§ 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.