually signed agreement between the foundation and NARA.  For example, the Ford museum and the Hoover, Truman, Eisenhower, and  Kennedy library agreements (from 1957 to 1980) include one or more  Letters of Offer and Acceptance between the foundation and the GSA.  Later agreements from more-recently established libraries, as well as  earlier libraries that updated their agreements, include mutually signed  agreements between the foundation and NARA. Of these later agreements,  some focus on a specific project or aspect of the library–foundation  relationship, while some focus broadly on the library–foundation  relationship.
We reviewed the library–foundation agreements and found that, over time,  the agreements have become increasingly more detailed, especially  regarding staff, each entity’s use and control of the different parts of the  facilities, and political activities. Earlier agreements are largely focused on  the transfer of property from the foundation to the United States, while  later agreements address additional aspects of the library–foundation  relationship. For example, later agreements address which entity controls  specific parts of the facilities, including details related to one entity’s use  of the other’s space (such as the permitted purposes for using the other’s  space, and reimbursing the other entity for costs associated with using its  space). Later agreements are also more likely to clarify the different roles  and responsibilities of library and foundation staff, and address activities  or tasks that library staff are not allowed to perform. Some of the later  agreements also address potential conflicts of interest between the library  and the foundation. For example, two of the later agreements state that  foundation staff are to act in the best interests of the foundation, and  NARA staff are to act in the best interests of NARA and the United States.  Regarding political activities, two of the later agreements state that library  space is not allowed to be used for partisan political activities. Also, NARA  regulations give library directors the authority to establish supplemental  policies. According to NARA officials, these supplemental policies may  provide further detail on the library–foundation relationship regarding  facilities, staff, and political activities. Our review was limited to NARA- wide policies and library–foundation agreements and we did not review  any local library supplemental policies.
NARA officials explained that the written agreements between individual  libraries and the foundations are important, but that they also do not fully  prescribe the relationships between the entities. They said that the  relationships are shaped over time and by factors such as the particular  foundation’s interest in collaborating with the library or doing charitable  work elsewhere. For example, the Harry S. Truman Library and Museum  and its associated foundation, the Truman Library Institute, are colocated  and often collaborate on educational programs. The foundation describes  itself as working with the library to “fulfill the Truman Library’s  commitment to research and education.” In contrast, the mission of the  foundation associated with the Jimmy Carter Library and Museum, The  Carter Center, does not directly focus on the library, but rather “to  advance peace and health worldwide.” NARA officials said that interaction  between individual libraries and their foundations vary, but they also  stressed that no one foundation’s emphasis is more correct than another.  These are examples of differences among foundations and how those  differences shape the level of involvement by a foundation with a library.
section_title: Agency Comments
paragraphs: We provided a draft of this report to NARA. NARA had no substantive  comments and provided technical comments by e-mail, which we  incorporated as appropriate. NARA’s letter is reprinted in appendix I.
We will send a copy of this report to the Archivist of the United States.  This report will also be available at no charge on GAO’s Web site at  http://www.gao.gov. If you or your staff have any questions about this  report, please contact me at (202) 512-9110 or brostekm@gao.gov. Contact  points for our Offices of Congressional Relations and Public Affairs may  be found on the last page of this report. Key contributors to this report are  listed in appendix II.
section_title: Appendix I: Comments from the National Archives and Records Administration
section_title: Appendix II: GAO Contact and Staff Acknowledgments
subsections: section_title: GAO Contact
section_title: Staff Acknowledgments
paragraphs: In addition to the contact named above, David Lewis, Assistant Director;  Sonya Phillips; Juliann Gorse; Brianna Benner; Sabrina Streagle; Lois  Hanshaw; Susan Christiansen; Lindsay Read; and Jessica Thomsen made  key contributions to this report.