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Home My WebLink AboutGrant Application GuideGRANTS ADMINISTRATION UNIT · 9A81 Cultural Education Center · Albany, NY 12230 · (518) 474-6926 LOCAL GOVERNMENT RECORDS MANAGEMENT IMPROVEMENT FUND Grant Application Guide 2011-2012 Application Deadline: 1 February 2011 All applications must be submitted electronically. If you have difficulty completing an online application, contact the Grants Administration Unit at 518-474-6926 The University of the State of New York The State Education Department New York State Archives www. nysed.gov · www. archives.nysed.gov THE UNIVERSITY OF THE STATE OF NEW YORK Regents of The University MERRYL H. TISCH, Chancellor, B.A., M.A., Ed.D ........................................................................... New York MILTON L. COFIELD, Vice Chancellor, B.S., M.B.A., Ph.D ............................................................. Rochester ROEERT M. BENNETT, Chancellor Emeritus, B.A., M.S ................................................................... Tonawanda SAUL B. COHEN, B.A., M.A., Ph.D .................................................................................................. Larchmont JAMES C. DAWSON, A.A., B.A., M.S., Ph.D .................................................................................... Plattsburgh ANTHONY S. BOTrAR, B.A., J.D ....................................................................................................... Syracuse GERALDINE D. CHAPEY, B.A., M.A., Ed.D ..................................................................................... Belle Harbor HARRY PHILLIPS, 3rd, B.A., M.S.ES ................................................................................................ Hartsdale JAMES R. TALLON, JR., B.A., M.A ................................................................................................... Binghamton ROGER TILLES, B.A., J.D .................................................................................................................... Great Neck KAREN BROOKS HOPKINS, B.A., M.EA ............................................................................................ Brooklyn CHARLES R. BEND1T~ B.A .................................................................................................................. Manhattan BE'TrY A. ROSA, B.A., M.S. in Ed., M.S. in Ed., M.Ed., Ed.D ....................................................... Bronx LESTER W. YOUNG, JR., B.S., M.S., Ed. D ........................................................................................ Oakland Gardens CHRIS'fINE D. CEA, B.A., M.A., Ph.D ............................................................................................. Staten Island WAOE S. NORWOOO, B.A ................................................................................................................. Rochester President of The University and Commissioner of Education DAVm STEINER Acting Counsel and Deputy Commissioner for Legal Affairs ERIN O' GRADY-PARENT Deputy Commissioner ]For Cultural Education JEFFREY '~V. CANNELL Assistant Commissioner for New York State Archives CHRISTINE YVARD Director of Operations KATHLEEN D. ROE Director, Government Records Services GEOFFREY g. HUYH The State Education Department does not discriminate on the basis of age, color, religion, creed, disability, marital status, veteran stares, national origin, race, gender, genetic predisposition or carrier status, or sexual orientation in its educational programs, services, and activities. Portions ot this publication can be made available in a variety of formats, including Braille, large print, or audio tape, upon request. Inquiries concerning this policy of non-discrimination should be directed to the State Education Department's Office for Diversity, Ethics, and Access, Room 530, Education Building, Albany, NY 12234. This publication is disttibuted by the New York State Archives. If you have any questions conceming its contents, please call (518) 474-6926, or send an email to the State Archives at archgrants@mail.nysed.gov. New York State Archives web address: www. archives.nysed.gov Table of Contents General Information Introduction .................................................................................................................................... 1 Summary of Major Changes for 2011-2012 ................................................................................ 2 Timetable for 2011-2012 Grants Projects .................................................................................... 2 Eligibility Requirements ................................................................................................................ 3 Types of Grants ............................................................................................................................ 4 Project Categories General Category Requirements .................................................................................................. 6 Category Descriptions .................................................................................................................. 9 Disaster Management .............................................................................................................. 9 Inactive Records ...................................................................................................................... 9 Historical Records .................................................................................................................... 11 Files Management .................................................................................................................. 13 Document Conversion and Access ........................................................................................ 14 Geographic Information Systems (GIS) ................................................................................ 15 Records Systems .................................................................................................................... 16 The eGrants System First Steps for Using eGrants ...................................................................................................... 17 Applying for a Grant .................................................................................................................... 18 Grants Review Priorities for Funding .................................................................................................................. 27 Project Ranking .......................................................................................................................... 27 Review Process .......................................................................................................................... 28 Awards ........................................................................................................................................ 29 Contract Award Protest Procedures .......................................................................................... 29 Schedule of Payments ................................................................................................................ 30 Project Administration .................................................................................................................. 30 Post-Grant Award Forms ...................................................................................................................... 31 Appendix Table of Cubic-Foot Equivalents ................................................................................................ 36 Instructions for the Project and Budget Narratives .................................................................... 37 Eligible and Ineligible Expenditures ............................................................................................ 38 Instructions for Completing the Vendor Quote Form .................................................................. 43 Instructions for Completing the Imaging and Microfilming Project Information Form ................ 44 Publications Order Form ............................................................................................................ 45 Local Government Advisory Services ........................................................................................ 47 Map of Regional Offices .............................................................................................................. 48 i¥ New York State Archives, LGRMIF Grant Application Guide 2011-2012 General Information Introduction The Local Government Records Management Improvement Fund (LGRMIF) grants pro- gram provides funds to help local governments establish records management programs or develop new program components. It is a competitive program, awarding grants based on the merits of applications. The LGRMIE created in 1989, consists of fees collected by county clerks and the New York City Register for the recording of selected documents and for the assignment by county clerks of index numbers for certain court cases. The amount of grant funding available depends on the number of documents recorded and index num- bers assigned each year This will vary with the state of the economy (as reflected in the recording of deeds and mortgages from housing sales). The purpose of LGRMIF grants is not to support local government records management programs indefinitely. Local governments are expected to assume primary responsibility for ongoing support of their programs by providing the resources to manage their records on a continuing basis. This is consistent with the 1987 Local Government Records Law (Article 57-A, Arts and Cultural Affairs Law), which requires most local governments to designate a Records Management Officer (R_MO) and to develop a records management program. On average, between 500 and 700 local governments apply each year. To increase their chances of funding, applicants should closely adhere to the application instructions and address the relevant category and grant type requirements outlined in this guide. The State Archives encourages local govemment officials to attend one of the many LGRMIF grant application workshops held in all regions of the state in the fall. In addition, applicants may direct questions regarding applications to their respective Regional Advisory Officer (RAO), to the State Archives' Grants Administration Unit in Albany at (518) 474-6926, or via email to archgrantsC~rnail.nysed~gov. (See the directory of regional offices, with contact infornration for each of the RAOs, in the appendix.) To comply with formal bidding procedures, the State Archives must receive by 19 January 2011 airy questions that have not already been addressed in this guide or the FAQs on the State Archives' website. All questions and their answers will be posted to the New York State Archives website (www. archives.nysed.gov), which will be updated every week. Additional information may be found on the Archives' website under "Grants and Awards." New York State Archives, LGRMIF Grant Application Guide 2011-20t2 '~ Summary of Major Changes for 2011-2012 · All LGRMIF grant applications must be submitted electronically. · Introduced Shared Services as a type of grant project: Applicants may request up to $150,000 for a Shared Services project. Only the five highest ranked Shared Services proj- ects will be funded in the 2011-2012 grant year. For information about the requirements of these and other types of projects, see "Types of Grants." · Reduced the maximum award for Cooperative projects from $125,000 to $100,000. · Eliminated all bonus points for LGRMIF projects. · Added as a requirement that all projects to implement Geographic Information Systems be conducted as Cooperative or Shared Services projects. · Eliminated the preparation of needs assessments for the implementation of new tech- nology as an eligible project, and, therefore, eliminated the Needs Assessment Category: Applicants may either use government funds to pay a consultant to prepare a needs assessment or work with their RAO to develop a needs assessment or a detailed project plan. · Subsumed the Inventory project category under Inactive Records. · Subsumed the Educational Uses project category under Historical Records. · Modified requirements for the Project Narrative: Applicants must demonstrate how the project will improve services to the public under the Intended Results section of the Project Narrative, for five points in the numerical ranking of applications. This increases the total number of points for the Project Narrative to 75 (from 70). · Modified requirements for the Project Budget: Applicants will be ranked on how well tJ~ey justify all project expenditures and demonstrate the proposed expenditures are rea- sonable. The total number of points for the Project Budget has been reduced from 30 points to 25 points. Timetable for 2011-2012 Grants Projects I Feb 2011 Grant applications must be submitted electronically before 5:00 pm on this date. Also, the paper signature forms required for all applications must be postmarked by this date. 25 ,June 201~ Scheduled date to email notification letters to all applicants. 1 July 2011 Grants projects may start contingent on OSC final approval. 1 June2012 All budget amendments (FS-10-As) must be postmarked by this date. 30 June2012 All work on grants projects must be completed. :31 Ju~¥20'~2 Final narrative and expenditure reports must be submitted electronically or postmarked by this date. 2 New York State Archives, LGRMIF Grant Application Guide 2011-2012 Eligibility Requirements To be eligible to apply for an LGRMIF grant, most local governments in New York State are required to have the following in place by the application deadline: · Records Management Officer (RMO) appointed · Appropriate State Archives records retention and disposition schedule adopted The only exceptions to this are the City of New York and its five county clerks and five district attorneys, community school districts in New York City, and housing authorities, all of which are not required to have RMOs or to adopt State Archives records retention and disposition schedules. The State Education Department's (SED's) Grants Finance Unit will not release grant funds if you have failed to file the required final fiscal or narrative reports for any SED grant (which includes LGRMIF grants). Please also note that an application will not be forward- ed for review if you have not submitted all final reports associated with previously award- ed grants, exclusive of the current grant award period. Public Benefit Corporations Public benefit corporations with local or regional jurisdiction are independent units of local government and are therefore eligible to apply for LGRMIF grants. Community Colleges A community college sponsored by a single county may apply for grant funding only through its county's RMO and with the approval of the county's chief administrative offi- cial. A community college sponsored by more than one county may apply as a separate local government. Fire Districts, Volunteer Fire Companies, Emergency Rescue Services, and Ambulance Services Fire districts are eligible to apply for LGRMIF grants because they are local governments. However, not-for-profit volunteer fire companies, ambulance services, and emergency rescue services are not local governments under the Local Government Records Law, and are therefore not eligible to apply for LGRMIF grants. For questions on eligibility, contact the Grants Administration Unit at (518) 474-6926. Nezo York State Archives, LGRMIF Grant Application Guide 2011-2012 3 Types of Grants Competitive Grants Competitive grants can be for one of three types of projects: Individual projects, Cooperative projects, or Shared Services projects. Applicants may submit or be a party to only one Individual, Cooperative, or Shared Services application, unless the second application is for a project under the Disaster Management category. The maximum amount for Disaster Management projects is $10,000 per grant when an applicant applies for this as a second application. If an appli- cant is submitting only one application and that application is for Disaster Management, the applicant may request up to $75,000 (for an Individual project), $100,000 (for a Cooperative project), or $150,000 (for a Shared Services project). · Individual Projects involve a single local government. The applicant may request up to $75,000. · Cooperative Projects and Shared Services Projects involve two or more local gov- ernments working together, with one government acting as the lead. Applicants for a Cooperative project may request up to $100,000. Applicants proposing a Shared Services project may request up to $150,000. Only~the five highest ranked Shared Services projects will be funded in the 2011-2012 grant year. To be eligible for funding, a Shared Services application must demonstrate how the grant project will establish a permanent cooperative relationship between govern- ments that results in sustainable programmatic change. Applicants for both Cooperative grants and Shared Services grants must meet all of the following requirements: - Prove there is need for the project. If a needs assessment is essential for proving the viability of a project, it is the responsibility of the governments involved to ensure a needs assessment is completed (with government funding) and submitted with the application - Demonstrate the clear financial and administrative advantages of working together by including a cost-benefit analysis - Demonstrate the mutual benefits of the project to all participants - Provide baseline information about the governments, governmental departments, functions, and records that will be the'focus of the project and the basis of all costs - Demonstrate the full participation and support of all participants In addition, proposals for Shared Services projects must - Demonstrate the proposed project will result in permanent, positive program- matic change involving an alliance of two or more local governments; is sustain- able; and all participants are committed to supporting project results for the long term. 4 New York State Archives, LGRM~F Grant Application Guide 2011-2012 All of the following administrative requirements must be met by Cooperative and Shared Services applicants: 1. One of the local government participants must be designated to serve as the lead applicant and fiscal agent for the grant. The lead applicant and participating local government partners must be eligible grant recipients, as defined by the program statute or regulation. 2. The lead applicant must be responsible for the greatest percentage of the budget rela- tive to the other collaborating members. 3. In the event a grant is awarded for a Cooperative or Shared Services project, the grant will be prepared in the name of the lead applicant only. 4. The lead applicant must meet the following requirements: a. Must be an eligible grant recipient as defined by statute. b. Must receive and administer the grant funds and submit the required reports to account for the use of grant funds. c. Must require local government partners to provide a letter of intent. Each letter must explain what the government will do in the course of the project; how funds, personnel, facilities, and tasks will be shared; and what benefits will be gained. Each letter must be signed by the chief administrative officer of the participating govemment. d. Must be an active member of the partnership. e. Cannot act as a flow-through for grant funds to pass to other recipients. f. Is prohibited from subgranting funds to other recipients. The lead applicant is permitted to contract for services with other partners or consultants to provide services that the lead applicant cannot provide itself. g. Must be responsible for the performance of any services provided by the partners, consultants, or other organizations and must coordinate how each plan to partici- pate. If applicants for Cooperative and Shared Services grants do not meet all of these admin- istrative and other requirements as indicated above, their proposals are ineligible for funding. A coterminous town-village, wherein a town and a village share the same boundaries and governing structure, is not eligible to apply as two partners in a Cooperative or Shared Services project (with the exception of the Town and Village of Green Island, which function as totally separate entities). However, the coterminous town-village can be involved in a Cooperative or Shared Services project with a third local government. New York State Archives, LGRMIF Grant Application Guide 2011-2012 2. New York City Department of Records and Information Services By law, the City of New York can receive up to $1 million in LGR_MIF grant funds each year The departments of New York City apply through the usual process and must com- pete for funding, just as other applicants. As part of this $1 million allowance, the Department of Records and Information Services (DORIS), which directly administers LGRMIF grants to New York City departments, is also eligible for a grant of up to $200,000 to support the administration of these grants and may also apply for a grant to address its own archives and records management issues. 3. Disaster Recovery Grants The LGRMIF program offers grants up to $20,000 to support disaster recovery projects. In addition, up to $10,000 is available to prepare a disaster management plan. Applicants for Disaster Recovery grants are required to complete a disaster manage- ment plan at the conclusion of the recovery project or to update their existing plan to address the causes of the recent disaster. You must submit two separate applications, including the FS-20 budget summary form, if you are applying for funds for both a disaster recovery project and to prepare a disaster management plan. All local governments, except New York City mtmicipal agencies, are eligible to apply whenever a disaster InvolvIng records occurs. Disaster recovery grant applications must be submitted within thirty days of the disaster, unless extenuating circumstances pre- clude this. The disaster grant due date is based on the date of the disaster, and these applications are reviewed separately as they occur. If you experience a records disaster, contact your Regional Advisory Officer (RAO) immediately. If your RAO is not available, call the Records Advisory Services Unit in Albany at (518) 474-6926. Project Categories General Category Requirements All applicants must address the following requirements In their LGRMIF applications. Individual categories may have additional requirements. 1. Records Focus Demonstrate that your project focuses on improving the management of records and information in your local government. Methods of doing this include, but are not limit- ed to, the following: · Demonstrate that you are prepared to address the appropriate retention and disposi- tion of the records involved in your project. If you are proposing to implement new technology, explain how you will maintain the records and make them available for 6 New York State Archives, LGRMIF Grant Applica~on Guide 2011-2012 the full retention period (especially if the records are permanent) and destroy the records appropriately when the retention period has passed. · Base project costs on the records involved as much as possible (such as volume, con- dition, or other characteristic of the records). For example, determine the number of hours needed for support staff to inventory and organize records based on the cubic feet of records. · Address specific records management issues, including increased access to records, vital records protection and disaster management, preservation, confidentiality, secu- rit)5 compliance with FOIL and other records laws, and the legal admissibility of infor- mation. Projects that propose to create data or records or to improve a business process am not eligible for funding. Examples of these indude water meter reading projects, projects to initiate or enhance a government's ability to transact business over the Intemet, the implementation of incident voice recording systems, the creation of GIS data by use of Global Positioning System (GPS) units, and the installation of billing programs and other software applications that do not manage records as their primary purpose. Business Process Analyses (BPAs) are also ineligible. If you need assistance with framing your project in records management terms, contact your RAO or staff in Albany. 2. Adherence to Archives' Standards and Guidelines Cite the State Archives' standards and guidelines you used to plan your project. These can include the Archives' standards for digital images and microfilm, and guidelines in the form of workshops, publications, and direct advisory services from a State Archives' Regional Advisory Officer. References to appropriate written standards and guidelines are included in the descriptions for most categories. 3. Increased Capacity Explain how this project will help you develop or enhance the capacity of a records man- agement program or system. LGRMIF grants are not intended to support ongoing operational costs needed to main- rain a records management program. Funds are generally not awarded to address records that have accumulated since the completion of a previous project, to pay for soft- ware and hardware upgrades, or to cover payroll costs that are not directly associated with the grant project. If you are proposing to redo a project funded under a previous grant, you must provide compelling justification for the project. For example, if you are planning to re-inventory and organize a set of records addressed under a previous grant project, fully explain your need for the project and how you will keep the inventory up to date in the future. New York State Archives, LGRMIF Grant Application Guide 2011-2012 7 4. Intent and Ability to Maintain Discuss how you will maintain project accomplishments and support your records man- agement program once grant ~unding ends. Ways to address this issue of maintenance include, but are not limited to, the following: · Indicate how you will ensure initial and ongoing staff training. · If your project involves the development of a records management plan or disaster recovery plan, describe how you will update that plan so that it remains relevant. · Describe how you will develop and maintain policies and procedures for the function that is the focus of your project. · If you are implementing a new records system, indicate whether you have included system-erfforced business rules and audit trails in your implementation plan. · Demonstrate that your local government clearly accepts the responsibility of main- taining any proposed technology (including electronic systems and data contained in and generated by a system) after the end of the grant period. Such maintenance would include budgetary provisions for software and hardware upgrades, annual mainte- nance agreements, data migration plans, and staff costs to r~n the system. · Demonstrate that you have included a clause in any software development contract that requires the software code for customized software be placed in escrow and also requires the vendor to deliver software documentation that meets industry standards. 5. Supporting Documentation Applicants are responsible for ensuring they submit the documentation required by their specific project category. We strongly encourage applicants to obtain electronic ver- sions of any documentation from a vendor (for example, needs assessments, responses to RFQs, floor plans and shelving layouts, conservation treatment proposals), so that they can more easily integrate the documentation into their grant applications when applying online. · If required, applicants must submit all supporting documentation in any one of the following electronic formats only: Microsoft Word (DOC) for text-based documents; Excel (XLS) for spreadsheets; and PDF, JPEG, BMP, or PNG for images. · Needs assessments are not required for tecl'mology implementation projects and are no longer eligible for funding from this grants program. However, if a needs assess- ment is essential for proving the viability of a project, it is the responsibility of the gov- ernment or goverrm~ents involved to ensure a needs assessment is completed and submitted with the application. Applicants may either use government funds to pay a consultant or work with their RAO to develop a needs assessment in house. · Three quotes are required when applying for funds to purchase equipment with a unit cost in excess of $10,000; to purchase computer software with a unit cost in excess of $10,000; for purchased services where the fee paid to any single vendor or consult- ant exceeds $10,000; and for remodeling, where the cost of any one activity exceeds $10,000 or where any one contractor will receive over $10,000. This requirement does not apply to services or products off state contract, from preferred source vendors, or from sole-source vendors. New York State Archives, LGRMIF Grant Application Guide 2011-2012 Submit your RFQ, a Vendor Quote form, and detailed quotes from the vendor or contractor for any service or minor remodeling that costs over $10,000, even if the vendor or contractor providing these services is on state contract, is a preferred source vendor, or is a sole-source vendor. If you are using a vendor on state contract, indicate the state contract number on the Vendor Quote form. Detailed quotes are defined as quotes that clearly delineate individual project costs and vendor or contractor qualifications. (For more information about requirements for vendor quotes, see "Instructions for Completing the Vendor Quote Form" in the appendix.) CATEGORY DESCRIPTIONS Disaster Management Disaster Management supports projects to develop, test, and implement disaster and busi- ness recovery plans and systems to protect local government archival and vital records. Projects under this category must address both hardcopy and electronic records systems. Disaster Management projects have been identified as a priority for funding. Local gov- ernments may apply for two grants only if the second application is for Disaster Management planning. The maximum award for projects under this category is $10,000 when an applicant applies for this as a second application. If an applicant is submitting only one application and that application is for Disaster Management, the applicant may request up to $75,000 for that Disaster Management project. Inactive Records This category encompasses projects to plan, develop, or improve the management of records during the inactive phase of their life cycle. Inactive records are records that are used infrequently but must be retained because their retenfion periods have not yet expired. This category also includes projects for governments to conduct records inventories and surveys to determine what records they have, identify obsolete records, improve how they organize and control records, and, generally, chart a course for the future of their records management programs. Inventory and Planning projects frequently focus on a backlog of inactive records, although they may also include active records. Types of Projects · A comprehensive inventory of all government records (active and inactive), or an inven- tory focusing on the records of a specific department or departments. · An inventory focusing on a specific record format (maps and plans, email, electronic records). New York State Archives, LGRMIF Grant Application Guide 2011-2012 9 · Projects to inventory, organize, and enhance the accessibility of inactive records. These include identifying and consolidating all inactive records, integrating records into an inactive storage area, purging obsolete records, developing rel:rieval methods, and for- mulafing policies for managing inactive records. Inactive Records projects may also involve hiring a consultant to develop a strategy, help formalize policies and procedures, and map the required technology infrastructure for managing inactive electronic records. · Projects to improve an inactive records storage facility. Funding is available to purchase and install intruder alarm systems, fire-detection systems, fire-suppression systems, water detectors, environmental monitoring equipment, and stationary or mobile shelving for inactive records storage facilities. Minor renovations and improvements to storage facilities are also eligible. This may include the services of architects or engineers to devel- op plans, drawings, and specifications for a proposed facility to store hardcopy records. · A records survey, which is not as labor-intensive as an inventory. For information on records inventory and planning, consult State Archives Publication #76, Inventory and Planning. This publication includes a worksheet to use for entering informa- tion directly by hand or for designing a database to ensure the uniformity of data collec- tion. For information about managing Inactive Records, see Publication #48, Developing an Inactive Records Storage Facility; Publication #49, Administration of Inactive Records; and Publication #65, Recommendation for Shelving for Inactive Storage. For information about developing office retention schedules, consult State Archives Publication #41, Retention and Disposition of Records. Category Requirements · All records inventory and survey projects must involve the development of a records management needs assessment and program plan that address short- and long-term goals. Describe the process you will use to develop the needs assessment and records management plan. · Indicate, in cubic feet or bytes, the approximate quantity of records you intend to inven- tory, survey, or organize. Use the "Table of Cubic-Foot Equivalents" in the appendix to estimate cubic footage. Estimate inventory rates for electronic records by conducting a test inventory of a single electronic recordkeeping system. · Indicate an inventory, survey, or purging rate. The standard rate is one to two cubic feet per hour for paper records. This rate may be slower for inventory or inactive projects involving a small volume of records and faster for a records survey. · If planning a partial inventory or survey, specify which offices or government functions or records formats (paper or electronic) the grant project will cover and why. · Explain why you selected a particular site for records storage. Identify the departments that will use the storage area and the controls that will ensure the security of the records. · Include floor plans of proposed storage areas. Draw the plan to scale, indicating all dimensions (length, width, and height) of the storage area. Include the proposed layout of shelving on this plan, and indicate the number of cubic-foot boxes that will fit on each unit of shelving. 10 New York State Archives, LGRMIF Grant Application Guide 2011-2012 · Indicate that the floor load capacity of the chosen site can support the weight of the stored records unless the storage area proposed is in the basement. · Plan for at least 130% of the current cubic footage of volume. For e~ample, if you have 100 cubic feet of records to store, your plan should include room to store 130 cubic feet of records. · If applicable, explain how you will use the data to develop office retention schedules. Include a plan or list of interview questions for evaluating how individual depa~'tments or offices use their records. Historical Records Historical records, also known as archival records, are those records worthy of permanent preservation and special care because of the continuing importance of the information they contain. These records are frequently identified on records retention and disposition sched- ules as having permanent retention periods or potential historical importance. Historical records may exist in a variety of formats, including paper files, maps, photo- graphs, videotapes, or computer files. Funds cannot be used to care for published materi- als, which include newspapers (including clippings), books, magazines, and published maps. Applicants under this project category are strongly encouraged to work with the State Archives when creating series descriptions, catalog records, and collection guides in elec- tronic format for use on a local website or through the Historic Documents Inventory (HDI). For assistance, cai1 the State Archives' Archival Services Unit at (518) 474-6926. In addition, this category also supports projects that propose to use local government records as teaching tools in the community and in the classroom. Educational Uses projects promote the management of local government records and increase public awareness of the educational and historical value of these records. Many projects under this category also address state learning standards for K-12 education. If you are considering an Educational Uses grant, direct your questions to either your RAO or the Public Programs and Outreach Unit at (518) 474-6926. Types of Projects · Assessing the current status of archival activities in order to identify needs, develop plans, write policies and procedures, and recommend future activities for a formal his- torical records program. When developing an archival needs assessment project, refer to State Archives Publication #59, Archival Needs Assessment Guidelines and Template. · Improving access by arranging, rehousing, and describing historical records, or by repro- ducing and distributing guides and other finding aids in paper or electronic format. These activities may involve hiring a professional archivist as a consultant or purchasing pH-neutral or alkaline (pH not less than 7.5), lignin-free storage supplies, including fold- ers, boxes, records cartons, and paper to wrap volumes. New York State Archives, LGRM1F Grant Application Guide 2011-2012 11 · Hiring a professional conservator to survey the preservation needs of historical records and to develop a plan to address those needs, or to apply conservation methods direct- ly to deteriorated or damaged items to return them to stable and usable condition. · Developing websites, brochures, exhibits, walking tours, or other products that use local government records to educate the public and students about community histor~ the value of records, or other subjects. · Preparing document-based instructional materials for dassroom use, including a collec- tion of documents relating to a particular topic, historical background information about the topic and learning activities that incorporate the documents into classroom instruc- tion. Additional materials might include worksheets, constructed response questions, document based questions, resource lists, and bibl/ographies. · Developing programs to train teachers to use local govemment records as teaching tools in the classroom. Category Requirements For all projects: · Provide a list of each records series involved in the project. · If you intend to use records of local governments other than your own, provide a list of the governments and demonstrate that you involved these governments in the early stages of preparing the grant application. · Indicate that you will submit copies of any products, including brochures, collection guides, and procedures manuals, to the State Archives and your RAO. For projects focused on managing historical records: · Indicate the volume (in cubic feet) and condition of records you intend to use. · For projects focused on managing historical records, demonstrate that your government has dear custody of the records involved. · If arrangement and description are involved, follow the standards described in the State Archives' manual, Guidelines for Arrangement and Description of Archives and Manuscripts. To determine the time needed to complete the project, use the follo~mg as a guideline: - Completely unorganized collection: 16 hours per cubic foot - Complicated series, such as correspondence or subject files: 8 hours per cubic foot - Fairly straightforward series that may need some work, such as case files or business records: 4 hours per cubic foot - Well organized series consisting primarily of bound volumes or voluminous series with uniform or repetitive information, such as invoices: 2.5 hours per cubic foot · Demonstrate that by the end of the project you will house the historical records in a safe, secure environment with appropriate temperature and humidity controls. · Discuss policies and procedures relating to access, storage, and security of the historical records, unless these will be developed during the project. New York State Archives, LGRMIF Grant Application Guide 2011-2012 For conservation projects: · Justify the intrinsic value of any records that must be preserved in their original form through conservation treatment rather than on microfilm. Also, submit a copy of vendor treatment proposals and estimated price quotes for each item to be conserved. Treatment proposals should describe specific tasks, proposed materials and techniques, estimated number of hours needed, and itemized costs for the project. For educational projects: · Demonstrate your grant project's substantive use of local government records. You may use non-government records such as business, organization, and church records, as well as historical records from a local historical society and library, where such use supple- ments and provides essential support to the use of local government records. · Address how the proposed project will support both your overall records management objectives and the State Education Department's learning standards. · Include the following project participants for teacher training projects: - Trainers with the necessary experience in using local government records in the class- room, who will instruct other teachers, and who will provide guidance during site vis- its. Trainers may have acquired this experience by conducting research at a local gov- ernment and developing educational materials based on that research; participating in a workshop, such as "Primarily Teaching," offered by the National Archives and Records Administration; or participating in a training workshop on how to use local government records in the classroom. - Local government officials, who will identify and provide access to relevant records. - Participa~g teachers, generally eight to twenty teachers per one-week training session. · Strong preference will be given to projects that offer teachers in-service credit from indi- vidual school districts, or graduate credit from colleges and universities, rather than stipends for attending training workshops. If you are requesting stipends, you must jus- tify the amount according to relevant union contracts. · Develop a plan to distribute copies of the grant's final products to local governments whose records were used or who contributed to the project; to participating teachers; to the school district libraries of participating teachers; and to appropriate community, edu- cational, and research institutions. Files Management Files management is the systematic control of active tiles, preferably beginning at the point when the files system is created. Active files can be paper, electronic, or micrographic. If files are managed well when they are active, managing them as inactive files will be easier. Types of Projects Projects under this category may involve reorganizing or centralizing paper or electronic tiles, implementing file classitication systems, developing written policies and procedures, New York State Archives, LGRMIF Grant Application Guide 2011-2012 13 and training staff. The implementation of a new filing system may require the purchase of specialized filing supplies (end-tab, color-coded file folders) and equipment (lateral, lock- ing files). Document Conversion and Access Local governments may choose to convert records to another format through the use of microfilming or imaging, or a combination of these. Microfilming is especially appropriate for records that are used infrequently and have retention periods of ten years or more. Imaging is a valuable tool for enhancing access to records. Types of Projects · Converting paper records to microfilm or digital images or producing a microfilm mas- ter (or preservation) image and digital use image · Converting microfilmed records to digital images, or copying digital images or informa- tion to microfilm · Addressing the deterioration of acetate-based or nitrate microfilm, including the costs of assessing the problem, duplicating deteriorating film, and refilming original records pre- viously filmed on acetate-based or nitrate microfilm · Improving access to microfilm or scanned images through manual indexing, converting images to electronic text, implementing full-text-searching software, or a combination of solutions · Improving access to images through the implementation of an electronic document man- agement system Category Requirements · Describe how you will manage all of the phases of a conversion project, which include document preparation, document conversion (through microfilming, imaging, or both), image verification and quality control, and the provision of access to the images. - Describe the individual tasks required for preparation (unfolding paper, removing sta- ples, purging obsolete records and duplicates), and indicate the staff time you will need to accomplish these tasks. The baseline rate for preparing records is 1,000 sheets per hour; more time may be required for older, worn records with many staples and clips. - Indicate that the images will be verified to ensure they are legible and all of the records are captured. Images must be 100% verified before the original records are destroyed. - Describe the chosen method for improving access: manual indexing, full-text search- ing, or a combination of solutions. If using off-the-shelf software, indicate the name and version (such as Access 2007). - If rnicrofilming, request $18 per roll for third-party testing of every fourth roll of orig- inal microfilm. This testing will verify adherence to State Archives' guidelines and local government specifications for density, resolution, targeting, and general quality. 14 New York State Archives, LGRMIF Grant Application Guide 2011-2012 · If you are developing a database index, indicate the number of hours you estimate the indexing will take, including the number of hours you will need to prepare for the proj- ect and develop a policies and procedures manual. The usual estimate for indexing min- utes is seven pages per hour The usual estimate for indexing birth, death, and marriage records (and for similar types of objective indexing) is 4,000 keystrokes per hour. A sam- ple master list of terms and policy and procedures manual is available in State Archives Publication #78, Indexing Minutes. · For projects involving the creation of digital images, follow standards outlined in the State Archives' Imaging Production Guidelines. For projects with microfilming as a com- ponent, see Publication #9, Producing High-Quality Microfilm. See also Publication #77, Managing Imaging and Micrographics Projects. Applicants proposing to microfilm or scan court records must also adhere to all Unified Court System guidelines. · Complete a separate Imaging and Microfilming Project Information Form for each records series involved in the project. (Seethe appendix for instructions on completing this form.) · Identify how you will maintain the master image copy. For example, explain how cam- era-negative microfilm will be stored off site under environmentally controlled condi- tions. · If applicable, demonstrate that establishing an in-house microfilming or imaging opera- tion is more economical and efficient than outsourcing. · If implementing a document management system, demonstrate your ability to imple- ment and maintain the system. For example, discuss your ability to budget for systems maintenance, store image files, protect file integrity, and migrate images to the next plat- form and format. Geographic Information Systems (GIS) A GIS is a robust database system designed to store, retrieve, view, and allow the analysis of geographically referenced information. GIS makes it possible to link, or integrate, infor- mation from multiple sources that would be difficult to associate through any other means. Needs assessment projects for the implementation of a GIS are not eligible for funding in this grants program. Projects to create data (for example, by using GPS units or hiring a professional surveyor) are not eligible for funding. Data conversion projects through scanning and georeferencing hardcopy maps are eligible. Types of Projects · Creating a base map, building the capacity to transfer data between governments or gov- ernment departments, collecting or converting data from hardcopy or other sources to integrate into a GIS, and enhancing an existing GIS to allow internal, public, and inter- government viewing access via a web interface. New York State Archives, LGRMIF Grant Application Guide 2011-2012 '~5 Category Requirements · All applications for funding to implement a GIS must be for Cooperative or Shared Services projects. (For information on the requirements of these projects, see "Types of Grants.") · Fully explain why your government needs GIS and spec/tic GIS applications. · If imaging is a component of your GIS project, complete a separate Imaging and Microfilming Project Information Form for each records series involved in the proiect. Records Systems This project category supports implementation projects for any recordkeeping system not covered under another category. Projects under this category must address the effective management of records rather than merely create records or improve a business process. Types of Projects The following are examples of implementation projects that establish or enhance the man- agement of records: · Implementation of database management systems and enterprise content management (ECM) systems. · Projects to enhance access to a government's records via the Internet. · Email management projects, which may involve assessing the current email system, implementing an email management system, or developing policies and procedures for enforcing the appropriate management of email. Examples of projects that create data or records or merely improve a business process include water meter reading projects, incident voice recording systems, projects to initiate or enhance a government's ability to transact business over the Internet, and the imple- mentation of time and attendance reporting software. These software programs do not manage records as their primary purpose. New York State Archives, LGRMIF Grant Application Guide 2011-2012 The eGrants System First Steps for Using eGrants Submit your LGRMIF grant application using the LGRMIF eGrants System, now available at eservices.nysed.gov/Idgrants. All applications must be submitted electronically. If you have difficulty completing an online application, contact the Grants Administration Unit at 518-474-6926. The eGrants System will save your local government money in paper and postage, you won't have to worry about the order in which you submit the forms and supporting mate- rial, and we will be able to process all information concerning your application (including the funding decision) more quickly than we can in paper. If you are awarded a grant, you will also use the eGrant System to file interim and final reports for your project. Below are step-by-step instructions on using the eGrants system to apply for an LGRMIF grant. Registering for a User Account and Password To log into the system, you must have a New York State Directory Service (NYSDS) user- name and password. If you do not have these, your Records Management Officer (RMO) or designee (where an RMO is not required by law) must register for an account. If you are not sure whether your government already has an account, contact the Grants Administration Unit at archgrantsC~mail.nysed.gov. We strongly recommend that you complete or verify your registration at least two weeks before the application deadline. 1. To register, go to eservices.nysed.gov/IdgrantslldgextJcnRegistration.do. 2. Enter all required information, including your RMO's name, title, institutional address, and contact information. Then click Submit. 3. A username and password will be emailed within 48 hours to the institutional email address you enter on the registration form. Please be sure to provide the correct email address, otherwise receipt of your new account will be delayed. Only one username and password will be established for your local government, so del- egate use of this account information to others as needed. The new user account is associated with the institution you represent. The account will allow you to access the eGrants System to submit grant applications on behalf of that institution only. New York State Archives, LGRMIF Grant Application Guide 2011-2012 ']7 Logging into the LGRMIF eGrants System You can find the LGRMIF eGrants System at eservices.nysed.gov/Idgrants. 1. Enter your usemame and password, and dick Login. Your username is usually your first name followed by your last name, with a period between your first and last names: first- name.lastname. (See "Registering for a User Account and Password" if you do not have a New York State Directory Service usemame and password.) 2. The first time you log into the system, you will be asked to change your password and set up security questions. The security questions will be used in case you forget your password. The standards for passwords are as follows: - Passwords must be at least eight characters long, one of which must be a numeric character. - Passwords cannot be the same as your usemame or default password. 3. If you forget your password, click on 'I forgot my password" and answer the security questions to reset your password. If you don't remember the answers to your security questions, please contact Frank Campione at fcampion@mail.nysed.gov or Stefanie Husak at shusak@mail.nysed.gov. 4. Click on the link for the LGRMIF grants program. Applying for a Grant Summary of Initial Application Forms The eGrants system is designed to manage all information about a grant project from the initial application for funding to the doseout of a project after the submission of the final reports. Unfortunatel3 forms that require signatures must still be submitted in paper, and supporting documentation for some projects must be submitted as an electronic attach- ment to an application. Below is a breakdown of which forms can be submitted electron/- cally; which must still be submitted in paper, and which must be attached as electronic files. Electronic forms in eGrants · Application Sheet · Project Narrative · Project Budget · Participating Institutions (if applicable) · Vendor Quote Form (if applicable) · Imaging and Microfilming Project Information Form (if applicable, only one copy of this form can be submitted electronically; if more than one form is needed, subsequent forms must be submitted as attachments) 18 New York State Archives, LGRMIF Grant Application Guide 2011-2012 Forms that cannot be filled out electronically include · Budget Summary (FS-20): 3 copies · Payee Information Form · Standard Data Capture Form · Institutional Authorization Form See "Submitting Paper Forms with the Initial Application" for more information. Documents that must be attached as electronic files · Cooperative/Shared Services Agreement Form (for Cooperative and Shared Services projects only) · Detailed vendor quotes · Needs assessments · Vendor treatment proposals (for relevant projects in the Historical Records category) · Floor plans (for Inactive Records projects that involve minor remodeling or the installa- tion of shelving) · Any other documentation required for your project See "Attaching Documents to the Application" for instructions on adding files to your application electronically. Creating and Accessing an LGRMIF Grant Application The LGRMIF eGrants homepage is where you go to create a new application. 1. To create a new grant application, dick on "Create new application." You can create only one new individual grant application or be a participant in one Cooperative or Shared Services application per grant year, unless you apply for a second grant under the Disaster Management category. (For information about the number of grant applications allowed per government per grant year, see "Types of Grants.") 2. Participants in Cooperative or Shared Services applications (other than the lead govern- ment) have read-only access to the application, except for the Cooperative/Shared Services Agreement Form. 3. When a new blank application appears, you will be directed to the Checklist and can begin filling out the application. 4. Return to the LGRMIF eGrants homepage to access an application already in progress or view an application already submitted. The homepage first lists all grant applications that your institution has created as an individual applicant. It then provides a list of grant applications in which your institution is a participant. Simply click on the project number for the grant application you wish to view. Nezo York State Archives, LGRMIF Grant Application Guide 2011-2012 '19 Using the Checklists The checklists are designed to help you navigate the forms that are required for your spe- cific project and monitor your progress on an application and project. There is a checklist on the drop-down menu for Initial Application Forms and for Post-Grant Award Forms. The checklist for the Initial Application Forms links to the Application Sheet, Project Narrative, Project Budget, Payee Information Form and Standard Data Capture Form, Vendor Quote Form (if applicable), Imaging and Microfilm Project Information Form (if applicable), Institutional Authorization, Budget Summary Form (FS-20), Attachments/Uploads, Application Printouts, Participating Institutions Form (if applica- ble), and Cooperative/Shared Services Agreement Form (if applicable). The checklist for the Post-Grant Award Forms links to the Request for Additional Funds Form (FS-25), Amendment Form (FS-10-A), Final Project Narrative, Final Project Budget (Expenses Submitted), Final Statistical Report, Final Report for Educational Uses Projects, Final Expenditure Report (FS-10-F), Final Report Sign-Off, and Attachments/Uploads. 1. The forms that have a check-off box to the left are required of all applicants. As you com- plete each required form on the Checklist, check the box to the left of that form and dick Save Progress. 2. For instructions on how to submit the forms you cannot complete online, see "Attaching Documents to the Application." 3. The due date for LGRMIF grant applications is 1 February 2011. You must submit your application before 5:00 pm on that date, except for under the following circumstances. - If a state or federal disaster emergency is declared in your area, the local governments affected by the disaster will be given an extension of the grant application deadline of one week. - If the LGRMIF eGrants System is down because of a technical failure on our end, all local governments will be given an extension to the application deadline of one additional business day. Please visit the Archives' website at www. archives.nysed.govlalgrantslgrants_lgrmif.shtml for announcements and updates. 4. To submit your application, dick Submit. A warning message will appear if you have not filled out all sections of the Project Narrative. The system will ask you to confirm your submission of the application, and will automatically generate an email to the Project Director and RMO indicating that the application was submitted. You cannot edit the application once you have submitted it. Please see the section on "Submitting the Application." 5. On the Checklist under Application Printouts are limks that allow you to view parts of the application in HTML or PDF forn~ats. These links open a new window. You can print or save the PDF document to your own computer. 6. "View Application Submission" displays information on when you submitted the appli- cation and who submitted it. 20 New York State Archives, LGRMIF Grant Application Guide 2011-2012 Application Sheet The Application Sheet includes contact information for your institution, chief administra- tive officer (CAO), project director (PD), and records management officer (RMO). It also includes sections where you provide basic information about your proposed grant project, including the type of application (Individual, Cooperative, or Shared Services), project cat- egory, and project summary. 1. The institutional information and CAO information are supplied by an internal data- base of the State Education Department (SED) and cannot be modified by applicants. If any of the information is incorrect, please include the correct information on the Payee Information and Standard Data Capture forms. 2. If you are applying on behalf of a department of the City of New York, check "yes." If you are not, check "no." If yes, you must apply through the NYC Department of Records and Information Services (DORIS) and also select the specific name of your agency from the drop-down menu. 3. Enter eligibility information, which requires that you confirm an RMO has been appointed and enter the year of that appointment, and confirm an appropriate retention schedule has been adopted and indicate the year of that schedule adoption. Select N/A if these requirements do not apply to your institution. See "Eligibility Requirements" for more information. 4. Enter information for the Project Director and RMO, including name, title, and contact information. If the Project Director does not have a specific title in your government, repeat Project Director as that person's title. 5. Select the appropriate government region and type from the respective drop-down menus. The system will automatically complete the county field. 6. Indicate your government's population, annual operating budget, number of employ- ees, and the specific department or unit applying for the grant. For annual operating budget, provide a whole number only (do not add a dollar sign, cents, or comma). 7. Check the appropriate application type (Individual, Cooperative, or Shared Services). For more information about the requirements of each of these types of applications, see "Types of Grants." 8. From the drop-down menu, select the category (only one is allowed) that is appropri- ate for your project. The category "Administrative" is for the NYC Department of Records (DORIS), and may be checked only once per grant cycle. 9. The Amount Requested field will be populated automatically by the system after you complete your Project Budget. 10. Enter a brief summary description of your proposed project in the bottom section of the Application Sheet. This field is limited to 2500 characters, including spaces, so please be concise. Then click Save. 11. To sperry participants in a Cooperative or Shared Services grant project, click on "Participating Institutions" at the bottom of the Application Sheet. You can also access the list of Participating Institutions via the Application Checklist or drop-down menu under Initial Application Forms. New York State Archives, LGRMIF Grant Application Guide 2011-2012 21 Participating Institutions Use the Participating Institutions form to specify partidpants in a Cooperative or Shared Services project. 1. Click on Participating Institutions at the bottom of the Application Sheet. You may also add Participating Institutions via the Application Checklist and the drop-down menu under Initial Application Forms. 2. Each project participant (other than the lead government) will have read-only access to the online grant application, except for the Cooperative/Shared Services Agreement Form. Each participant must complete and attach a Cooperative/Shared Services Agreement Form to the application. 3. Enter the name of your institution and dick Search. The system will display a list of matching names. 4. Select the appropriate institution name, and that institution will be listed as a participant in the Cooperative or Shared Services grant project. 5. If the name of the institution is not in the search results, try searching by another name. If you still cannot locate your institution's name, contact the State Archives' Grants Administration Unit at archgrants@mail.nysed.gov. 6. Add additional participants' names as needed, and delete participants as needed by clicking Delete to the left of the corresponding institution name. Cooperative/Shared Services Agreement Form A separate Cooperafive/Shared Services Agreement must be completed and attached to the application by each government participating in a Cooperative or Shared Services project. 1. Access the Cooperative/Shared Services Agreement Form from the Application Checklist or from the drop-down menu under Initial Application Forms (at the top of the screen). 2. Print either the HTML or the PDF version of the form, then sign and date it. 3. Scan the form and save the scanned image on your computer. Then upload the image to the grant application using the "Add Document" link. See instructions for "Attaching Documents to the Application" for further assistance. Failure to complete a necessary Cooperative / Shared Services Agreement will prevent your application from moving forward in the review process. Project Narrative The Project Narrative is the most important part of your application. Seventy-five percent (75%) of your application's score is based on the information you provide in the applica- tion narrative. The narrative consists of the following four sections: 1. Statement of the Problem (maximum 20 points) 2. Intended Results (maximum 15 points) 3. Plan of Work (maximum 30 points) 22 New York State Archives, LGRMIF Grant Application Guide 2011-2012 4. Local Government Support (maximum 10 points) Each section of the Project Narrative consists of subsections. Address each of these subsec- tions, being as detailed as possible. Keep in mind that the Narrative directly corresponds to the criteria that reviewers will follow when ranking your application. (See the appendix for a breakdown of the Project Narrative and points assigned to each subsection.) For more information on what to include in the Project Narrative, see General Category Requirements, category descriptions, and requirements for certain types of grants, and talk with your Regional Advisory Officer 1. From the Application Checklist or the drop-down menu under the Initial Application Forms, choose Project Narrative. This will display the first subsection of the project nar- rative (la). Use the links on the left-hand side of the screen to access the nine subsequent subsections of the project narrative. 2. Instructions for each section of the narrative are listed above the text area. Type the nar- rative directly into the application, or copy and paste the narrative from a Microsoft Word document. Click Save each time you complete a subsection of the narrative before moving on to the next. 3. Please note that you cannot enter data in certain file formats (for example, spreadsheets and dig/tal photos) directly into the Project Narrative or other sections of the eGrants System. You may add these as attachments to your application. For more information, see instructions for "Attaching Documents to the Application." 4. The Word editing toolbar at the top of the text area is accessible only if you have Javascript enabled. If your browser does not have Javascript, you will not see this edit- ing toolbar, but you can still type and save your Project Narrative directly into the sys- tem. 5. To enable Javascript, go to your web browser and click Tools -> Intemet Options -> Secur/ty tab -> Custom Level button, scroll down to Active scripting, and choose Enable. 6. Once you submit the application, you will have read-only access to the Project Narrative. To print a copy of your Project Narrative or save it to your desktop, use the link at the bottom of the Project Narrative or select Application Printouts on the Checklist page. Project Budget Twenty-five percent (25%) of your application's score is based on the Project Budget. Applications will be evaluated on how well applicants justify all project expenditures, and demonstrate the proposed expenditures are reasonable. (See the appendix for a breakdown of the points assigned to parts of the Project Narrative and to the Project Budget.) The Project Budget consists of nine budget codes: Professional Salaries (Code 15), Support Staff Salaries (Code 16), Purchased Services (Code 40), Supplies and Materials (Code 45), Travel Expenses (Code 46), Employee Benefits (Code 80), BOCES Services (Code 49), Minor Remodeling (Code 30), and Equipment (Code 20). The Project Budget directly corresponds to the criteria that reviewers will follow when rm~king your application. Nezo York State Archives, LGRMIF Grant Application Guide 2011-2012 23 Each budget code consists of two sections: · Budget Table (top half of the Project Budget page): Enter all costs to be paid with grants funds for each relevant budget code. · Budget Narrative (bottom half of the Project Budget page): Justify all project expendi- tures, and demonstrate the proposed expenditures are reasonable. Complete only those budget codes that apply to your project. Also, include only those costs for which you are seeking funding; do not include your government's contributions on the budget forms. 1. From the Checklist or the drop-down menu under Initial Application Forms, choose Project Budget. The Project Budget page will display the first of nine budget codes. You can navigate between budget codes by using the links for them at the top of the page. 2. Instructions for completing each Budget Table are directly below the list of budget codes. 3. You can find detailed information on eligible and ineligible expenses for each code by using the corresponding "eligible/ineligible expenditures" link. 4. For each budget code that is relevant to your project, dick Add to add a blank record. 5. Enter the required financial information for each budget code, and click Save. Data in the gray text boxes are for calculation purposes only; data in these boxes are not saved to the system. 6. If you have not entered all required data, an error message will warn you to enter all data before you can save information for a particular budget code. 7. If you need to delete an individual budget item, click the Delete link next to the record, and you will be asked to confirm the deletion. 8. The bottom of the page has the total amount requested for a given budget category. 9. The Grand Total section has totals for all budget categories of the grant application. 10. Provide a full description and justification for each expense in the text box for the Budget Narrative for each budget code. Please note that you cannot enter data in cer- tain file formats (for example, spreadsheets and digital photos) directly into the Project Budget or other sections of the eGrants System. You may add these as attachments to your application. For more information, see "Attaching Documents to the Application." 11. You cannot update the project budget after you submit the application. 12. Please check the FS-20 form to make sure it is correct. The form should indicate only the funds you are requesting from the LGRMIF grants program. Attaching Documents to the Application Applicants must submit supporting documentation in any one of the following electronic formats only: For text-based documents: Microsoft Word (DOC); spreadsheets: Excel (XLS); and images: PDF, JPEG, BMP, or PNG. Applicants are responsible for ensuring they submit the documentation required by their specific project type or category. If you are working with paper originals, you are respon- 24 New York State Archives, LGRMIF Grant Application Guide 2011-2012 sible for ensuring the documents are in an appropriate electronic format and for uploading them into the eGrants system. If possible, obtain electronic versions of any documentation required from a vendor (for example, needs assessments, responses to RFQs, floor plans and shelving layouts, and conservation treatment proposals), so that you can more easily integrate the documentation into your grant application. The following form must be printed out, completed (and signed), and submitted elec- tronically: · Cooperative/Shared Services Agreement Form (for Cooperative/Shared Services proj- ects only) Documents that must be attached as electronic files include, but are not limited to · Vendor quotes: See "Instructions for Completing the Vendor Quote Form" · Needs assessments: Needs assessments are not required for technology implementation projects and are no longer eligible for funding from this grants program. However, if a needs assessment is essential for proving the viability of a project, it is the responsibility of the government or governments involved to ensure a needs assessment is completed and submitted with the application. Applicants may either use government funds to pay a consultant or work with their RAO to develop a needs assessment in house. · Vendor Treatment Proposals: Required for certain projects in the Historical Records category. · Floor plans: Required of Inactive Records projects that involve minor remodeling and the installation of shelving. To attach a document to your application 1. Select Attachments/Uploads in the drop-down menu under Initial Application Forms. 2. Use the link at the bottom of the page to "Add an Attachment" to the application. 3. On the Add Attachment, click on Browse to navigate to the document on your own computer that you want to attach. Highlight the file rifle, and click OK. Please use a meaningful name for your document, because it will be the name saved to our system. Another option is to enter a short description of the document, and then click Upload to save the document directly into the application. 4. See Attachments/Uploads in the drop-down menu under Initial Application Forms to display all of the documents you have uploaded to your grant application. 5. Click on the Delete link to the left of a document title if you wish to remove that document from the application. You will be asked to confirm the deletion. Click the document's name link to open or save the document on your desktop. You must have the appropriate software to open the document type (for example, you must have Microsoft Excel to open a spreadsheet with an .xls file extension). New York State Archives, LGRMIF Grant Application Guide 2011-2012 25 Submitting Paper Forms with the Initial Application You cannot use eGrants to submit forms that require a signature, which include the Payee Information Form, Standard Data Capture Form, Institutional Authorization, and Summary Budget (FS-20). You must submit paper copies of these forms, as indicated below, postmarked by the application deadline of 1 February 2011. Where indicated, the forms require the signature of your Chief Administrative Officer (CAO). The CAO is the CEO of your local government (county executive, town supervisor, village mayor, school district superintendent, or equivalent). The head of an individual department or agency cannot be listed as the CAO of a local government on your grant application. 1. All of these forms are accessible from the drop-down menu under Initial Application Forms and the Application Checklist. Print out either the HTML or the PDF versions of the forms when needed. 2. Submit 3 copies of the Summary Budget (FS-20), signed in blue ink by your Chief Administrative Officer (CAO). Please make sure the FS-20 form is correct. The data on the FS-20 form comes from the data you enter in the Budget Tables of your Project Budget. The form should show only the amounts you are requesting from the state. 3. Submit 1 copy of the Institutional Authorization. The CAO or designee and the Records Management Officer (RMO) must sign the Institutional Authorization and print or type their names and titles. The authorization must be signed in blue ink. Local governments not required to have an RMO should mark the RMO signature line "N/A.' 4. Submit 1 copy of the Payee Information Form (signed in blue ink by your CAO or an authorized designee) and Standard Data Capture Form. A signature is not required on the Standard Data Capture Form. 5. Mail the above forms to New York State Archives Grants Administration Unit, 9A81 Cultural Education Center Albany, NY 12230 Failure to submit any of these forms (signed in blue ink and postmarked by the application deadline) will prevent your application from moving forward in the review process. Submitting the Application 1. When you are sure your Initial Application is complete, click Submit on the Checklist page. 2. Warning messages will appear if you have not tilled out all sections of the Project Narrative. If needed, return to and complete the Project Narrative in its entirety. Then confirm the submission of the application by again clicking the Submit button. 3. Once you submit your application, you will be redirected to the LGRMIF eGrants home- page. You cannot edit the application after you have submitted it. 4. The Project Director and RMO of the grant project will receive an email notification that the grant application has been submitted to the Grants Administration Unit. 26 New York State Archives, LGRMIF Grant Application Guide 2011-2012 5. Remember to mail all signature forms (Payee Information Form; Standard Data Capture Form; Institutional Authorization Form; and 3 copies of the FS-20, Summary Budget) so they are postmarked by the application deadline. Viewing the Status of an Application 1. The bottom of the Checklist page contains a link to View Application Submission. Data includes the date the application was submitted and the name of the person who sub- mitted the application. 2. After the Archives receives the required approvals from the Division of the Budget and the Office of the State Comptroller, we will notify the Project Director and the RMO by email concerning the award status of each application submitted. Finding Help Click on "Help" to access the LGRMIF eGrants System Help options. There are links to an accessible PDF version of this complete guide, which includes our application guidelines and instructions on using the LGRMIF eGrants System. A copy of this guide is also available via the State Archives' website. To report error messages, problems, log-in issues, or questions regarding the LGRMIF Online Grant System, contact Frank Campione at fcampion@mail.nysed.gov or Stephanie Husak at shusak@mail.nysed.gov. Report the error message you received, along with a description of the steps you completed just prior to receiving the error message. For any other grant-related questions, contact either the Grants Administration Unit at ARCHGRANTS@mail.nysed.gov or talk to your Regional Advisory Officer. Grants Review Priorities for Funding Shared Services projects and Disaster Management projects have been identified as priori- ties for funding in the 2011-2012 grant year. To encourage Shared Services projects, the State Archives has allocated the highest level of funding to this type of grant application. To encourage Disaster Management projects, applicants are allowed to apply for a second grant only if they are requesting funds for Disaster Management as that second project. Project Ranking All grant applications are evaluated and scored based on established criteria. The Project Narrative is worth 75% of an application's score, and the Project Budget is worth 25% of the score. The questions applicants are required to address in the narrative and budget New York State Archives, LGRMIF Grant Application Guide 2011-2012 27 directly correspond to the reviewers' ranking criteria. (See the appendix for a breakdown of points assigned to each section of the Project Narrative and to the Project Budget.) Review Process State Archives staff in the Grants Administration Unit first review applications for eligibil- ity and completeness. They will not send forward for further review applications that do not meet basic eligibility requirements, do not include all the required forms, are not submitted by the deadline, or do not have the appropriate signatures. A local government is responsible for meeting all eligibility requirements and for submitting a complete application by the deadline. All applications are separated by grant categories and ultimately ranked against all other applications for that particular category. Review panels are assembled based on grant cat- egories. Outside expert reviewers are assigned to panels to review grants in their areas of expertise. Each reviewer evaluates twenty to forty grant applications apiece and assigns each application a score based on information in the Project Narrative and Project Budget. (See the appendix for a breakdown of points assigned to each section of the Project Narrative and to the Project Budget.) In May, reviewers convene as panels in Albany. Each panel is assigned an amount of fund- ing based on the amount requested relative to the total amount of funding available. The reviewers deliberate in detail on the applications they have read, reconcile differences in conclusions from their preliminary reviews, assign each application a final score, rank appli- cations, and make funding recommendations. When there are multiple panels for a specific categor~ reviewers from the multiple panels discuss the ranking of all the applicafions until they reach consensus on the final ranking order of all applicafions for that category. Funding recommendations are made in the order of ranking until available funds for that category are depleted. Applications are recommended for full funding, partial funding, or no funding. Applications may be recommended for partial funding if they include ineligi- ble expenses, include elements that are not essential to the project, or attempt a project that cannot be completed within the grant cycle. In the case of a tie, the application with the lower funding request will be given priority. The State Archives reserves the right to apply unused funds, if applicable, from one panel to other panels. Grants must have a minimum score of 60 to be considered for funding. The cut-off score for funding may be higher than 60, depending on the quantity of applicafions and tire amount of funding available to award. 28 New York State Archives, LGRMIF Grant Application Guide 2011-2012 Awards The Local Government Records Advisory Council (LGRAC) recommends which appli- cations to fund based on reviewers' evaluations, and presents these recommendations to the Commissioner of Education, who makes the final decision on the awarding of grants. The New York State Division of the Budget provides the authority necessary to make grant payments. The State Archives does not release information regarding the status of an application until all applications have been reviewed, the Commissioner of Education has approved the pro- posed grant awards, and the Division of Budget and Office of State Comptroller have g/ven their approval. After this point, the Archives notifies all applicants by email concerning the status of their applications. In the notification letter, a summary of the reviewers' recom- mendations is provided explaining the decision and why the decision was made. Contract Award Protest Procedures Applicants who receive a notice of non-award may protest the NYSED award decision sub- ject to the following: The protest must be in writing and must contain specific factual and/or legal allegations setting forth the basis on which the protesting party challenges the contract award by NYSED. The protest must be filed within ten (10) business days of receipt of the notice of non- award. The protest letter must be filed with: NYS Education Department Contract Administration Unit 89 Washington Avenue Room 505W EB Albany, NY 12234 The NYSED Contract Administration Unit (CAU) will convene a review team that will include at least one staff member from each of NYSED's Office of Counsel, CAU, and the Program Office. The review team will review and consider the merits of the protest and will decide whether the protest is approved or denied. Counsel's Office will provide the appli- cant with written notitication of the review team's decision within seven (7) business days of the receipt of the protest. The original protest and decision will be filed with OSC when the contract procurement record is submitted for approval and CAU will advise OSC that a protest was tiled. The NYSED Contract Administration Unit (CAU) may summarily deny a protest that fails to contain specific factual or legal allegations, or where the protest only raises issues of law that have already been decided by the courts. New York State Archives, LGRMIF Grant Application Guide 2011-2012 29 Schedule of Payments For approved applications, payments will be made as follows: 50% of the total as an initial disbursement; up to 40% of requested additional funds based on monthly (not quarterly) estimates of funds needed to continue project work; and the final 10% at the end of the project, upon timely submission of satisfactory final reports on the completed work. Expenses incurred prior to the start of the grant year, 1 July 2011, cannot be paid using grant funds. Project Administration Basic Requirements Each project must achieve results that substantially meet the objectives outlined in the application as approved. If you are awarded a grant, you must conduct your project in accordance with the proposed project budget, plan of work, and LGRMIF grant guidelines. In addition, you must follow your government's policies conceming wages, mileage and travel allowances, overtime compensation, and fringe benefits, as well as adhere to state rules pertaining to competitive bidding, safety regulations, and inventory control. Successful applicants must complete several required forms to document their projects, as listed and described under "Post-Grant Award Forms." In addition, supporting or source documents are required for all grant-related transactions that involve the disbursement of grant funds. These documents include, but are not limited to, purchase orders, contracts, time and effort records, delivery receipts, vendor invoices, travel receipts, and travel pay- ment documents. You must retain these records for at least six years after the last payments are made, and, if requested, make all records available for Inspection by State Education Department officials or representatives. Local governments must also record in their files grant expenditure details in a manner consistent with the internal pages of the FS-10-F Long Form, maintain the information in their files, and make these details readily available upon request from authorized individ- uals. Authorized individuals include staff from SED; the Office of the State Comptroller; federal agencies; and state, federal, and local auditors. In all cases, local governments must maintain complete and accurate records, and be pre- pared to provide additional detail, such as time and effort records, vendor invoices, and travel receipts, to support reported expenditures. State Archives Oversight State Archives staff will monitor each grant-funded project, and will make site visits dur- ing the course of projects to determine the rate and quality of progress. Some projects may be selected for more extensive review at the conclusion of the grant period. 30 New York State Archives, LGRMIF Grant Application Guide 2011-2012 Post-Grant Award Forms Required Forms All awardees must complete and submit a series of forms to document the progress and completion of their projects. These forms include the Final Project Narrative, Final Expenditure Report (FS-10-F), and Final Statistical Report. · Forms that cannot be filled out electronically include the Request for Additional Funds (FS-25), Amendment Form (FS-10-A), and the Final Expenditure Report (FS-10-F). See "Submitting Post-Grant Award Paper Forms" for more information about completing and submitting each of these forms. · The Final Project Narrative, Final Project Budget, and Final Statistical Report are elec- tronic forms that can be completed directly in eGrants. See relevant instructions for com- pleting each of the above electronic forms in the eGrants System. · The Final Sign-Off Form must be attached as an electronic file to the Final Project Narrative. See "Final Sign-off" for instructions on submitting this document electroni- cally via the eGrants System. Submitting Post-Grant Award Paper Forms The Request for Additional Funds (FS-25), Amendment Form (FS-10-A), and Final Expenditure Report (FS-10-F) are accessible from the drop-down menu under Post-Grant Award Forms and the Checklist. Where indicated, the forms require the signature of your Chief Administrative Officer (CAO). The CAO is the CEO of your local government (county executive, town supervisor, village mayor, school district superintendent, or equivalent). The head of an individual department or agency cannot be listed as the CAO of a local government on your grant application. 1. Print out either the HTML or the PDF versions of the forms when needed. 2. Submit 1 copy of the Request for Additional Funds (FS-25) to the Grants Finance Unit, NYS Education Department, Room 510 WEB, Albany, NY 12234 to request hands beyond the initial payment. Your Chief Administrative Officer (CAO) must sign the FS- 25 in blue ink. Please note that you can request up to 40% of additional funds based on monthly (not quarterly) estimates of hands needed to continue project work. 3. Submit 3 copies of the Amendment Form (FS-10-A) to the Grants Administration Unit if you need to amend your approved budget. You must receive approval of the amend- ment from your Regional Advisory Officer (RAO) before submitting the request, and your CAO must sign the FS-10-A in blue ink. Be sure to provide a clear reason for amending the budget, and indicate the amended budget amounts in the appropriate budget codes. Mail the copies of the FS-10-A to the New York State Archives, Grants Administration Unit, Room 9A81, Cultural Education Center, Albany, NY 12230. 4. Submit 3 copies of the Final Expenditure Report (FS-10-F) to the Grants Administration Unit when submitting your final reports. Your CAO must sign the FS-10-F in blue ink. Please make sure the FS-10-F form is correct. The financial data on the FS-10-F comes from the data you entered as actual expense in the Budget Tables. QuestiOns? c~taet the G~ants Administration Unit at (518) 47~926 or archgrants@maiLnYsed.gov New York State Archives, LGRMIF Grant Application Guide 2011-2012 31 Any local government submitting a final fiscal report after 31 July 2012 must submit an FS- 10-F Long Form. Failure to submit the FS-10-F will prevent us from dosing out your project. Final Budget Form All successful applicants must complete the Final Project Budget to report what funds were actually expended. 1. Access the Final Project Budget via the drop-down menu under Post-Grant Award Forms or the Checklist. 2. Enter actual expenses for each approved budget code, making sure to save your entries. For budget changes that do not fall into an approved code and do not require the formal filing of an FS-10-A, contact the Grants Administrative Unit at archgrantsC~hnail.nysed.gov providing an explanation of the proposed changes. 3. Data from the Final Project Budget populates the Final Expenditure Form (FS-10-F form). Print and submit 3 copies of the FS-10-F (signed in blue ink by your Chief Administrative Officer) to the Grants Administration Unit. Final Narrative Report If your application is funded, you must complete the Final Project Narrative report at the conclusion of the project. 1. Select the Final Project Narrative from the Checklist page or from the drop-down menu under Post-Grant Award Forms (at the top of the screen). 2. Type your report narrative directly into the text area provided, or copy and paste it from a Microsoft Word document. Click Save to save your changes to the system. 3. The Word editor toolbar at the top of the text area is accessible only if you have Javascript. If your browser does not have Javascript enabled, you will not see this tool- bar, but you can still type and save your final report narrative. To enable Javascript, from your web browser click on Tools -> Intemet Options -> Security tab -> Custom Level button, scroll down to Active scripting, and choose the Enable option. 4. You will have read-only access to the Final Narrative Report once you click "Submit." Final Statistical Report If your application is funded, you must complete the Final Statistical Report at the conclu- sion of the project. 1. Select Final Statistical Report from the Checklist page or from the drop-down menu under Post-Grant Award Forms. 2. You will have read-only access to the Final Statistical Report once you click Submit. 32 New York State Archives, LGRMIF Grant Application Guide 2011-2012 Final Sign-Off The Final Report Signoff is required when you submit the Final Report Narrative. 1. The Final Report Signoff is accessible from the drop-down menu under Post-Grant Award Forms and from the Checklist page. 2. Print out either the HTML or the PDF version of the form when needed, then sign and date the form. 3. Scan the signed form, and save the scanned image on your desktop. Upload the image to the eGrants System using the "Add a Document" link. If you need additional assis- tance, see instructions under "Attaching Documents to the Application." Failure to submit the Final Report Signoff will prevent us from dosing out your project. New York State Archives, LGRMIF Grant Application Guide 2011-2012 33 New York State Archives, LGRMIF Grant Application Guide 2011-2012 Appendix Questions? C°ntact the G~ants Administration Unit at (518) 474~6926 or archgra~ail,nysed.gov New York State Archives, LGRM1F Grant Application Guide 2011-2012 35 Table of Cubic-Foot Equivalents FILE FOLDER DRAWERS ~0~l~ F~E Letter 1.5 Letter Lateral 2.0 Legal 2.0 Legal Lateral 2.5 RECORDS CTR. CONTAINERS 10" × 12" x 15" - standard 1.0 0.5" x 8" × 14" - tab 0.2 3.5" x 8" × 24" 0.4 6" x 6" x 36" - map 0.7 6" × 6" × 48" - map 1.0 4" × 4" × 48'1 - map 0.4 SHELF UNITS Letter, 36" long 2.4 Legal, 36" long 3.0 MAP OR PLAN DRAWERS 2" x 26" × 38" fiat 1.1 2" × 38" × 50" fiat 2.2 4" × 26" x 38" fiat 2.3 4" × 38" x 50" fiat 4.4 MAP OR PLAN TUBES 2" × 2" x 38" roll 0.1 2" × 2" × 50" mil 0.1 4" x 4" x 38" roll 0.3 4" x 4" x 50" roll 0.5 OTHER SITUATIONS STEP l: Multiply LENGTH × WIDTH x HEIGHT (in inches) STEP 2: DIVIDE BY 1,728 to get CUBIC FEET 36 New York State Archives, LGRMIF Grant Application Guide 2011-2012 Instructions for the Project and Budget Narratives Project Narrative (maximum 75 points) 1. Statement of the Problem (maximum 20 points) a. Describe the specific records management problem the project will address, provide qualitative descriptions and quantitative data about the problem, and explain why the project is a high priority. (10 points) b. Identify the specific records that will be involved, and any previous grant-funded projects related to these records and this project. (5 points) c. Explain why funding from this grant program is essential to accomplishing the project. (For example, explain why you need funding if you've previously received funding for a similar project.) (5 points) 2. Intended Results (maximum 15 points) a. Identify each intended result (specific products, time and cost savings, or services), and describe the anticipated benefits. (5 points) b. Describe in detail how the project will contribute to the development of a records management program. (5 points) c. Describe in detail how the project will improve local government services to the pub- lic. (5 points) 3. Plan of Work (maximum 30 points) a. Provide a detailed outline of the proposed work activities and a timetable that shows when each phase of the project will be completed, demonstrates the soundness of the method proposed, and demonstrates the project's goals are attainable by 30 June 2012. (15 points) b. Address each of the General Category Requirements and the requirements of the spe- cific project category and type. (10 points) c. Explain who will be responsible for performing each project activity, including project management. Indicate the qualifications of key project staff (including consultants and vendors) in terms of education, training, and experience. (5 points) Local Government Contributions (maximum 10 points) It is important to demonstrate your commitment to records management. Types of sup- port may include goverrunent funds, staffing, equipment, supplies, or the allocation of space. Provide specific budget amounts whenever possible. Include information only on the support your local government provided and will pro- vide with its own funds. Projects completely funded by the LGRMIF do not constitute local support. a. Demonstrate contributions to this project. (5 points) b. Describe how this project and records management in general will be maintained over the long term. (5 points) Project Budget (maximum 25 points) Justify all project expenditures, and demonstrate the proposed expenditures are reason- able. (25 points) O0osti0ns?; Co~!act ~e G~ts ~str~tionU~t at (518) 474r6926 ~ ar~grafi~ail.nY~ed.gov New York State Archives, LGRMIF Grant Application Guide 2011-2012 3? Eligible and Ineligible Expenditures Salaries for Professional Staff (Code 15) Provide the specific position rifle, number of hours needed, hourly rate of pay, and total project salary for each staff person you propose to pay with grant funds. Include only staff who will be professional employees of your local government in this budget code. Do not include consultants, per diem staff, or support staff. Explain in detail how these positions will support project activities and goals. Clearly out- line the responsibilities of each position, describe the project-related activities, and demon- strate why the requested number of hours is needed. Eligible Expenditures Grant f~nding must be used only to pay staff involved with project-related activities. You may use grant funds to hire new staff or increase work hours of existing staff to carry out project-related work. If you are proposing to transfer existing staff to grant funds, justify the need and explain how these staff will be replaced in their former assignments using non-grant funds. Note to Town Applicants Refer to Sections 27 and 108 of the Town Law, which prescribe procedures for changes in the town clerk's salary. If the town clerk will work on the project and receive funds frotn the grant in addition to his or her regular duties, the application should clearly state that the clerk will perform these grant duties separately from and beyond his or her existing duties as town clerk or RMO. If the town receives a grant, the town board should adopt a resolu- fion designating the clerk by an appropriate title (such as "project director") for the project work. The resolution should specify that the project duties will be performed separately from and beyond the person's responsibilities as town clerk or Records Management Officer. Salaries for Support Staff (Code 16) Provide the specific position rifle, hours needed, hourly rate of pay, and total project salary for each support staff you intend to pay with grant funding. Include only those individu- als who will be support staff of your govemment in this budget code. Do not include con- sultants, per diem staff, or professional staff. Justify in detail the need for these positions and explain how they will support project activities and goals. Clearly outline the responsibilities of the position and demonstrate why the requested number of hours is needed. Eligible Expenditures You may use grant funds to hire new staff or increase work hours of existing staff to carry out project-related work. If you propose to transfer existing staff to grant funding, justify the need and demonstrate that you will replace these staff in their former assignments using non-grant funds. Demonstrate that grant-funded salaries will be used only to sup- port project-related activities. 38 New York State Archives, LGRMIF Grant Application Guide 2011-2012 Note to Town Applicants See note under "Salaries for Professional Staff (Code 15).' Equipment (Code 20) Briefly describe the item to be purchased and specify quantity, unit cost, and proposed expenditure. Describe how this equipment will be used to support project activities and goals. Be sure to address how this equipment is important to records management needs. Demonstrate that such equipment is critical to the project and will be used on an ongoing basis after the grant to support records management. Other Required Forms You must complete a Vendor Quote Form for each proposed item with a unit cost over $10,000, except when you are purchasing equipment from a preferred or sole-source ven- dor or off a state contract. Please note the state contract number where applicable. Eligible Expenditures Equipment with a unit cost of $5,000 or more. Itemize equipment with a unit cost under $5,000 (such as steel shelving) under Code 45, Supplies and Materials. Ineligible Expenditures · Photocopiers · Office furniture · Computer software (eligible under Code 45, Supplies and Materials) Minor Remodeling (Code 30) Briefly describe and provide the cost of each proposed remodeling activity. Justify the need and describe the plan for the remodeling project. Explain how it will sup- port the project goals outlined in the Application Narrative. Eligible Expenditures Any facility proposed for minor remodeling must be in existence before the grant applica- tion deadline. Activities eligible for funding under Minor Remodeling include, but are not limited to · feasibility studies and facility design · renovations to facilities to improve them for records storage, or to prepare them for the installation of eligible equipment (including labor and construction materials) · installation of fire detection and suppression systems and water detectors · purchase, modification, and installation of heating, ventilating, and air conditioning sys- tems to control temperature and humidity · installation of walls, doors, locks, alarms, and other security systems to secure a records storage facility New York State Archives, LGRM1F Grant Application Guide 2011-2012 39 · minor modifications necessary to install microfilming or other project-related equipment · actions required to render the facility safe for occupancy and use by staff Ineligible Expenditures · Purchase or construction of facilities, or additions to existing structures · Construction of or repairs to the roof, exterior walls, or foundation of a building Other Required Forms · Applicants must complete a Vendor Quote Form for any single remodeling activity that exceeds $10,000 or for any request where any one vendor will receive over $10,000, except when using either a preferred vendor, sole-source vendor, or a vendor under state contract. · Include a floor plan of any records storage area that is the focus of a remodeling project. Purchased Services (Code 40) Identify the type of service by genera] category (such as training, software installation, rentals), and provide the total expenditure for each. Indicate the number of days or hours a consultant will work, multiplied by a daily or hourly fee. List purchased services from a BOCES under Code 49. Eligible Expenditures · Consultant work, such as staff training, the preparation of records management needs assessments, and the development of records management policies and procedures · Production of manuals, finding aids, teaching guides, or other publications directly relat- ed to the project · Contractual services such as imaging, microfilming, geocoding, system and application design, and software and hardware installation Ineligible Expenditures · Consultant fees paid to an employee of a local government · Consultant fees for developing a needs assessment for the implementation of new tech- nology · Consultant fees for conducting a Business Process Analysis · Annual technical support fees for software and electronic systems; annual rental fees or leases for equipment, records storage space, and server space; annual fees for web and data hosting services; and fees for equipment warranties · Ongoing operational expenses, such as routine repairs, building maintenance, magazine subscriptions, membership fees, and systems maintenance · Hiring a grantswriter Other Required Forms · If the fee paid to consultants or vendors from grant funds exceeds $10,000, applicants must submit three quotes and complete a Vendor Quote Form, except when purchasing the services of a preferred vendor, a vendor under state contract, or a sole-source vendor. 40 New York State Archives, LGRMIF Grant Application Guide 2011-2012 · Submit your RFQ, a Vendor Quote form, and detailed quotes from the vendor or con- tractor for any service or minor remodeling that costs over $10,000, even if the vendor or contractor providing these services is on state contract, is a preferred source vendor, or is a sole-source vendor. If you are using a vendor on state contract, indicate the state contract number on the Vendor Quote form. Detailed quotes are defined as quotes that clearly delineate individual project costs and vendor or contractor qualifications. (See "Instructions for Completing the Vendor Quote Form.") Supplies and Materials (Code 45) Briefly describe each requested item and specify quantity, u~t cost, and proposed expen- diture. Request any equipment items with a unit cost of less than $5,000 and all computer software, regardless of the unit price, under this budget code. Eligible Expenditures · Supplies, such as shelving, storage boxes, records management software, alkaline sup- plies (folders and boxes), and equipment with a unit cost of less than $5,000 · Side-tab file folders for files management projects · All computer software, regardless of the unit price · Lateral open shelving with pull-down or flip-down locking doors · Fire-resistant file cabinets are also eligible ineligible Expenditures · Standard file cabinets, including lateral file cabinets. · Office furniture · Office supplies, such as tape measures, calculators, marking pens, toner, printer paper, and file folders · Wooden shelving of any kind, including shelving with particle board decking · Records center cartons other than standard cubic-foot boxes, unless the applicant pro- vides sufficient justification for their purchase · Consider the Source: Historical Records in the Classroom, a State Archives publication, can- not be purchased with funds from this granting source. Other Required Forms · Applicants must submit three quotes and complete a Vendor Quote Form for computer software costing more than $10,000, except when purchasing supplies and materials from a preferred vendor, from a sole-source vendor, or on state contract. For these excep- tions, indicate the vendor and (if applicable) contract number on the Vendor Quote Form. · For shelving purchases, include a floor plan indicating the number of boxes you will store on each unit. Note: For information on appropriate shelving for records storage, consult State Archives Publication #65, Recommendations for Shelving for Inactive Records Storage. QUesfiOns~ Contact ~e Grants ~,dministration Unit at (5~8) 474~926 or archgrant~il,nysed.gov New York State Archives, LGRMIF Grant Application Guide 2011-2012 Standard one-cubic-foot records storage cartons (10 x 12 × 15) may be purchased through the New York State Industries for the Disabled, 155 Washington Avenue, Suite 400, Albany, NY 12210; telephone (518) 463-9706. Available in lots of twenty-five at $45.93/case (approx- imately $1.83/box), plus freight for orders under $300. Grant funds will not be approved for cartons in excess of this price. Travel Expenses (Code 46) Identify the purpose of travel, position of the person traveling, proposed mileage rate (if applicable), and total expenditure. Eligible Expenditures · Only travel that you can demonstrate is essential to the successful completion of a proj- ect is eligible for funding. · Airfare, if you can clearly demonstrate that it is the most cost-efficient method of travel available. Ineligible Expenditures · Travel to State Archives workshops and to other educational opportunities · Expenses for travel to a conference, including registration fees, lodging, meals, bus or train fares, and mileage reimbursement Purchased Services with BOCES (Code 49) Briefly describe the proposed services. Provide the name of the BOCES providing the serv- ice, calculation of cost, and total proposed expenditure. Eligible and Ineligible Expenditures See the list of eligible and ineligible expenditures under general purchased services (Code 40) Employee Benefits (Code 80) Provide an itemized list of all benefits to be paid. Agencies may cl~oose to calculate the pro- posed employee benefits using their agency's fringe benefits rate or itemizing the specific benefits. The rate for project personnel must be the same as those used for other agency per- sormel. Eligible Expenditures · Employee benefits payable to professional staff and support staff identified in Code 15 and Code 16, respectively · Benefits equal to no more than 35% of the salaries for professional and support staff posi- fions supported by grant funds Ineligible Expenditures · Benefits in excess of 35% of salaries, unless you provide convincing justification for requests in excess of this limit. 42 New York State Archives, LGRMIF Grant Application Guide 2011-2012 Instructions for Completing the Vendor Quote Form Complete this form in the following cases (exceptions are noted below under State Contracts, Preferred Vendors, and Sole-Source Vendors): · When applying for funds to purchase equipment with a unit cost in excess of $10,000 · When applying for funds to purchase computer software with a unit cost in excess of $10,000 · When applying for funds for purchased services where the fee paid to any single vendor or consultant exceeds $10,000 · Remodeling, where the cost of any one activity exceeds $10,000 or where any one con- tractor will receive over $10,000. If more than one contractor is used, this form must be completed for each. All quotes must clearly delineate individual project costs (for example, travel, staff train- ing, and equipment installation) and hours for each service provided. Also submit a copy of the RFQ that outlined the requirements used to collect the detailed quotes. State Contract Purchases: You are no longer required to submit three quotes if one of your quotes is for a service or product off a state contract. If a service from a vendor on state contract is over $10,000, include your RFQ, the Vendor Quote form (with contract number noted), and the detailed quote clearly delineating individual project costs. For more infor- mation on state contracts, contact the New York State Office of General Services, Coming Tower, 37th Floor, Albany, NY 12242; telephone (518) 474-6717. Preferred Vendors: You are no longer required to submit three quotes if one of your quotes is for a service or product from a preferred vendor. Certain providers have "pre- ferred source" status under the law. It is your responsibility to make sure the vendor cited as preferred actually has that status, and to indicate this in the Project Narrative and Budget Narrative. If a service from a preferred vendor is over $10,000, include your RFQ, the Vendor Quote form, and the detailed quote clearly delineating individual project costs. Sole-Source Vendors: You are no longer required to submit three quotes if one of your quotes is for a service or product from a sole-source vendor. If there is only one vendor who can provide the required supplies, equipment, or contracted services, discuss in the Project Narrative and Budget Narrative your attempts to find additional vendors. A prior working relationsl'dp with a vendor (or consultant) does not, by itself, constitute justification for a sole-source contract. If a service from a sole-source vendor is over $10,000, include your RFQ, the Vendor Quote form, and the detailed quote clearly delineating individual project costs. We encourage applicants to search for the best quality at the least expensive price. If you do not choose the lowest quote identified on this form, provide substantial justification for that decision in the budget narrative. It is not acceptable to use an averaged quote in the budget. New York State Archives, LGRM1F Grant Application Guide 2011-2012 43 Instructions for Completing the Imaging and Microfilming Project Information Form Complete one form for each separate series you are imaging or n~crofilming Local Government Name: Enter the name of your local government. Activities: Check the activities you will carry out with this records series. Paper documents to digital image: Scanning of paper Microfilm documents to digital image: Scanning microfilm images Digital documents to digital image: Converting e-documents (like Word files) to digital images Paper documents to microfilm: Microfilming of paper Digital images to microfilm: Printing digital images directly to microfilm RECORDS DESCRIPTION Name of Records Series: Enter the title of the records series you intend to scan or microfilm (such as "Birth Records," "Payroll Records," etc.). Retention Period (Years): Enter the retention period for the records series to be scanned or micro- filmed (such as "6 years," "Permanent," etc.). Date Range of Records: Enter the earliest and latest years of the records series you intend to scan or microfilm. Records Schedule (Name and Item Number): Enter the records retention schedule name and item number (such as "MU-l, Item 1"). Total Number of Images: Enter the number of images to be scanned or microfilmed. For directions on how to estimate the number of images, see State Archives Publication #9, Producing High Quality Microfilm, p. 13-14. If microfilming, note that the number of images on a roll may not equal the num- ber of pages. Format of use copies: If you are microfilming, enter format of your use copies (digital images or microfilm), the total number of camera (original) rolls, and the total number of duplicate (use) microfilm rolls, if applicable. CHARACTERISTICS Electronic Data: Indicate whether the INITIAL RECORDS you will be imaging or scannmg are digital images versus other electronic formats (such as word processing files or database reports). Document Size: Indicate whether the physical size of the paper documents or images (in the case of digital images) within the series is uniform or varies. Enter the maximum and minimum sizes of documents in inches. For electronic documents, assume the documents are 8W' x 11", unless the series has digital images of various sizes. Paper Type: For paper documents, indicate each type of paper present in the records series. Paper Condition: For paper documents, indicate the physical conditions of the records and the approximate percentages of documents in the series exhibiting those characteristics. Imprint: For paper documents, indicate each type of imprint present on any of the pages in the records series. Paper Color: For paper documents, indicate each of the colors of paper present in the records series and the approximate percentages of paper in the series with those colors. Fasteners: For paper documents, indicate the type of fasteners used to hold pages together. Frequency of Fasteners: Indicate how frequently documents in the records series are held togeth- er by fasteners. 44 New York State Archives, LGRMIF Grant Application Guide 2011-2012 ~ ~'eu, Yorl: State Archlve~ PUBLICATIONS ORDER FORM New York State local governments and state agencies will not be charged for publication orders from this list. Others may receive one copy of any publication free of charge. There is a $2.00 charge for each additional copy. Most of these publications are also available electronically on our website at www. archives.nysed.gov Getting Started: 40. 44. web only 56. web only 61. 76. web only OTR05 web only OTR06 web only OTR13 web only OTR30 Active Records: web only 78. web only 82. SGP02 Fundamentals of Managing Local Government Archival Records Records Management Consultants Selected Bibliography on Historical Records Administration Seven Attributes of an Effective Records Management Program Inventory and Planning: The First Steps in Records Management Local Government Records Law (Article 57-A, Arts & Cultural Affaim Law)** Part 185, 8NYCRR (Regulations of the Commissioner of Education) - for Local Governments** LGRMIF Grant Application and Reference Materials Part 188, 8NYCRR (Regulations of the Commissioner of Education) - for State Agencies** Indexing Minutes Managing Records Disasters Guide to Efficient Filing Systems Disposition of Records: web only 6. Retention and Disposition of Library and Library System Records 41. Retention and Disposition of Records: How Long to Keep Records and How to Destroy Them web only SGS04 General Records Retention and Disposition Schedule for State Government Agencies Records Retention and Disposition Schedule for Local Governments (check appropriate schedule) CO-2 for counties __MI-I for miscellaneous governments __MU-1 for cities, towns, villages, & fire districts __ED-1 for school districts and BOCES Electronic Records: web only 58. 62. web only 63. web only 64. web only 85 web only GIS03 SGP10 Historical Records: web only 31. web only 36. 50. web only 54. web only 59. web only 60. 74. 81. SP02 TWR1 TWR3 eGovernment Managing Records in Email Systems Guidelines for Choosing Records Management Software Conducting Needs Assessments for New Recordkeeping Systems (revised 2003) Developing a Policy for Managing Email Local Government GIS Development Guides (three-volume set) Guidelines for the Legal Acceptance of Public Records in an Emerging Electronic Environment Local Government Records Useful in Family History Research Intrinsic Value of Local Government Archival Records Appraisal of Local Government Records for Historical Value Archives Week Action Guide (revised April 2000) Archival Needs Assessment Guidelines and Template Criteda for Selecting Records for Conservation Treatment A Manual for Documentation Planning in New York State Historical Records and the Local Government Historian Guidelines for Arrangement and Description of Archives and Manuscripts: A Manual for Historical Records Programs in New York State Researching the History of Your School Teaching with Historical Records Quo$~!013'~ CO~t~[ ~e Grants Ad~$1rati0r~ ~ni[ at (5i8)~74-6926 or arcl~an~fiil.Xtysed'S°¥ New York State Archives, LGRMIF Grant Application Guide 2011-2012 45 Inactive Records: 42. 48. web only 49. 65. Guidelines for Off-Site Storage of Inactive Local Government Records Developing an Inactive Records Storage Facility Administration of Inactive Records Recommendations for Shelving for Inactive Records Storage Imaging and Micrographics: web only 0. Imaging Production Guidelines 9. Producing High-Quality Microfilm 11. Introduction to Micrographics web only 15, Acetate Microfilm 20. Guidelines for Determining if a Stand-Alone Imaging System Is the Best Choice for You web only 22, Guidelines for Ensuring the Long-Term Accessibility and Usability of Records Stored as Digital Images 52. Computer-Output Micmfilm (COM) 77. Managing Imaging and Micrographics Projects For information on the following, please consult our website: Archival supplies and consultants: http://www, archives.nysed.gov/a/records/mr_cons.shtml Laws and regulations: http:llwww, archives.nysed.govla/records/mr_laws.shtml Workshops and other training: http:llwww, archives.nysed.govlaiworkshopslindex.shtml Indicate the number of publications you wish to receive and return this form to: New York State Archives Training and Publications Cultural Education Center, Room 9A47 Albany, New York '12230 Fax (518) 486-4923 Date ordered Name Organization Title Mailing Address Telephone Fax number Email For further information, call (518) 474-6926 or email: archpubs@mail.nysed.gov 46 New York State Archives, LGRM1F Grant Application Guide 2011-2012 GOVERNMENT RECORDS SERVICES Geof Huth, Director ghuth@mail.nysed.gov David Lowry, Manager Records Advisory Services dlowry~ima!Lnysed.gov Ann Marie Pr'zybyla, Manager Records Service Development eprzybyl~mail.nysed.gov 9A47 Cultural Education Center, Albany, NY 12230 · Phone (518) 474-6926 · Fax (518)4864923 www.archives, nysed.gov LOCAL GOVERNMENT ADVISORY SERVICES REGION 1 New York State Archives 55 Hanson Place, Suite 724 Brooklyn, New York 11217 Phone (718) 923-4300 or 923-4301 Fax: (718) 923-4302 Lorraine Hill, Interim RAO lhillcam@m ail.nysed.gov Migdalia Torres, KS mtorres@mai].nysed.gov REGION 3 Records Center Building 21, Suite 102 1220 Washington Avenue Albany, NY 12226-2152 Phone (518) 485-6233 or 485-6235 Fax (518) 485-6236 Denis Meadows, Interim RAO (Covering Albany, Rensselaer, and Schoharie counties) Linda Bull, Interim RAO (Covering Columbia, Greene, Sullivan, and Ulster counties) Vacant, KS (Calls to the Region 3 office will be forwarded as indicated above) REGION 4 820 State Rt. 9 1401-C Northway Plaza Queensbury, NY 12804 Phone (518) 798-5717 or 798-5759 Fax (518) 798-6119 Denis Meadows, RAO dmeadows@mail.nysed.gov Karen Strenkowski, KS kstrenko@mail.nysed.gov REGION 5 Utica State Office Building 207 Genesee Sb'eet, Room 404 Utica, NY 13501 Phone (315) 793-2780 or 793-2781 Fax (315) 793-2782 R. Kent Stuetz, RAO kstuetz@mail.nysed.gov Denise Russo, KS drusso@mail.nysed.gov REGION 6 Binghamton State Office Building 44 Hawley Street, Room 1604 Binghamton, NY 13901-4406 Phone (607) 721-8428 or 721-8429 Fax (607) 721-8431 Suzanne Etherington, RAO setherin@maiLnysed.gov Suzanne Todd, KS stodd@mail.nysed.gov REGION 7 Buckingham Commons 85 Allen Street Suite 140 Rochester, NY 14608-1800 Phone (585) 241-2827 or 241-2828 Fax (585) 241-2826 Gall A. Fischer, RAO gfischer@mail.nysed.gov Vacant, KS REGION 8 Mahoney State Office Building 65 Court Street, Room 313 Buffalo, NY 14202 Phone (716) 847-7903 or 847-7904 Fax (716) 847-7905 James M. Tammaro, RAO jtammaro@mail.nysed.gov Vacant, KS REGION 9 301 Manchester Rd., Suite 200-A Poughkeepsie, NY 12603 Phone (845) 485-2633 or 485-2634 Fax (845) 485-2635 Linda Bull, RAO lbull@mail.nysed.gov Vina Shah, KS vshah@mail.nysed.gov REGION 10 Suffolk State Office Building Room 2B-46B Veterans Memorial Highway Hauppauge, NY 11788-5501 Phone (631) 952-6864 or 952-6866 Fax (631) 952-6867 Lorraine Hill, RAO lhillcam@mail.nysed .gov Donna L. Deckelman, KS ddeckelm@mail.nysed.gov KEY RAO - Regional Advisory Officer KS - Keyboard Specialist ~cHEDULtNG AND RECORDS SERVICEs JeV"3ifer ~Neil[ S~ianr' ~il!{~ma!l~n~ gov 9A47 C"ltura[ EdUcati0n center, Albany, NY 12230 ' Phone (518) 473-2112 or 473-6803, Fax (518) 486'4923 New York State Archives, LGRMIF Grant Application Guide 2011-2012 47 4 8 7 REGIONAL OFFICES NEW YORK STATE ARCHIVES GOVERNMENT RECORDS SERVICES 6 1 OFFICE LOCATIONS 1 BROOKLYN 3 ALBANY 4 QUEENSBURY 5 UTICA 6 BINGHAMTON 3 7 ROCHESTER 8 BUFFALO 9 POUGHKEEPSIE 10 HAUPPAUGE 9 10