HomeMy WebLinkAboutGrant Application Guide
INA New York State
Aff"IL Archives
GRANTS ADMINISTRATION UNIT • 9A81 Cultural Education Center • Albany, NY 12230 • 518-4746926
LOCAL GOVERNMENT RECORDS MANAGEMENT
IMPROVEMENT FUND
Grant Application Guide
2014-2015
Application Deadline
3 March 2014
All applications must be submitted electronically.
If you have difficulty completing an online application,
contact the Grants Administration Unit at 618-474-6926
The University of the State of New York
The State Education Department
www.nysed.gov
TIIVER~
arrr IT~
ylz ,~I
Z
THE UNIVERSITY OF THE STATE OF NEW YORK
Regents of The University
MERRY. H. TLscH, Chancellor, B.A., M.A., Ed. D New York
ANTHONY S. BoTTAR, Vice Chancellor, B.A., J.D Syracuse
ROBERT M. BENNETT, Chancellor Emeritus, B.A., M.S Tonawanda
JAMEs C. DAWSON, A.A., B.A., M.S., Ph.D Plattsburgh
GERALDiNE D. CHAPEY, B.A., M.A., Ed.D Belle Harbor
HARRY PHE.LIPS, 3rd, B.A., M.S.F.S Hartsdale
JAMES R. TALLON, JR., B.A., M.A . Binghamton
ROGER TILLES, B.A., J.D Great Neck
CHARLES R. BENDEL B.A Manhattan
BETTY 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
CHRisTrxE D. CEA, B.A., M.A., Ph.D Staten Island
WADE S. NORWOOD, B.A Rochester
JAMES O. JACKSON, Ph.D ALBANY
KATHLEEN M. CAST EN, B.A., M.S., Ph.D . NEW YORK CHY
JAMES E. COTTRELL, M.S., Ph.D BROOKLYN
T. ANDREW BROWN, B.A., J.D Rochester
President of The University and Commissioner of Education
JOHN DING
General Counsel and Deputy Commissioner for Legal Affairs
RICHARD TRAUTWEIN
Deputy Commissioner for Cultural Education
JEFFREYW. CANNELL
Assistant Commissioner for. New York. State Archives
CHRISTINE WARD
Director of Archives and Records Management Operations
KATHLEEN D. ROE
Director, Government Records Services
GEOFFREY A. HUTH
The State Education Department does not discriminate on the basis of age, color, religion, creed, disability, marital status, veteran
status, national origin, race, gender, genetic predisposition or carrier status, or sexual orientation in its educational programs,
services, and activities. Portions of 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 distributed by the New York State Archives. If you have any questions concerning 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
2
Table of Contents
General Information 5
Introduction 5
Summary of Major Changes for 2014-2015 6
Timetable for 2014-2015 Grants Projects 7
Eligibility Requirements 8
Types of Grants 9
Project Categories 19
General Application Requirements 19
Disaster Management 22
Inactive Records 23
Historical Records 25
Files Management 28
Document Conversion and Access. 29
Geographic Information Systems (GIs).. 31
Records Systems 32
Instructions for the Project and Budget Narratives 34
The Project Narrative ..................................................34
Budget and Eligible and Ineligible Expenditures Instructions 38
The eGrants System 45
First Steps for Using eGrants 45
Applying for a Grant 46
Grants Review...., . 61
Priorities for Funding 61
Project Ranking 61
Review Process 61
Awards 63
Contract Award Protest Procedures 63
Post Award 65
3
Schedule of Payments 65
Project Administration 65
Post-Grant Award Forms 66
Instructions for Addressing Application Requirements 71
General Application Requirements 71
Project Type Requirements 74
Instructions for Completing the Vendor Quote Form 89
Table of Cubic-Foot Equivalents 91
Government Records Services 92
4
General Information
Introduction
The Local Government Records Management Improvement Fund (LGRMIF) grants
program 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 LGRMIF, created in 1989, is derived
from 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 each year depends on the
number of documents recorded and index numbers assigned that year.
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 (RMO) and to develop a
records management program.
On average, about 300 local governments apply each year. To increase their chances
of funding, applicants should closely adhere to the application instructions and address
the general application, relevant category, and grant type requirements outlined in this
guide. The State Archives encourages local government 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 archgrants@mail.nysed.gov. (See the directory
of regional offices, with contact information for each of the RAOs, in the appendices.)
New York City mayoral agencies must also contact the New York City Department of
Records' Grant Administration Unit at (212) 788-7513 or via email at
grants _ records. nyc. gov for information and assistance with additional requirements
that are specific to them.
To comply with formal bidding procedures, the State Archives must receive by 15
January 2014 any questions that have not already been addressed in this guide or
through the frequently asked questions (FAQs), which can be found at
http://www.archives.nysed.gov/a/grants/grants Igrmif faq.shtml. Submit all questions to
the Grants Administration Unit at archgrants@mail.nysed.gov. Questions and their
answers will be posted to the New York State Archives' website, which will be updated
weekly. Additional information may be found on the Archives' website under "Grants
and Awards."
5
Summary of Major Changes for 2014-2015
The LGRMIF will set aside up to $1 million this year to fund projects in the new
Demonstration grant type. Demonstration projects are large-scale grants developing
products and protocols that can be replicated by other local governments or
consortia. This year the two demonstration project types eligible for funding are
records management application and preservation of electronic records projects.
Shared Services projects are, once again, a priority for funding, and 35% of
available funds, minus the set-aside for New York City Department of Records
grants, will be set aside for Shared Services grants. This amount will equal
approximately $1 million. The LGRMIF will continue to focus more resources on
such grants, and away from individual grants, in the future.
Funding available for Individual grants will be about $2 million, and funding for grants
for New York City agencies will be up to $1 million.
A single county may now apply for an additional grant if that application focuses
entirely on the records of its community college.
The requirements for the project and budget narratives have been extensively
rewritten and now provide more direction on what information to include and exclude
from each section of the narrative.
Narrative questions now must be answered in the section where asked in order for
applicants to receive points for their responses. Applicants must not refer the
reviewers to an attachment and must not provide a response for one section of the
narrative within a different section.
Applicants are responsible for ensuring their attachments conform to the file format
standards for eGrants, are not corrupted, and can be read by reviewers. The
Archives recommends that applicants download each of their files after uploading
those to eGrants to ensure that these can be opened and read. If reviewers cannot
read an attachment, they cannot give an applicant any credit for the
information that was supposed to be in that attachment.
If an applicant proposes a project, outside of New York City local government, that
involves birth, death, marriage, or burial records, the applicant must indicate in the
application narrative that it has discussed its proposed project with the Department
of Health (DOH), which oversees those records, and confirm that the project meets
with DOH's approval. (Note: DOH is approving that the parameters of your project
meet DOH guidelines. DOH I not approving your grant application).
If an applicant proposes a project that involves court records, the applicant must
indicate in the application narrative that it has discussed its proposed project with the
6
Unified Court System (UCS), which oversees those records, and confirm that the
project meets with UCS's approval. (Note: UCS is approving that the parameters of
your project meet UCS guidelines. UCS is not approving your grant application).
Applicants must describe the suitability of any proposed inactive or historical records
storage site based on location, size, security, and environmental conditions or based
on the improvements that will occur because of the proposed grants project.
Eliminated the Imaging and Microfilming Project Information' Form (LG-IM), but now
require that applicants provide, for each records series, the series title, dates,
number of images, retention periods and references to schedule items, size of
pages, and information about the condition of the records.
Applicants must provide quotes for imaging and microfilming that include per-image
costs for conversion.
Eliminated the requirement that a vendor quote form be submitted if only one quote
is required.
Timetable for 2014-2015 Grants Projects
27 Jan 2014 Registration forms requesting new eGrant user accounts must
be submitted before 5:00 pm on this date.
3 Feb 2014 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 2014 Scheduled date to email notification letters to all applicants.
1 July 2014 Grants projects may start contingent on final approval from
the Office of the State Comptroller.
1 June 2015 All budget amendment templates must be submitted
electronically before 5:00 pm on this date. Also, the paper
FS-1 0-A form must be postmarked by this date, if required.
30 June 2015 All work on grants projects must be completed.
31 July 2015 All Final Reports must be submitted electronically or
postmarked (FS-10-F only) by this date.
7
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
forwarded for review if you have not submitted all final reports associated with
previously awarded 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 more than one county may apply as a separate local
government. 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 official. A single county: may now apply for an additional grant so long as
that application focuses entirely on the records of its community college.
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.
8
Types of Grants
1. Competitive Grants
Competitive grants can be for one of three types of projects: Individual, Shared
Services, or Demonstration projects.
Applicants may submit or be a party to only one Individual, Shared Services, or
Demonstration grant application, unless the second application is for a project under
the Disaster Management category or in the case of a county where the second
application is focused entirely on the records of its community college. The
maximum amount allowed for a Disaster Management project 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, theapplicant may
request up to $75,000 (for an Individual project) or $150,000 (for a Shared Services
project). Demonstration projects cannot be submitted in the Disaster Management
category. No local government can be a party to three or more competitive
grant applications in the same year under any circumstances.
Shared Services projects are again a priority for funding, and approximately 35% of
all available funding, minus the set-aside for New York City Department of Records
grants, will be set aside to fund grants of this type.
Demonstration projects are a new LGRMIF priority. This year, projects will be funded
for up to $1 million total.
A. Individual Grants involve a single local' government. The applicant may request
up to $75,000._ Approximately $2 million will be set aside for Individual grants.
B. Shared Services Grants involve two or more local governments working
together, with one government acting as the lead. To encourage Shared Services
projects, the State Archives will allocate approximately 35% of all available funding,
minus the $1 million set-aside for New York City Department of Records grants, to
this type of grant application. Approximately $1 million will be available to fund
Shared Services; grants.
Applicants proposing a Shared Services project may request up to $150,000. To be
eligible for funding, a Shared Services application must demonstrate how the grant
project will establish a permanent cooperative relationship between governments
that results in sustainable programmatic change.
9
Applicants for 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 submitted with the application
Demonstrate the clear financial and administrative advantages of working
together by including a cost-benefit analysis that demonstrates the cost
savings of implementing the proposed project
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. Note that this
participation and support cannot be fulfilled merely by submitting the required
Shared Services agreement forms, which only address the willingness of a
local government to participate in a Shared Services grant project. Each
Shared Services application must include information about how the
participants will continue to work together into the future
In addition, proposals for Shared Services projects must
Demonstrate the proposed project will result in permanent, positive
programmatic change involving an alliance of two or more local
governments; is sustainable; and all participants are committed to
supporting project' results for the long term.
All of the following administrative requirements must also be met by 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 relative to the other collaborating members.
3. In the event a grant is awarded for a Shared Services project, the award will
be prepared in the name of the lead applicant only.
10
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 government.
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, but 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 will participate.
If applicants for Shared Services grants do not meet all of these administrative and
other requirements as indicated above, their proposals are ineligible for funding.
Applicants for Shared Services grants should note that General Municipal Law
Section 119-0 states that municipal corporations and districts have the power to
enter into agreements, including. shared services agreements, with each other but
that the maximum term of such agreements cannot exceed five years, unless
another law otherwise provides for a longer term. Also, applicants for Shared
Services arrangements for the storage of records in any form are required, by the
Arts and Cultural Affairs Law Sect. 57.31, to obtain the consent of the Commissioner
of Education for each cooperating member that is storing in records in a facility that it
itself does not maintain. Contact the State Archives for further information.
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
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 Shared Services project with a third local government.
11
C. Demonstration Grants
The goals of the LGRMIF demonstration grants program are
To initiate large-scale projects that will serve as models for improving
electronic archives and records management practices in local government.
To develop replicable program models that will dramatically transform the
management of digital records and archives in local government.
Funding Levels
The State Archives will set aside up to $1 million this year to fund Demonstration
grant projects. Demonstration grants can support either planning or implementation
projects. A planning project can last only one year, unless the time period is modified
with authorization, and the level of funding per project cannot exceed '$100 000 total.
An implementation project can be funded for up to $500,000 total and cover a period
of one or two years. However, an applicant must apply in the second year for the
continuation of any implementation project that will take two years to complete.
Project Requirements
All demonstration projects must plan for or develop an electronic records
management program element that will continue into the future. Proposals must be
for projects that are replicable by other local governments or consortia of local
governments. Of particular interest to this program will be projects that propose
solutions that have not been used extensively before.
Applications must demonstrate the sustainability of the chosen technological
solution,' including the methods proposed to maintain, upgrade, and transform the
system into the future.. Sustainability must be demonstrated at the system and the
document levels and include information addressing access controls across
government partners (where applicable), security, retention and timely destruction,
and archival preservation.
Applicants for demonstration grants must meet all of the following requirements:
Demonstrate the benefits of the project and the benefits of the project to other
local governments.
Submit as part of the grant application a needs assessment whenever one is
needed to prove the viability of a project.
Include a detailed estimated five-year cost-benefit analysis to demonstrate
the clear financial and administrative advantages of the demonstration project
into the future. This analysis must provide information on upfront and
12
continuing costs, including system maintenance, and show the source of all
estimated costs.
Provide detailed information about the governments, governmental
departments, archives and records management functions, and records that
will be the focus of the project.
Demonstrate the proposed project is sustainable and will result in permanent,
positive programmatic change.
Applicants for multi-government demonstration projects must also meet the following
requirements:
Demonstrate the mutual benefits of the project to all participants and the
benefits of the project to other future consortia of local governments.
Demonstrate how the grant project will establish a permanent cooperative
relationship between governments that will result in sustainable programmatic
change.
Articulate the proposed governance structure of this consortium describing
the expected intergovernmental agreement that will be created, the bylaws
that will be enacted for a proposed governance committee, and the proposed
policies for running the consortium.
Demonstrate the full participation and support of all members of the
consortium for the duration of the project and for the long term.
Demonstrate the ability and intention of the lead government to continue to
lead this program into the future.
Applicants for multi-government demonstration projects must also meet the following
administrative requirements:
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 relative to the other collaborating members.
3. In the event a grant is awarded for a demonstration project, the award will be
prepared in the name of the lead applicant only.
4. The lead applicant must meet the following additional requirements:
13
Receive and administer the grant funds and submit the required reports to
account for the use of grant funds.
Ensure that each local government partner provides a letter of intent,
signed by the respective chief administrative officer, explaining 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 realized.
Be an active member of the partnership.
Not act as a flow-through for grant funds to pass to other recipients.
Not subgrant funds to other recipients, though lead applicant is permitted
to contract for services with other partners or consultants to provide
services that the lead applicant cannot provide itself.
Be responsible for the performance of any services provided by the
partners, consultants, or other organizations and must coordinate how
each will participate.
Demonstrate the full participation and support of all participants. Note that this
participation and support cannot be fulfilled merely by submitting the required
Shared Services agreement forms, which only address the willingness of a
local government to participate in a multi-government Demonstration grant
project. Multi-.government Demonstration application must include information
about how the participants will continue to work together into the future
If applicants for multi-government demonstration grants do not meet all of these
administrative and other requirements as indicated above, their proposals will be
ineligible for funding.
Applicants for demonstration grants should note that General Municipal Law Section
119-0 states that municipal corporations and districts have the power to enter into
agreements, including multi-government agreements arising from Demonstration
projects, with each other but that the maximum term of such agreements cannot
exceed five years, unless another law otherwise provides for a longer term.
Applicants proposing demonstration projects that include digital records storage are
required, by the Arts and Cultural Affairs Law Sect. 57.31, to obtain the consent of
the Commissioner of Education for each cooperating member storing records in a
facility that it itself does not maintain. Contact the State Archives for further
information.
14
Required Project Outcomes
All demonstration grant projects must achieve these outcomes in addition to those
required of all LGRMIF grants:
1. Develop a webpage or a subsite of a website to publicize the program
developed by the grant, including enough information to allow other local
governments or consortia of local governments to replicate the program.
2. Develop a canned one-hour webinar that explains, in layman's terms, the
elements of the program and how the program was developed.
3. Create and make available the governance documents of any consortium
participating in a multi-government project, including the intergovernmental
agreement for the consortium, the bylaws of its governance committee, and
the policies for running the consortium. (Applicable only for the final year of an
implementation project.)
4. Create a set of policies and procedures, including, at minimum, system
management and maintenance, training and support, auditing systems,
system performance assurance, information governance, and security, and
make these policies and procedures (minus any sensitive information)
available for use by others. (Applicable only for the final year of an
implementation project.)
5. Publicize the results of the project through at least one public event, such as
a one-day symposium or a presentation at a statewide or regional meeting of
a local government, archives, or records management association.
6. Indicate in all of these materials that the source of startup funding for the
project was the Local Government Records Management Improvement Fund,
New York State Archives, State Education Department.
Projects to Fund in 2014-2015
This program will support up to $1 million in funding for the 2014-2015 fiscal year.
To be eligible for funding, proposed projects must address one of the widespread
digital records management and archives issues identified below:
15
1. Records Management Application
Grant applications for this demonstration project must set up reusable
products and protocols that will incorporate records retention and disposition
controls for electronic records. Proposed projects must propose to use an
electronic content management system (ECMS) or a cloud-based ECMS
solution to implement the goals of this project. Applications for this project will
be considered Records Systems grant applications for the purposes of review
and must address all related requirements of that category. A demonstration
project applicant must design a planning or implementation project that lays
out how the applicant will
develop a method for implementing and/or implement within the
ECMS the appropriate New York State Archives' retention
schedules or big-bucket retention solutions based on those
schedules
design and/or implement a filing schema for organizing records
and associating retention schedule items to folders of records
design and/or implement a system of access controls to protect
records from both inappropriate access and accidental or
otherwise unauthorized modification, replacement, or
destruction
design and/or implement systems that allow each local
government in the consortium control over its own records (for
multi-government projects only)
design and/or implement an auditing system to ensure that
records cannot be : changed without such changes being
documented within the system
design and/or implement a process for authorizing retention and
disposition and ensuring that records can be destroyed only
after all appropriate authorizations have been granted
design and/or implement a system that completely destroys any
obsolete electronic records from both the system and any
backups once their destruction has been authorized
2. Preservation of Electronic Records
Grant applications for this demonstration project must set up reusable
products and protocols that will provide for the preservation of digitized and
born-digital archival electronic records. Proposed projects must propose to
16
use an electronic content management system (ECMS) or a cloud-based
ECMS solution to implement the goals of this project. Applications for this
project will be considered Historical Records grant applications for the
purpose of review and must address all related requirements of that category.
A demonstration project applicant must design a planning or implementation
project that lays out how the applicant will
develop and/or implement protocols for ingesting electronic
records into the archival records management system
demonstrate that each local government in the consortium will
maintain some level of control over its own records (for multi-
government projects only)
develop and/or implement standards for file conversion of both
born-digital and paper archival records that will be managed in
this system (including preferred file formats for long-term
retention and conversion procedures that address all records
that will at first be stored within the system)
develop and/or implement standards for descriptive metadata
that cover at least the most important or heavily used archival
records of the government or consortium
design and/or implement quality assurance protocols to verify
the accuracy of any document conversions and of all metadata
design and/or implement security controls to protect the archival
records from both inappropriate access and accidental or
otherwise unauthorized modification, replacement, or
destruction
design and/or implement methods to make the most important
and heavily used archival records of the local governments
accessible via any combination of methods, including the
archival records system itself, a website or websites, media
sharing sites on the Internet, removable media, email, or visits
to the government or governments
develop and/or implement backup protocols that will ensure that
the archival electronic records cannot be destroyed by human
or natural disaster
17
2. New York City Department of Records Grants
By law, the City of New York can receive up to $1 million in LGRMIF grant funds
each year. The departments of New York City apply through the usual process and
must compete for funding, just as other applicants. As part of this $1 million
allowance, the Department of Records, 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 will set aside a minimum of $150,000 this year to fund this
grant type, offering grants up to $20,000 support disaster recovery projects. All local
governments, except New York City municipal 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 preclude 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 Local Government Advisory Services
in Albany at 518-474-6926.
18
Project Categories
General Application Requirements
All applicants must directly address the following requirements in their LGRMIF
applications. Individual categories have additional requirements that you must also
address.
1. Records Focus
Demonstrate that your project focuses on improving the management of records in
your local government by addressing the following:
? Demonstrate that you are prepared to address the appropriate retention and
disposition 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 the full retention period (especially if the records are
permanent) and destroy the records appropriately when their retention period has
passed.
? Base project costs on the records involved whenever possible (such as volume,
condition, or other characteristic of the records). For example, determine the
number of hours needed to inventory and organize records based on the cubic
feet of records and the specific work activities to be accomplished.
? Address specific records management issues, including increased access to
records, vital records protection and disaster management, preservation,
confidentiality, security, compliance with FOIL and other records laws, and the
legal admissibility of information.
Projects that propose to create data or records or to improve a business process are
not eligible for funding. Examples of these include water meter reading projects,
projects to initiate or enhance' a government's ability to transact business over the
Internet, 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 framing your project in records management terms, contact
your RAO or Archives staff in Albany.
2. Adherence to Archives' Standards and Guidelines
Give details on how you will adhere to State Archives standards and guidelines
relevant to plan your project. These can include the Archives' standards for digital
imaging and microfilming, as well as guidelines in the form of workshops,
19
publications, or advice from a State Archives' Regional Advisory Officer. For your
convenience, references to applicable written standards and guidelines are included
in the descriptions for most grant categories.
3. Increased Capacity
Explain how this project will help you develop or enhance the capacity of your
records management program or system. In other words, explain how this project
will help build a program or improve an existing component of a program rather than
just maintain it.
LGRMIF grants are not intended to support ongoing operational costs of a records
management program. Funds are not awarded to address records that have
accumulated since the completion of a previous project, to pay for upgrades to
software and hardware already funded through an LGRMIF grant, 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 LGRMIF grant, you
must provide compelling justification about why you could not maintain the results of
that project and how you will ensure you can do so in the future.
4. Intent and Ability to Maintain
Discuss how you will maintain project accomplishments and support your records
management program once, grant funding ends. Ways to address this issue of
maintenance include, but are not limited to, the following:
? Indicate how you will provide ongoing staff training.
? Describe how you will maintain records management plans, policies, and
procedures so they remain relevant.
? Demonstrate that your local government clearly accepts the responsibility of
maintaining 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 budgeting for software and hardware upgrades,
annual maintenance agreements, data migration plans, and staff costs to run 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.
20
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
versions 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 on line.
? Submit any supporting documentation only in the following `electronic formats:
Microsoft Word (DOC) or PDF for text-based documents; Excel (XLS) for
spreadsheets; and PDF, JPEG, BMP, or PNG for images.
? Needs assessments are not eligible for funding through the LGRMIF except for
Demonstration grants (in the form of planning projects) and Inactive Records and
Historical Records projects. However, if a needs assessment is essential for
proving the viability of a project, it is the applicant's responsibility to complete and
submit one with the grant 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 consultant 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 to be procured
off state contract, from preferred source vendors, from sole-source vendors, or
by following your local government's procurement requirements.
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, unless
the vendor or contractor providing these services is on state contract, is a
preferred source vendor, is a sole-source vendor, or you are following your local
government's procurement requirements. If you are using a vendor on state
contract, indicate the state contract number on the Vendor Quote Form and in
the budget narrative. Detailed quotes are defined as quotes that clearly delineate
individual project costs and vendor or contractor qualifications.
Detailed vendor quotes are still required of all requests 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 consultant 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, REGARDLESS OF
WHETHER THREE QUOTES ARE REQUIRED.
21
(For more information about requirements for vendor quotes, see "Instructions for
Completing the Vendor Quote Form" in the appendices.)
? If an applicant proposes a project that involves birth, death, marriage, or burial
records, the applicant must indicate in the application narrative that it has
discussed its proposed project with the Department of Health (DOH), which
oversees those records, and confirm that the project meets with DOH's approval.
Contact the Registration Unit at the Office for Vital Statistics at 518-474-8187.
(Note: DOH is approving that the parameters of your project meet DOH
Guidelines. DOH is not approving your grant application).
? If an applicant proposes a project that involves court records, the applicant must
indicate in the application narrative that it has discussed its proposed project with
the Unified Court System (UCS), which oversees those records, and confirm that
the project meets with UCS's. Contact Unified Court System records
management staff at 212-428-2875 or records@courts.state.ny.us. (Note: UCS is
approving that the parameters of your project meet UCS Guidelines. UCS is not
approving your grant application).
Category Descriptions
Disaster Management
Disaster Management supports projects to develop, test, and implement disaster and
business recovery plans and systems to protect local government archival and vital
records. Projects under this category must, address both hardcopy and electronic
records systems.
? Local governments 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. The Archives encourages, but does not require, governments
to produce their own disaster plans to help ensure the relevance of the plans and the
governments' investment in disaster preparedness and response.
Category Requirements
? If proposing the creation of a disaster plan, you must also include a detailed
accounting of the specific risks faced by your government and its facilities.
22
? Any proposed disaster plan must include a section that addresses the specific risks
faced by the applicant and its facilities and the government's plan to eliminate, avoid,
or mitigate those risks.
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 retention 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
inventory focused on the records of a specific department or departments.
? An inventory focused on a specific record format (maps and plans, email, or
electronic records).
? 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, purgingobsolete records, developing retrieval
methods and formulatingpolicies 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 develop plans and specifications for a proposed facility to
store hardcopy records.
? A records survey, which collects information on records stored in a local government
but in a way less labor-intensive than 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
23
information directly by hand or for designing a database to ensure the uniformity of data
collection.
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
For inventory and survey activities
? All records inventory and survey projects must involve the development of a
records management needs assessment and program plan that addresses 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
inventory, survey, or organize. Use the "Table of Cubic-Foot Equivalents" in the
appendices to estimate cubic footage,' Estimate inventory rates for electronic
records by conducting a test inventory of a single electronic recordkeeping
system.
? If applicable, explain how you will use the data from any survey or inventory
project to develop office retention schedules.
? If planning a partial inventory or survey, specify which offices, government
functions, or records formats (paper or electronic) the grant project will cover and
why.
? Indicate an inventory, survey, or purging rate and how you arrived at that rate.
The standard rate is one to two cubic feet per hour for paper records. This rate
may be slower for projects involving a small volume of records and will be faster
for a records survey.
For inactive records activities
? Explain why you selected a particular site for records storage and describe the
suitability of that site based on location, size, security, and environmental
conditions or based on the improvements that will occur because of the proposed
grants project. Identify the departments that will use the storage area and the
controls you will employ to ensure the security of the records.
? Include to-scale floor plans of proposed storage areas that indicate all dimensions
24
(length, width, and height) and include the proposed layout of shelving. Indicate
the number of cubic-foot boxes that will fit on each unit of shelving.
? Indicate that the floor load capacity of the chosen site can support the weight of
the stored records unless the storage area proposed is on a slab.
? Plan for at least 30% more space based on the volume of records. For example, if
you have 100 cubic feet of records to store, include space to store 130 cubic feet
of 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 schedules as having permanent retention periods or potential historical
importance.
Historical records may exist in a variety of formats, including paper files, maps,
photographs, videotapes, or computer files. Funds cannot be used to care for published
materials, 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 planning to create series descriptions, catalog records, and collection
guides in electronic format for use on a local website or through the Historic Documents
Inventory (HDI). For assistance, call the State Archives' Archival Services Program 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 standards for K-12 education.
If you are considering an Educational Uses grant, direct your questions to either your
RAO, or to the Archives Coordinator of Educational Programs 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
historical records program. When developing an archival needs assessment project,
refer to State Archives Publication #59, Archival Needs Assessment Guidelines and
Template.
25
? Improving access by arranging, rehousing, and describing historical records, or by
reproducing 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 folders, boxes, records cartons, and paper to wrap volumes.
? 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 directly to deteriorated or damaged items to return them to stable and
usable condition.
? Developing websites, brochures, exhibits, walkingtours, or other products that use
local government records to educate the public and students about community
history, the value of records, or other subjects.
? Preparing document-based instructional materials for classroom use, including a
collection of documents relating to a particular topic, historical background
information about the topic and learning activities that incorporate the documents
into classroom instruction.
? Developing programs to train teachers to use local government 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
while' preparing the grant application.
? Indicate that, you will submit copies of any products, including brochures,
collection guides, and procedures manuals, to the State Archives.
For projects focused on managing historical records
? Indicate the volume (in cubic feet) and condition of records you intend to use.
? Demonstrate that your government has clear 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
26
project, use the following as a guideline:
o Completely unorganized series: 16 hours per cubic foot
o Complicated series, such as correspondence or subject files: 8 hours per
cubic foot
o Fairly simple and organized series that may need some work, such as case
files or business records: 4 hours per cubic foot
o Well organized series consisting primarily of bound volumes or voluminous
series with uniform or repetitive information: 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.
? Explain your policies and procedures relating to access, storage, and security of
the historical records, unless these will be developed during the project.
For conservation projects
? Justify the intrinsic value of any records that must be preserved in their original
form through conservation treatment rather than reformatted. Also, submit a copy
of vendor treatment proposals and estimated price quotes for each item to be
conserved. Treatment proposals must describe specific tasks, proposed
materials and techniques, estimated number of hours needed, and itemized
costs.
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 supplements 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 and
Common Core standards.
? Include the following project participants for teacher training projects:
o Trainers with the necessary experience in using local government records in
the classroom, who will instruct other teachers, and who will provide guidance
during site visits. Trainers may have acquired this experience by conducting
research at a local government and developing educational materials based
27
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.
o Local government officials, who will identify and provide access to relevant
records.
o Participating teachers, generally eight to twenty teachers per one-week
training session.
? Strong preference will be given to projects that offer teachers professional
development credit from individual school districts, or graduate credit from
colleges and universities, rather than stipends for attending training workshops. If
you are requesting stipends, you must justify the amount according to relevant
union contracts.
? Develop a plan to share 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, educational, and research institutions.
Files Management
Files management is the systematic control of active files, preferably beginning at the
point when the files are 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 files, implementing file classification systems and taxonomies, developing
written policies and procedures, 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, locking files).
Category Requirements
? Describe the problems with the current filing system and the proposed changes
to it, including anticipated improvements in the speed and accuracy of retrieval.
? Explain why you chose one files management solution over other possibilities.
28
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
master (or preservation) image and digital use image.
? Converting microfilmed records to digital images, or copying digital images or
information to microfilm.
? Addressing the deterioration of acetate-based or nitrate microfilm, including the
costs of assessing the problem, duplicating deteriorating film, and re-filming original
records previously 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
management system.
? Improving access to records with the creation of a database
Category Requirements
? Describe how you will manage all of the phases of a conversion project, including
document preparation, document conversion (through microfilming, imaging, or
both), image verification and quality control, and providing access to the images.
o Describe the individual tasks required for preparation (unfolding paper, removing
staples, purging obsolete records and duplicates), indicate the staff time you will
need to accomplish these tasks, and indicate how you arrived at these rates. The
baseline rate for preparing records is 1,000 sheets per hour, but more time may
be required for older, worn records with many staples and clips. Applicants may
consider preparing a small portion of the records before applying in order to
calculate the most accurate rate.
o Indicate how you will verify that all of the digitized or micrographic images are
legible and that images of the entirety of all records have been captured. One
hundred percent of the images must be verified before destroying the original
records. The base rate for verification is 300 images per hour.
29
o Describe the chosen method for improving access: manual indexing, full-text
searching, or a combination of solutions. If using off-the-shelf software, indicate
the name and version.
o If microfilming, request $18 per roll for third-party testing of every fourth roll of
original microfilm. This testing must verify adherence to State Archives'
guidelines for density, resolution, targeting, and general quality. Testing is
conducted by Filmtek, Bill Hulik, 144 Genesee Street, Suite 102-214, Auburn, NY
13021; phone, 315-255-0367. Applicants can use other third-party vendors for
microfilm testing only if they have received permission from the State Archives to
do so.
? If your government has received a previous grant focused on microfilming and
imaging records, provide a list of those records filmed or scanned during those
projects in order to prove that those records have not been filmed or scanned before
and to show that you are not proposing a project to address a backlog that has
developed after a previous microfilming or imaging project paid for with LGRIVIIF
funds.
? 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
project and develop a policies and procedures manual. Indicate you arrived at any
indexing rate you chose. The usual estimate for indexing minutes 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.
? Provide quotes for imaging and microfilming that include per-image costs for
conversion.
? For projects involving the creation of digital images, indicate how you will follow
standards outlined in the State Archives' Digital Imaging Guidelines (2013).
? For projects with microfilming as a component, indicate how you will follow the
guidance outlined in the State Archives' Publication #9, Producing High-Quality
Microfilm.
? Indicate how you will follow the guidance outlined in Publication #77, Managing
Imaging and Micrographics Projects. Applicants proposing to microfilm or scan court
records must also indicate how they will adhere to all Unified Court System
guidelines.
? Provide, in section 1 b of the project narrative, a listing of each of the records series
you plan to digitize or microfilm that includes the series titles, dates, number of
images, retention periods and references to schedule items, size of paper, and
information about the condition of the records (such as any damage, large quantities
30
of fasteners, or paper that is difficult to manage, such as onionskin).
? Identify how you will maintain the master image copy. For example, explain how
camera-negative microfilm will be stored off site under environmentally controlled
conditions and how you will ensure that the master digital copy will be preserved and
maintained for the full retention period of the record.
? If proposing to establish an in-house imaging operation, demonstrate how doing so
will be more economical and efficient than outsourcing.
? If implementing a document management system, demonstrate your ability to
implement and maintain the system long term. For example, discuss your ability to
budget for systems maintenance, store image files,, protect file integrity, and migrate
images to the newer platforms and file formats when needed.
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, information from multiple sources that would be difficult to associate through
any other means.
GIS needs assessments 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 also
not eligible for funding. Data conversion projects that include the scanning of
geographic records or the georeferencing of hardcopy maps are eligible.
Types of Projects
? Creating a base map, building the capacity to transfer data between governments or
government 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.
Category Requirements
? All applications for funding to implement a GIS must be for Shared Services projects.
? All applications must indicate how they will coordinate the development of the
proposed GIS regionally with their respective county government or other regional
local governments that have implemented GIS. The application must demonstrate
compliance with this rule by providing a letter of acknowledgment from any relevant
government that indicates how it will share in the management of data and expertise
during the grant period, and how the proposed GIS will ensure conformance with
extant geographic information systems and reduce potential redundancy of effort
31
among local governments. Digitize these letters and upload them to your application
in eGrants, using "GIS Letter of Acknowledgment" as the description for your
attachment.
? Fully explain why your government needs a GIS and the specific GIS applications
you request in your grant application.
? Specifically identify your own government's geospatial records involved in your
application and how this project will improve the management of those records.
? If imaging is a component of your GIS project, provide, in section 1 b of the project
narrative, a listing of all the records you plan to digitize or microfilm and include the
series titles, dates, number of images, retention periods and references to schedule
items, size of paper, and information about the condition of the records (such as any
damage, large quantities of fasteners, or paper that is difficult to manage, such as
onionskin).
? If imaging is a component of your GIS project, provide quotes for imaging that
include per-image costs for conversion.
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. Any records systems applications that do not manage records as
their primary purpose are not eligible for funding.
Types of Projects
The following are examples of implementation projects that establish or enhance the
management 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.
32
Category Requirements
? Indicate in the grant application, when applicable, that source code for customized
software developed with LGRMIF funds becomes the property of the local
government by including a clause to that effect in any contract with a software
designer.
? Agree to make any customized software code developed with LGRMIF funds
available on request to other New York local governments for the cost of the storage
media.
? Ensure that electronic records are maintained in, open, non-proprietary formats
except in rare cases when such formats do not exist.
33
Instructions for the Project and Budget Narratives
To receive any points for your responses to the individual sections of the
narratives, you must provide these responses within the appropriate section. Do
not merely refer the reviewers to an attachment for your entire response, and do not
provide your response to one section of the narrative within a different section.
The Project Narrative
The project narrative is the most important part of the application, so pay careful
attention to the information requested within it. To improve your chances of writing a
successful grant application, pay special attention to the points assigned to each section
of the narrative.
Be sure to address past projects in section 1 b of the Statement of the Problem. The
grants review panels will have a list of all past CGRMIF grants received by your local
government and will expect your application to explain that none of those previous
projects included work proposed for your current application and that your proposed
project will not conduct ineligible maintenance activities.'
1. Statement of the Problem (maximum 20 points)
a. Describe the specific records management problem this proposed project will
address, provide qualitative descriptions and quantitative data about the problem,
and explain why this particular project is a high priority for your records
management program. Do not discuss any proposed solutions here, only the
problems. Discuss solutions in Intended Results (2a). (10 points)
b. Identify the specific records that will be involved in this project, and include the
series titles, retention periods, and volume of each records series. Identify any
previous grant-funded projects related to these records and this project,
identifying the ranges of records involved and why this project would not replicate
work already completed and would not constitute an ineligible request for
maintenance. If your government has not received any past projects relevant to
your current application, indicate so. If the proposed project includes imaging or
microfilming, provide the required description and condition of each records
series in this section. (10 points)
2. Intended Results (maximum 15 points)
a. Explain why the methodology you chose to solve your records management
problem was the best one. Explain what other methodologies you considered,
detail why these were rejected, and demonstrate why the chosen methodology
was the best. (5 points)
34
b. Identify each intended result or anticipated benefit of this project and your chosen
solution, including specific products, time and cost savings, and service
improvements. Describe how the anticipated benefits of this project will
contribute to the development of a records management program or enhance an
already existing program. Provide both qualitative and quantitative data to
support your arguments about the benefits of this project. (10 points)
3. Plan of Work (maximum 30 points)
a. Provide a detailed outline of the proposed work activities including a detailed
description of each workstep and a timetable that shows when each phase of the
project will be completed. Show how you calculated estimated work rates to
prove that your local government can attain all the project's goals by 30 June
2015. (15 points)
b. Address each of the general application, project type, and project category
requirements. If your application combines elements of two or more grant
categories, address the requirements of each. (10 points)
c. Explain who will perform each project activity, including project management.
Indicate the qualifications of project staff (including consultants and vendors),
and explain how and why they are, qualified to conduct their assigned tasks for
this project. (5 points)
4. Local Government Contributions (maximum 10 points)
a. Demonstrate your local government's' contributions to this project, including
funds, staffing, equipment, supplies, or the allocation of space. Also, demonstrate
your 'local government's contributions to its records management program,
demonstrating its commitment to records management. Provide specific budget
amounts whenever possible. Include only the financial and other support your
local government has provided and will provide with its own funds. Note that
previous, grant projects funded by the LGRMIF do not constitute local
support and must not be listed in this section. (5 points)
b. Provide concrete information to demonstrate how you will maintain the results of
this project long term without additional LGRMIF grant funding. If additional
funding will be required in the short term, explain why. (5 points)
35
5. Project Budget (maximum 25 points)
Justify the proposed project expenditures in terms of reasonableness of cost, the
suitability of the chosen solution, and the necessity of the expenses to ensure the
project's success. Do not merely describe the items and services requested in the
project budget. For example, if purchasing a scanner for a project, do not simply
explain that a scanner is needed to complete the project but also why the particular
scanner make and model needs to be purchased to successfully complete the project.
(25 points).
1. Salaries for Professional Staff (Code 15)
Justify in detail the need for these positions and clearly outline the responsibilities
of the positions. Demonstrate why the requested number of hours is needed.
Explain how the project staff will support project activities and goals.
2. Salaries for Support Staff (Code 16)
Justify in detail the need for these positions and clearly outline the responsibilities
of the positions. Demonstrate why the requested number of hours is needed.
Explain how the project staff will support project activities and goals.
3. Equipment (Code 20)
Describe how the requested equipment will be used to support project activities
and goals, and demonstrate why this particular equipment is critical to the
project's success. Demonstrate how such equipment will be used on an ongoing
basis after the grant to support records management.
4. Minor Remodeling (Code 30)
Justify the treed for the particular remodeling requested and why it is essential to
the project.
5. Purchased Services (Code 40)
Describe how each of the purchased services supports the project's activities
and goals. Clearly explain and justify the consultant or vendor's role in and time
spent on the project, and demonstrate that the consultant or vendor is qualified to
conduct this work.
6. Supplies & Materials (Code 45)
Describe how all the supplies and materials requested will the support the project
activities and goals and why they are essential to the project.
7. Travel Expenses (Code 46)
Explain how the proposed travel will help achieve the intended results outlined in
the application and why it is essential to the project.
36
8. Purchased Services with BOCES (Code 49)
Describe how each of the purchased services with BOCES supports project
activities and goals. Clearly explain and justify the consultant or vendor's role in
and time spent on the project, and demonstrate that the BOCES is qualified to
conduct this work.
9. Employee Benefits (Code 80)
Justify the need for using grant funds to pay staff benefits. Provide justification for
any fringe benefits that exceed 35% of the cost of the salaries requested.
37
Budget and Eligible and Ineligible Expenditures Instructions
Salaries for Professional Staff (Code 16)
Provide the specific position title, 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.
Eligible Expenditures
Grant funding 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 from 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 resolution 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 title, hours needed, hourly rate of pay, and total project
salary for each support staff you intend to pay with grant funding. Include only those
individuals who will be support staff of your government in this budget code. Do not
include consultants,' per diem staff, staff hired through an employment agency, or
professional staff.
38
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 support project-related activities.
Note to Town Applicants
See note under "Salaries for Professional Staff (Code 1.5);"
Equipment (Code 20)
Briefly describe the item to be purchased and specify the quantity, 'unit cost, and
proposed expenditure.
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 vendor, off a state contract, or you have followed the Local
Government's Procurement Requirements (LGPR). To use the LGPR exemption,
you must demonstrate that you are following your government's procedures by
showing what those relevant procedures are and indicating how you are following
them. If using the LGPR exception, please note the vendor and contract number
where applicable.
Eligible Expenditures
Use this category for 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)
39
Minor Remodeling (Code 30)
Briefly describe and provide the cost of each proposed remodeling activity.
Eligible Expenditures
Any facility where proposed minor remodeling will take place must be in
existence before the grant application 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 systems to control temperature and humidity
? installation of walls, doors, locks, alarms, and other security systems to
secure a records storage facility
? 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 a preferred vendor, sole-source
vendor, or a vendor under state contract, or you have followed the Local
Government's Procurement Requirements (LGPR). To use the LGPR
exemption, you must demonstrate that you are following your government's
procedures by showing what those relevant procedures are and indicating
how you are following them. If using the LGPR exception, please note the
vendor and contract number where applicable. If one contactor is responsible
40
for multiple activities, the quote from that contractor must provide a
breakdown of costs by activity.
? 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 general 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 (for inactive and historical records projects
only), and the development of records management policies and procedures
? Production of manuals, finding aids, teaching guides, or other publications
directly related to the project
? Contractual services such as imaging, microfilming, 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 technology or 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 grantwriter
41
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 services from a preferred vendor, sole-source
vendor, or a vendor under state contract, or you have followed your Local
Government's Procurement Requirements (LGPR). See "Instructions for
Completing the Vendor Quote Form."
Supplies and Materials (Code 45)
Briefly describe each requested item and specify quantity, unit cost, and proposed
expenditure. 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 supplies (folders and boxes), and equipment with a unit cost of less
than $5,000
? Side-tab file folders for files management projects
? Computer software, regardless of the unit price
? Lateral open shelving with pull-down or flip-down locking doors
? Fire-resistant file cabinets
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 provides sufficient justification for their purchase
? Consider the Source: Historical Records in the Classroom, a State Archives
publication, cannot be purchased with funds from this granting source
42
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, sole-source vendor, state
contract, or you are following the Local Government's Procurement
Requirements (LGPR). To use the LGPR exemption, you must demonstrate
that you are following your government's procedures by showing what those
relevant procedures are and indicating how you are following them. If using
the LGPR exception, please note the vendor and contract number where
applicable.
? If purchasing shelving, you must include a floor plan indicating the layout of
the shelving and the number of boxes you will store on each unit. For
information on appropriate shelving for records storage, consult State
Archives Publication #65, Recommendations for Shelving for Inactive
Records Storage.
Standard one-cubic-foot records storage cartons (10" x 12" x 15") may be purchased
through
New York State Industries for the Disabled
11 Columbia Circle Drive
Albany, NY 12203
518-463-9706
These are available in lots of twenty-five at $45.93 per case (approximately $1.83 per
box). Grant funds will not be approved for cartons in excess of this price.
Travel Expenses (Code 46)
Identify the purpose of the 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 project is eligible for funding.
? Airfare is eligible if you can clearly demonstrate that it is the most cost-
efficient method of travel available.
43
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
service, 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. You may choose to calculate the
proposed employee benefits using your local, government's fringe benefits rate or by
itemizing the individual benefits. The rate for 'project personnel must be the same as
those used for other government personnel.
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 positions 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. Such evidence includes
the fact that the rate for benefits for project personnel is the same as for other
government personnel.
44
The eGrants System
First Steps for Using eGrants
All LGRMIF grant applications must be submitted using the LGRMIF eGrants System,
available at https://eservices.nysed.gov/Idgrants. If you have difficulty completing an
online application, contact the Grants Administration Unit at
archgrants@_mai1.nysed.gov or 618-474-6926.
Below are step-by-step instructions on using the eGrants system to apply for an
LGRMIF grant.
Registering for a User Account
To log into the system, you must have a New York State Directory Service (NYSDS)
username 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 archgrants _.mail.nysed.gov or 518-474-6926.
We strongly recommend that you complete or verify your registration at least two
weeks before the application deadline. Registration forms requesting new user
accounts will no longer be processed if submitted within 6 business days of the
February 3 application due date.
1. To register, go to https://eservices.nysed.gov/Idgrants/Idgext/cnRegistration.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 entered 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 the
RMO may delegate 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 eGrants to submit grant applications on behalf of only that
institution.
Logging into the LGRMIF eGrants System
You can find the LGRMIF eGrants System at eservices.nysed.gov/Idgrants.
Note: If you have already established an account but have not been in eGrants for six
months, you will need to re-set your password.
45
1. Enter your username and password, and click Login. Your username is usually your
first name followed by your last name, with a period between your first and last
names: firstname.lastname. (See "Registering for a User Account" if you do not have
a New York State Directory Service username 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 usarname or your original 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 closeout of a project after the submission of the
final reports. Unfortunately, forms that require signatures must still be submitted in
paper, and supporting documentation for some projects must be submitted as electronic
attachments to an application. Below is a breakdown of which forms can be submitted
electronically, which must still be submitted in paper, and which must be attached as
electronic files.
Forms submitted electronically in eGrants
? Application Sheet
? Project Narrative
? Project Budget
? Participating Institutions (if applicable)
46
? Vendor Quote Form (if applicable)
Forms that cannot be filled out electronically (Blue ink signatures required)
? Budget Summary (FS-20) in 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
? Shared Services Agreement Form (for Shared Services and multi-government
Demonstration projects only) ,
? Detailed vendor quotes
? Needs assessments
? Vendor treatment proposals (for relevant projects in the Historical Records
category)
? Floor plans (for Inactive Records or Historical Records projects that involve minor
remodeling or the installation of shelving)
? Letters of Acknowledgement (for geographic information system applications)
? Any other documentation required for your project
See "Attaching Documents to the Application" for instructions on adding files to your
application electronically.
It is important that your grant application information be entered into the appropriate
sections of the proposal, as failure to do so will negatively affect the scoring of the
application.
47
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, click on "Create new application." You can create
only one new individual grant application or be a participant in one Shared Services
application per grant year, unless you are applying 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 a Shared Services or a multi-government Demonstration application
(other than the lead government) have read-only access to the application, except
for the 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 government is a participant. Simply
click on the project number for the grant application you wish to view.
Using the Checklists
The checklists are designed to help you navigate the forms that are required for your
specific 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 following:
? Application Sheet
? Project Narrative
? Project Budget
? Payee Information Form and Standard Data Capture Form
? Vendor Quote Form (if applicable)
? Institutional Authorization, Budget Summary Form (FS-20)
? Attachments/Uploads
48
? Application Printouts
? Participating Institutions Form (if applicable)
? Shared Services Agreement Form (if applicable)
The checklist for the Post-Grant Award Forms links to the following:
? Request for Additional Funds Form (FS-25)
? Budget Amendment Template
? Amendment Form (FS-1 0-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
? Attachments/Uploads
1. The forms that have a check-off box to the left are required of all applicants. As you
complete each required form on the Checklist, check the box to the left of that form
and click 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 3 February 2014. You must submit
your application before 5:00 pm on that date, except under the following
circumstances.
o If a state or federal disaster emergency is declared in your area, the local
governments affected by the disaster will receive an extension of the grant
application deadline of one week.
o 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
49
www.archives.nysed.gov/a/grants/grants_Igrmif.shtml for announcements and
updates.
4. To submit your application, click the yellow Submit button. A warning message will
appear if you have not completed an Application Sheet, a Project Budget, and 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.
5. On the Checklist under Application Printouts are links that allow you to view parts of
the application in HTML or PDF formats. 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
application and who submitted it.
Application Sheet
The Application Sheet includes contact information for your institution, chief
administrative 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 or Shared Services),
project category, and project summary.
1. The institutional information and CAO information are supplied by an internal
database 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 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, enter the year of that appointment, confirm an appropriate retention
schedule has been adopted, and indicate the year of that schedule's 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.
50
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
employees, 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
commas).
7. Check the appropriate application type (Individual 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
appropriate for your project. The category "Administrative" is for the NYC
Department of Records only, 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.
Participating Institutions
Use the Participating Institutions form to specify participants in a 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 Shared Services Agreement Form.
Each participant must complete and attach a Shared Services Agreement Form to
the application.
3. Enter the name of your institution and click 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 Shared Services grant project.
5. If the name of the institution is not in the search results, try searching by another
form of the name. If you still cannot locate your institution's name, contact the State
Archives' Grants Administration Unit at archgrants@mail.nysed.gov.
51
6. Add additional participants' names as needed, and delete participants as needed by
clicking Delete to the left of the corresponding institution name.
Shared Services Agreement Form
A separate Shared Services Agreement must be completed and attached to the
application by each government participating in a Shared Services or multi-government
Demonstration project.
1. Access the 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 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
application 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)
4. Local Government Support (maximum 10 points)
Each section of the Project Narrative consists of subsections. Address each of these
subsections, 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 appendices 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
Application Requirements, category descriptions, and requirements for certain types of
grants, and talk with your Regional Advisory Officer.
52
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
narrative (1a). Use the links on the left-hand side of the screen to access and
complete the ten subsequent subsections of the project narrative.
2. Instructions for each section of the narrative are listed above the text area. You can
type the narrative directly into the application, but it is likely better to copy the
narrative sections from a Microsoft Word document and paste them into the
template. 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 digital 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
editing toolbar, but you can still type and save your Project Narrative directly into the
system.
5. 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 appendices 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)
53
? Employee Benefits (Code 80)
? BOCES Services (Code 49)
? Minor Remodeling (Code 30)
? Equipment (Code 20)
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
expenditures, 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
to the proposed grant project 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, click 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.
54
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
certain 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) or PDF; 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
responsible for ensuring the documents are in an appropriate electronic format for
uploading into eGrants.
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.
Applicants are responsible for ensuring their attachments conform to the file format
standards for eGrants, are not corrupted, and can be read by reviewers. The Archives
recommends that applicants download each of their files after uploading those to
eGrants to ensure that these can be opened and read. If reviewers cannot read an
attachment, they cannot give an applicant any credit for the information that was
supposed to be in that attachment.
The following form must be printed out, completed (and signed), and submitted
electronically:
? Shared Services Agreement Form (for Shared Services and multi-government
Demonstration projects only)
55
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 for technology implementation projects are no longer
eligible for funding through the LGRMIF (though needs assessments are
eligible for Inactive Records and Historical Records projects). However, if a
needs assessment is essential for proving the viability of a project, it is the
applicant's responsibility to complete and submit one with the grant
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 and Historical Records projects that
involve minor remodeling and the installation of shelving.
? Letters of Acknowledgement for any GIS applications.
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 page, click on Browse to navigate to the document from
your computer that you want to attach. Highlight the file title, 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 xIs file extension).
56
Submitting Paper Forms with the Initial Application
You cannot use eGrants to submit forms that require a signature or in instances when a
paper copy of the form is required. These forms include the following:
? Payee Information Form/Substitute W-9
? Standard Data Capture Form (no signature required)
? Institutional Authorization
? Summary Budget (FS-20)
You must submit paper copies of these forms, as indicated below, postmarked by
the application deadline of 3 February 2014.
Where indicated, the forms require the signature of your Chief Administrative Officer
(CAO) or authorized designee. 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 Proposed Budget Summary (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 LGRMIF.
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.
57
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.
58
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 completed the Application Sheet, the
Project Budget, and filled out all sections of the Project Narrative. Return to and
complete any section that is noted in the warning as incomplete. 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
homepage. 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.
5. Remember to mail all these paper forms so they are postmarked by the application
deadline:
? Payee Information Form/Substitute W-9
? Standard Data Capture Form
? Institutional Authorization Form
? FS-20, Proposed Budget Summary (in three copies)
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 submitted 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.
59
To report error messages, problems, login issues, or questions regarding the LGRMIF
Online Grant System, contact Frank Campione at fcampiono_mail. nysed.gov or Stefanie
Husak at shusak _ mail.nysed.gov. Report the error message you received, along with a
description of the steps you have completed just prior to receiving the error message.
For any other grants-related questions, contact either the Grants Administration Unit at
archgrants(c_mail.nysed.gov or talk to your Regional Advisory Officer.
60
Grants Review
Priorities for Funding
Shared Services and Demonstration projects have been identified as priorities for
funding in the 2014-2015 grant year. To encourage Shared Services projects, the State
Archives will allocate approximately 35% of all available funding, minus the $1 million
set-aside for New York City Department of Records grants, to this grant application
type. To encourage Demonstration projects, the State Archives will allocate up to $1
million total for grant applications of this type.
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%. The questions applicants are required to address in the narrative and budget
directly correspond to the reviewers' ranking criteria. See appendices 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
eligibility 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.
Except for applications involving Shared Services and Demonstration project grants, 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
categories, again except for, applications involving Shared Services and Demonstration
project grants. Applications involving Shared Services will be assigned to a separate
review panel, and Demonstration project grants will also be assigned to a separate
panel.
Outside expert reviewers are assigned to panels to review grants in their areas of
expertise. Each reviewer evaluates twenty-five to thirty grant applications and assigns
each proposal a score based on information in the Project Narrative and Project Budget.
Each application is scored by four reviewers. To be considered for funding, an
application must score a minimum average of 60 points. The cut-off score for funding
may be higher than 60, depending on the quantity of applications and the amount of
funding available at an individual panel.
61
Each panel is assigned an amount of funding based on the following allocation method:
Per an annual Revenue and Expenditure Plan, the LGRMIF program is provided with an
approved dollar amount that is available to be awarded in a given grant year. From the
available funding, we first allocate up to $1 million to the grants from New York City
mayoral agencies, per legislative mandate. Secondly, we assign up to $1 million to
Demonstration project grants. The panel reviewing Demonstration grants will complete
its review before the review of other grants. If any funds remain after that review, these
funds will be returned to the grants funding pool. Shared Services proposals have been
identified as the only priority for funding for the 2014-2015 grant cycle, so 35% of
remaining funds will be assigned to this panel. Finally, we calculate how much money is
being requested from the remaining grant applications, and divide this figure into the
remaining funds available to award. This calculation provides us with the percentage or
factor that is used to allocate available funds among the remaining review panels.
Reviewers in each of the panels meet to discuss the applications they have scored,
reconcile differences in conclusions from their preliminary reviews, assign each
application a final average score, rank applications, and make funding
recommendations in order of rank. When there are multiple panels for a specific
category, reviewers from the multiple panels discuss the ranking of all the applications
until they reach consensus on the final ranking, order of all applications for that category.
Funding recommendations are made in the order of ranking until available funds for that
panel are depleted. Applications are recommended for full funding, partial funding, or no
funding. Applications may be recommended for partial' funding if they include ineligible
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 higher funding request will be given priority,
After scoring and the tentative award of grant amounts, one or more of the panels may
have funds remaining from its initial allocation but no remaining applications that are
fundable (e.g., for failure to achieve the minimum score). In such cases, the remaining
funds from those panels are pooled as one source. Awards will then be made,
regardless of panel, starting; with the top scoring application and moving down until the
funds have been exhausted or not enough money remains to fund the next lowest
scored application. In the event of a tie where there is not enough money to fund all
tying projects, the application or applications that will be funded are those that are
recommended for the highest amount of funding without exceeding the amount
available.
If there are any unused funds following this action, they will be used to address Disaster
Recovery activities that may occur throughout the grant year.
62
Awards
The Local Government Records Advisory Council (LGRAC) recommends which
applications 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 proposed grant awards, and both the Division of Budget and the Office of the State
Comptroller have given 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' recommendations is provided explaining the decision for
those applications funded partially or not at all.
Contract Award Protest Procedures
Applicants who receive a notice of non-award may protest the NYSED award decision
subject 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 applicant with written notification 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 filed.
63
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.
64
Post Award
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
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 2414, 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 and plan of work as modified by the grant
award letter when applicable, as well as the LGRMIF grant guidelines. In addition, you
must follow your government's policies concerning 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 payment 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-1 0-F Long Form, maintain the information in
their files, and make 'these details readily available upon request from authorized
individuals. 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
prepared to provide additional detail, such as time and effort records, vendor invoices,
and travel receipts, to support reported expenditures.
65
State Archives Oversight
State Archives staff will monitor each grant-funded project and will make site visits
during 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.
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.
Forms that cannot be filled out electronically
? Request for Additional Funds (FS-25)
? Amendment Form (FS-10-A)
? Final Report for Educational Uses Projects
? Final Expenditure Report (FS-10-F)
Electronic forms that can be completed directly in eGrants
? Final Project Narrative
? Final Project Budget
? Final Statistical Report
? Budget Amendment Summary
Form that must be attached as an electronic form to the Final Project Narrative
? Final Report for Educational Uses Projects
? Final Sign-Off Form
After completing all forms and hitting the "Submit" button (orange pattern) on the
Checklist page under the section "Post-Grant Award Checklist," the project director and
the RMO of the grant project will receive an email notification from eGrants confirming
that the required online final reports have been submitted.
Submitting Post-Grant Award Paper Forms
66
You can find templates for the forms you must submit in paper from the drop-down
menu under Post-Grant Award Forms and the Checklist. For Amendments, please see
the section "FS-1 0-A Budget Amendments (Optional)" on the Checklist page.
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. Print out either the HTML or the PDF versions of the forms when
needed.
1. To request funds beyond the initial 50% payment, submit 1 copy of the Request for
Additional Funds (FS-25) to
Grants Finance Unit
NYS Education Department
Room 510 W EB
Albany, NY 12234.
Your Chief Administrative Officer (GAO) must sign the FS-25 in blue ink. Please note
that you can request up to 40% of additional funds based on monthly estimates of
funds needed to continue project work.
2. If you need to amend your approved budget during the grant period, submit 3
copies of the Amendment Form (FS-1 0-A) to the Grants Administration Unit no later
than June 1st. You must receive approval of the amendment from your Regional
Advisory Officer (RAO) before submitting the request. For budget changes that do
not require the formal filing of an FS-10-A, complete the Budget Amendment
Summary in eGrants and submit the request electronically no late than June 1 sc each
year.
Be sure to provide a clear reason for amending the budget and indicate the
amended budget amounts in the appropriate budget codes in the Budget
Amendment Summary section in eGrants. The data entered electronically in the
Summary will automatically populate the FS-10-A form, which, if applicable, must be
signed by your CAO in blue ink. Mail the copies of the FS-1 O-A to
New York State Archives
Grants Administration Unit
Room 9A81, Cultural Education Center
Albany, NY 12230
3. After completing your final reports, submit 3 copies of the Final Expenditure Report
(FS-10-F) to the Grants Administration Unit. 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
67
FS-10-F comes from the data you entered as actual expenses under the "Final
Project Budget (Expenses Submitted)" section in eGrants.
Any local government submitting its required online Final Reports and/or its final
fiscal report after the 31 July 2014 deadline must submit an FS-10-F Long Form.
Failure to submit the FS-10-F will prevent the Archives from closing out your project.
Failure to close the project in a timely manner could also jeopardize any potential future
award.
Final Budget Form
All successful applicants must complete the Final Project Budget to report what funds
they 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 at each step.
3. Data from the Final Project Budget populates the Final Expenditure Form (FS-10-F
form). Print and submit three copies of the FS-10-F (signed in blue ink by your Chief
Administrative Officer) to the Grants Administration Unit.
Final Narrative Report
You must complete the Final Project Narrative report at the conclusion of your 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 document. Click Save to save your changes to the system.
3. An editing toolbar at the top of the text area is accessible if you have Javascript
installed. If your web browser does not have Javascript enabled, you will not see this
toolbar, but you can still type and save your final report narrative.
4. You will have read-only access to the Final Narrative Report once you click "Submit."
68
Final Statistical Report
You must complete the Final Statistical Report at the conclusion of your project.
Educational Uses Projects must also complete the "Final Report for Educational Uses."
1. Select Final Statistical Report from the Checklist page or from the drop-down menu
under Post-Grant Award Forms.
2. Enter whole numbers only. Text, commas, spaces, blanks, etc., are not allowed by
the system, except in the field "Other."
3. Do not leave any fields blank; instead enter a "0."
4. If the Statistical Report does not apply to your project, enter "0" for all fields except
for the field "Other," where you should type "N/A".
5. You will have read-only access to the Final Statistical Report once you click the
orange Submit button.
Final Report Sign-off
You must complete the Final Report Sign-off when you submit the Final Report
Narrative.
1. The Final Report Sign-off is accessible from the drop-down menu under Post-Grant
Award Forms as well as from the Checklist page.
2. Print out either the HTML or the PDF version of the form, then sign and date the
form.
3. Scan the signed form, and upload the file to the eGrants System using the "Add a
Document" link. If you need additional assistance, see instructions under "Attaching
Documents to the Application."
Failure to submit the Final Report Sign-off will prevent us from closing out your project.
Failure to close the project in a timely manner could also jeopardize any potential future
award. Remember to click the "Submit" button after completing all of the required
online final reports.
Budget Amendment Summary (if necessary)
The Budget Amendment Summary is required if your approved budget has been
modified during the course of the year. Note this summary is not the FS-10-A form,
which may or may not be required.
1. Log in to eGrants at https://eservices.nysed.gov/ldgrants
69
2. Click on the project number link that requires the amendment.
3. On the Checklist page, scroll down to the section "FS-1 0-A Budget Amendments
(Optional)."
4. Click on the link "Budget Amendment Summary."
5. Complete the summary, specifying the budget category, reason and description for
the budget amendment, and the increase or decrease to your approved budget
amount. Provide sufficient details in the description field for each of your changes,
as this will allow the Grants Administration Unit to process your request in eGrants.
6. Hit "Save."
7. Return to the Checklist page - hit "Submit" (gray button) under the section "FS-1 0-A
Budget Amendments (Optional)." This will serve as your electronic request to the
State Archives' Grants Administration Unit that you now have a pending amendment
or change to your approved budget. The Budget Amendment Summary must be
submitted electronically no later the June 1St each year.
8. The Amendment form (FS-10A) will automatically be, populated upon completion of
the "Budget Amendment Summary."
9. Print, sign in blue ink (CAO only), and mail 3 copies of the FS-10A form only if
there are budget changes that are designated as formal by the State Education
Department and thus, require the submission of this budget form. These budget
changes are as follows:
? Any change in the number or type of personnel positions
? Equipment items having a unit value of $5,000 or more, number and type
? Any increase in a budget subtotal (professional salaries, purchased services,
travel, etc.) by more than 10 percent or $1,000, whichever is greater
? Any increase in minor remodeling
? Any increase in the total budget amount
10. If the FS-10A form is required, the Grants Administration Unit must have a
completed one in hand no later than June 15t each year before we can begin to
process the amendment request. Otherwise, Budget Amendment Summaries
submitted that do not require the FS-10A will be processed as soon as possible.
70
Instructions for Addressing Application Requirements
The plan of work, Section 3c, requires you to address each of the general application,
project type, and project category requirements applicable to your application. These
requirements appear elsewhere in the LGRMIF Grants Materials, but are collected here
to assist you in addressing each of these in your application.
General Application Requirements
Any grant application to the LGRMIF must address how each of the following
requirements will be met as part of the proposed grants project.
1. Records Focus
Demonstrate that your project focuses on improving the management of records in
your local government by addressing the following:
? Demonstrate that you are prepared to address the appropriate retention and
disposition 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 the full retention period (especially if the records are
permanent) and destroy the records appropriately when their retention period has
passed.
? Base project costs on the records involved whenever possible (such as volume,
condition, or other characteristic of the records). For example, determine the
number of hours needed to inventory and organize records based on the cubic
feet of records and the specific work activities to be accomplished.
? Address specific records management issues, including increased access to
records, vital records protection and disaster management, preservation,
confidentiality, security, compliance with FOIL and other records laws, and the
legal admissibility of information.
Projects that propose to create data or records or to improve a business process are
not eligible for funding. Examples of these include water meter reading projects,
projects to initiate or enhance a government's ability to transact business over the
Internet, 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 framing your project in records management terms, contact
your RAO or Archives staff in Albany.
71
2. Adherence to Archives' Standards and Guidelines
Give details on how you will adhere to State Archives standards and guidelines
relevant to plan your project. These can include the Archives' standards for digital
imaging and microfilming, as well as guidelines in the form of workshops,
publications, or advice from a State Archives' Regional Advisory Officer. For your
convenience, references to applicable written standards and guidelines are included
in the descriptions for most grant categories.
3. Increased Capacity
Explain how this project will help you develop or enhance the capacity of your
records management program or system. In other: words, explain how this project
will help build a program or improve an existing component of a program rather than
just maintain it.
LGRMIF grants are not intended to support ongoing operational costs of a records
management program. Funds are not awarded to address records that have
accumulated since the completion of a previous project, to pay for upgrades to
software and hardware already funded through an LGRMIF grant, 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 LGRMIF grant, you
must provide compelling justification about why you could not maintain the results of
that project and how you will ensure you can do so in the future.
4. Intent and Ability to Maintain
Discuss how you will maintain project accomplishments and support your records
management program once grant, funding ends. Ways to address this issue of
maintenance include, but are not limited to, the following:
? Indicate how you will provide ongoing staff training.
? Describe how you will maintain records management plans, policies, and
procedures so they remain relevant.
? Demonstrate that your local government clearly accepts the responsibility of
maintaining 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 budgeting for software and hardware upgrades,
annual maintenance agreements, data migration plans, and staff costs to run the
system.
? Demonstrate that you have included a clause in any software development
72
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
versions 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 on line.
? Submit any supporting documentation only in the following electronic formats:
Microsoft Word (DOC) or PDF for text-based documents; Excel (XLS) for
spreadsheets; and PDF, JPEG, BMP, or PNG for images.
? Needs assessments are not eligible for funding through the LGRMIF except for
Demonstration grants and Inactive Records and Historical Records projects.
However, if a needs assessment is essential for proving the viability of a project,
it is the applicant's responsibility to complete and submit one with the grant
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 consultant 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 to be procured
off state contract, from preferred source vendors, from sole-source vendors, or
by following your local government's procurement requirements.
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, unless
the vendor or contractor providing these services is on state contract, is a
preferred source vendor, is a sole-source vendor, or you are following your local
government's procurement requirements. If you are using a vendor on state
contract, indicate the state contract number on the Vendor Quote Form and in
the budget narrative. Detailed quotes are defined as quotes that clearly delineate
individual project costs and vendor or contractor qualifications.
Detailed vendor quotes are still required of all requests 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 consultant exceeds $10,000; and
73
for remodeling, where the cost of any one activity exceeds $10,000 or
where any one contractor will receive over $10,000, REGARDLESS OF
WHETHER THREE QUOTES ARE REQUIRED.
(For more information about requirements for vendor quotes, see "Instructions for
Completing the Vendor Quote Form" in the appendices.)
? If an applicant proposes a project that involves birth, death, marriage, or burial
records, the applicant must indicate in the application narrative that it has
discussed its proposed project with the Department of Health (DOH), which
oversees those records, and confirm that the project meets with DOH's approval.
Contact the Registration Unit at the Office for Vital Statistics at 518-474-8187.
(Note: DOH is approving that the parameters of your project meet DOH
Guidelines. DOH is not approving your grant application).
? If an applicant proposes a project that involves court records, the applicant must
indicate in the application narrative that it has discussed its proposed project with
the Unified Court System (UCS), which oversees those records, and confirm that
the project meets with UCS's. Contact Unified Court System records
management staff at 212-428-2875 or recordsocourts. state. ny.us. (Note: UCS is
approving that the parameters of your project meet UCS Guidelines. UCS is not
approving your grant application).
Project Type Requirements
These requirements` are based on the type of application you are submitting: either
individual or shared services. There are no additional requirements for individual grant
applications.
Shared Services Applications
Applicants for 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 submitted with the application
Demonstrate the clear financial and administrative advantages of working
together by including a cost-benefit analysis that demonstrates the cost
savings of implementing the proposed project
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
74
the basis of all costs
Demonstrate the full participation and support of all participants. Note that this
participation and support cannot be fulfilled merely by submitting the required
Shared Services agreement forms, which only address the willingness of a
local government to participate in a Shared Services grant project. Each
Shared Services application must include information about how the
participants will continue to work together into the future
In addition, proposals for Shared Services projects must
Demonstrate the proposed project will result in permanent, positive
programmatic change involving an alliance of two or more local
governments; is sustainable; and all participants are committed to
supporting project results for the longterm.
All of the following administrative requirements must also be met by 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 relative to the other collaborating members.
3. In the event a grant is awarded fora Shared Services project, the award 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 government.
d. Must be an active member of the partnership.
e. Cannot act as a flow-through for grant funds to pass to other recipients.
75
f. Is prohibited from subgranting funds to other recipients, but 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 will participate.
If applicants for Shared Services grants do not meet all of these administrative and
other requirements as indicated above, their proposals are ineligible for funding.
Demonstration Applications
The goals of the LGRMIF demonstration grants program are
To initiate large-scale projects that will serve as models for improving
electronic archives and records management practices in local government.
To develop replicable program models that will dramatically transform the
management of digital records and archives in local government.
Funding Levels
Demonstration grants can support either; planning or implementation projects. A
planning project can last only one year, unless the time period is modified with
authorization, and the level of funding per project cannot exceed $100,000 total. An
implementation project can be funded for up to $500,000 total and cover a period of
one or two years. However, an applicant must apply in the second year for the
continuation of any implementation project that will take two years to complete.
Project Requirements
All demonstration projects must plan for or develop an electronic records
management program element that will continue into the future. Proposals must be
for projects that 'are 'replicable by other local governments or consortia of local
governments. Of particular interest to this program will be projects that propose
solutions that have not been used extensively before.
Applications must demonstrate the sustainability of the chosen technological
solution, including the methods proposed to maintain, upgrade, and transform the
system into the future. Sustainability must be demonstrated at the system and the
document levels and include information addressing access controls across
government partners (where applicable), security, retention and timely destruction,
and archival preservation.
76
Applicants for demonstration grants must meet all of the following requirements:
Demonstrate the benefits of the project and the benefits of the project to other
local governments.
Submit as part of the grant application a needs assessment whenever one is
needed to prove the viability of a project.
Include a detailed estimated five-year cost-benefit analysis to demonstrate
the clear financial and administrative advantages of the demonstration project
into the future. This analysis must provide information on upfront and
continuing costs, including system maintenance, and show the source of all
estimated costs.
Provide detailed information about the governments, governmental
departments, archives and records management functions, and records that
will be the focus of the project.
Demonstrate the proposed project is sustainable and will result in permanent,
positive programmatic change.
Applicants for multi-government demonstration projects must also meet the following
requirements:
Demonstrate the mutual benefits of the project to all participants and the
benefits of the project to other future consortia of local governments.
Demonstrate how the grant project will establish a permanent cooperative
relationship between governments that will result in sustainable programmatic
change.
Articulate the proposed governance structure of this consortium describing
the expected intergovernmental agreement that will be created, the bylaws
that will be enacted for a proposed governance committee, and the proposed
policies for running the consortium.
Demonstrate the full participation and support of all members of the
consortium for the duration of the project and for the long term.
Demonstrate the ability and intention of the lead government to continue to
lead this program into the future.
Applicants for multi-government demonstration projects must also meet the following
administrative requirements:
77
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 relative to the other collaborating members.
3. In the event a grant is awarded for a demonstration project, the award will be
prepared in the name of the lead applicant only.
4. The lead applicant must meet the following additional requirements:
Receive and administer the grant funds and submit the required reports to
account for the use of grant funds.
Ensure that each local government partner provides a letter of intent,
signed by the respective chief administrative officer, explaining 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 realized.
Be an active member of the partnership.
Not act as a flow-through for grant funds to pass to other recipients.
Not subgrant funds to other recipients, though lead applicant is permitted
to contract for services with other partners or consultants to provide
services that the lead applicant cannot provide itself.
Be responsible for the performance of any services provided by the
partners, consultants, or other organizations and must coordinate how
each will participate.
If applicants for demonstration grants do not meet all of these administrative and
other requirements as indicated above, their proposals will be ineligible for funding.
Applicants for demonstration grants should note that General Municipal Law Section
119-0 states that municipal corporations and districts have the power to enter into
agreements, including demonstration agreements, with each other but that the
maximum term of such agreements cannot exceed five years, unless another law
otherwise provides for a longer term.
78
Applicants proposing demonstration projects that include digital records storage are
required, by the Arts and Cultural Affairs Law Sect. 57.31, to obtain the consent of
the Commissioner of Education for each cooperating member storing records in a
facility that it itself does not maintain. Contact the State Archives for further
information.
Required Project Outcomes
All demonstration grant projects must achieve these outcomes in addition to those
required of all LGRMIF grants:
1. Develop a webpage or a subsite of a website to publicize the program
developed by the grant, including enough information to allow other local
governments or consortia of local governments to replicate the program.
2. Develop a canned one-hour webinar that explains, in layman's terms, the
elements of the program and how the program was developed.
3. Create and make available the governance documents of any consortium
participating in a multi-government project, including the intergovernmental
agreement for the consortium, the bylaws of its governance committee, and
the policies for running the consortium. (Applicable only for the final year of an
implementation project.)
4. Create a set of policies and procedures, including, at minimum, system
management and maintenance, training and support, auditing systems,
system performance assurance, information governance, and security, and
make these policies and procedures (minus any sensitive information)
available for use by others. (Applicable only for the final year of an
implementation project.)
& Publicize the results of the project through at least one public event, such as
a one-day symposium or a presentation at a statewide or regional meeting of
a local government, archives, or records management association.
6. Indicate in all of these materials that the source of startup funding for the
project was the Local Government Records Management Improvement Fund,
New York State Archives, State Education Department.
Projects to Fund in 2014-2015
This program will support up to $1 million in funding for the 2014-2015 fiscal year.
To be eligible for funding, proposed projects must address one of the widespread
digital records management and archives issues identified below:
79
1. Records Management Application
Grant applications for this demonstration project must set up reusable
products and protocols that will incorporate records retention and disposition
controls for electronic records. Proposed projects must propose to use an
electronic content management system (ECMS) or a cloud-based ECMS
solution to implement the goals of this project. Applications for this project will
be considered Records Systems grant applications for the purpose of review
and must address all related requirements of that category. A demonstration
project applicant must design a planning or implementation project that lays
out how the applicant will
develop a method for implementing and/or implement within the
ECMS the appropriate New York State Archives' retention
schedules or big-bucket retention solutions based on those
schedules
design and/or implement a filing schema for organizing records
and associating retention schedule items to folders of records
design and/or implement a system of access controls to protect
records from both inappropriate access and accidental or
otherwise unauthorized modification, replacement, or
destruction
design and/or implement systems that allow each local
government in the consortium control over its own records (for
multi-government projects only)
design and/or implement an auditing system to ensure that
records cannot be : changed without such changes being
documented within the system
design and/or implement a process for authorizing retention and
disposition and ensuring that records can be destroyed only
after all appropriate authorizations have been granted
design and/or implement a system that completely destroys any
obsolete electronic records from both the system and any
backups once their destruction has been authorized
2. Preservation of Electronic Records
Grant applications for this demonstration project must set up reusable
products and protocols that will provide for the preservation of digitized and
born-digital archival electronic records. Proposed projects must propose to
80
use an electronic content management system (ECMS) or a cloud-based
ECMS solution to implement the goals of this project. Applications for this
project will be considered Historical Records grant applications for the
purpose of review and must address all related requirements of that category.
A demonstration project applicant must design a planning or implementation
project that lays out how the applicant will
develop and/or implement protocols for ingesting electronic
records into the archival records management system
demonstrate that each local government in the consortium will
maintain some level of control over its own records (for multi-
government projects only)
develop and/or implement standards for file conversion of both
born-digital and paper archival records that will be managed in
this system (including preferred file formats for long-term
retention and conversion procedures that address all records
that will at first be stored within the system)
develop and/or implement standards for descriptive metadata
that cover at least the most important or heavily used archival
records of the government or consortium
design and/or implement quality assurance protocols to verify
the accuracy of any document conversions and of all metadata
design and/or implement security controls to protect the archival
records from both inappropriate access and accidental or
otherwise unauthorized modification, replacement, or
destruction
design and/or implement methods to make the most important
and heavily used archival records of the local governments
accessible via any combination of methods, including the
archival records system itself, a website or websites, media
sharing sites on the Internet, removable media, email, or visits
to the government or governments
develop and/or implement backup protocols that will ensure that
the archival electronic records cannot be destroyed by human
or natural disaster
81
Project Category Requirements
These requirements are based on the category of application you are submitting. Note
that if your application combines elements of two or more grant categories, you must
address the requirements of each, no matter which category type you have chosen to
identify your application. If you are not sure whether your proposed project combines
elements of two or more grant categories contact your State Archives Regional Advisory
Officer or the Grants Administration Unit at archgrants _ mail. nysed.gov or 518-474-
6926.
Disaster Management
? If proposing the creation of a disaster plan, you must also include a detailed
accounting of the specific risks faced by your government and its facilities.
? Any proposed disaster plan must include a section that addresses the specific risks
faced by the applicant and its facilities and the government's plan to eliminate, avoid,
or mitigate those risks.
Inactive Records
For inventory and survey activities
? All records inventory and survey projects must involve the development of a
records management needs assessment and program plan that addresses 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
inventory, survey,, or organize. Use the "Table of Cubic-Foot Equivalents" in the
appendices to estimate cubic footage. Estimate inventory rates for electronic
records by conducting a test inventory of a single electronic recordkeeping
system..
? If applicable, explain how you will use the data from any survey or inventory
project to develop office retention schedules.
? If planning a` partial inventory or survey, specify which offices, government
functions, or records formats (paper or electronic) the grant project will cover and
why.
? Indicate an inventory, survey, or purging rate and how you arrived at that rate.
The standard rate is one to two cubic feet per hour for paper records. This rate
may be slower for projects involving a small volume of records and will be faster
for a records survey.
82
For inactive records activities
? Explain why you selected a particular site for records storage and describe the
suitability of that site based on location, size, security, and environmental
conditions or based on the improvements that will occur because of the proposed
grants project. Identify the departments that will use the storage area and the
controls you will employ to ensure the security of the records.
? Include to-scale floor plans of proposed storage areas that indicate all dimensions
(length, width, and height) and include the proposed layout of shelving. Indicate
the number of cubic-foot boxes that will fit on each unit of shelving.
? Indicate that the floor load capacity of the chosen site can support the weight of
the stored records unless the storage area proposed is on a slab.
? Plan for at least 30% more space based on the volume of records. For example, if
you have 100 cubic feet of records to store, include space to store 130 cubic feet
of records.
Historical Records
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
while preparing the grant application. ;
? Indicate that you will submit copies of any products, including brochures,
collection guides, and procedures manuals, to the State Archives.
For projects focused on managing` historical records
? Indicate the volume (in cubic feet) and condition of records you intend to use.
? Demonstrate that your government has clear 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 following as a guideline:
o Completely unorganized series: 16 hours per cubic foot
83
o Complicated series, such as correspondence or subject files: 8 hours per
cubic foot
o Fairly simple and organized series that may need some work, such as case
files or business records: 4 hours per cubic foot
o Well organized series consisting primarily of bound volumes or voluminous
series with uniform or repetitive information: 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.
? Explain your policies and procedures relating to access, storage, and security of
the historical records, unless these will be developed during the project.
For conservation projects
? Justify the intrinsic value of any records that must be preserved in their original
form through conservation treatment rather than reformatted. Also, submit a copy
of vendor treatment proposals and estimated price quotes for each item to be
conserved. Treatment proposals must describe specific tasks, proposed
materials and techniques, estimated number of hours needed, and itemized
costs.
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 supplements 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 and
Common Core standards.
? Include the following project participants for teacher training projects:
o Trainers with the necessary experience in using local government records in
the classroom, who will instruct other teachers, and who will provide guidance
during site visits. Trainers may have acquired this experience by conducting
research at a local government 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.
84
o Local government officials, who will identify and provide access to relevant
records.
o Participating teachers, generally eight to twenty teachers per one-week
training session.
? Strong preference will be given to projects that offer teachers professional
development credit from individual school districts, or graduate credit from
colleges and universities, rather than stipends for attending training workshops. If
you are requesting stipends, you must justify the amount according to relevant
union contracts.
? Develop a plan to share 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, educational, and research institutions.
Files Management
? Describe the problems with the current filing system and the proposed changes to it,
including anticipated improvements in the speed and accuracy of retrieval.
? Explain why you chose one files management solution over other possibilities.
Document Conversion and Access
? Describe; how you will manage all of the phases of a conversion project, including
document preparation, document conversion (through microfilming, imaging, or
both), image verification and quality control, and providing access to the images.
o Describe the individual tasks required for preparation (unfolding paper, removing
staples, purging obsolete records and duplicates), indicate the staff time you will
need to accomplish these tasks, and indicate how you arrived at these rates. The
baseline rate for preparing records is 1,000 sheets per hour, but more time may
be required for older, worn records with many staples and clips. Applicants may
consider preparing a small portion of the records before applying in order to
calculate the most accurate rate.
o Indicate how you will verify that all of the digitized or micrographic images are
legible and that images of the entirety of all records have been captured. One
hundred percent of the images must be verified before destroying the original
records. The base rate for verification is 300 images per hour.
o Describe the chosen method for improving access: manual indexing, full-text
85
searching, or a combination of solutions. If using off-the-shelf software, indicate
the name and version.
o If microfilming, request $18 per roll for third-party testing of every fourth roll of
original microfilm. This testing must verify adherence to State Archives'
guidelines for density, resolution, targeting, and general quality. Testing is
conducted by Filmtek, Bill Hulik, 144 Genesee Street, Suite 102-214, Auburn, NY
13021; phone, 315-255-0367. Applicants can use other third-party vendors for
microfilm testing only if they have received permission from the State Archives to
do so.
? If your government has received a previous grant focused on microfilming and
imaging records, provide a list of those records filmed or scanned during those
projects in order to prove that those records have not been filmed or scanned before
and to show that you are not proposing a_project to address a backlog that has
developed after a previous microfilming or imaging project paid for with LGRMIF
funds.
? 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
project and develop a policies and procedures manual. Indicate you arrived at any
indexing rate you chose. The usual estimate for indexing minutes 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.
? Provide quotes for imaging; and microfilming that include per-image costs for
conversion.
? For projects involving the creation of digital images, indicate how you will follow
standards outlined in the State Archives' Digital Imaging Guidelines (2013).
? For projects with microfilming as a component, indicate how you will follow the
guidance outlined in the State Archives' Publication #9, Producing High-Quality
Microfilm.
? Indicate how you will follow the guidance outlined in Publication #77, Managing
Imaging and Micrographics Projects. Applicants proposing to microfilm or scan court
records must also indicate how they will adhere to all Unified Court System
guidelines.
? Provide, in section 1 b of the project narrative, a listing of each of the records series
you plan to digitize or microfilm that includes the series titles, dates, number of
images, retention periods and references to schedule items, size of paper, and
information about the condition of the records (such as any damage, large quantities
of fasteners, or paper that is difficult to manage, such as onionskin).
86
? Identify how you will maintain the master image copy. For example, explain how
camera-negative microfilm will be stored off site under environmentally controlled
conditions and how you will ensure that the master digital copy will be preserved and
maintained for the full retention period of the record.
? If proposing to establish an in-house imaging operation, demonstrate how doing so
will be more economical and efficient than outsourcing.
? If implementing a document management system, demonstrate your ability to
implement and maintain the system long term. For example, discuss your ability to
budget for systems maintenance, store image files, protect file integrity, and migrate
images to the newer platforms and file formats when needed.
Geographic Information Systems (GIS)
? All applications for funding to implement a GIS must be for Shared Services projects.
? All applications must indicate how they will coordinate the development of the
proposed GIS regionally with their respective countygovernment or other regional
local governments that have implemented GIS. The application must demonstrate
compliance with this rule by providing a letter of acknowledgment from any relevant
government that indicates how it will share in the management of data and expertise
during the grant period, and how the proposed GIS will ensure conformance with
extant geographic information systems and reduce potential redundancy of effort
among local governments, Digitize these letters and upload them to your application
in eGrants, using "GIS Letter of Acknowledgment" as the description for your
attachment.
? Fully explain why your government needs a GIS and the specific GIS applications
you request in your grant application.
? Specifically identify your own government's geospatial records involved in your
application and how this project will improve the management of those records.
? If imaging is a component of your GIS project, provide, in section 1 b of the project
narrative, a listing of all the records you plan to digitize or microfilm and include the
series titles, dates, number of images, retention periods and references to schedule
items, size of paper, and information about the condition of the records (such as any
damage, large quantities of fasteners, or paper that is difficult to manage, such as
onionskin).
? If imaging is a component of your GIS project, provide quotes for imaging that
include per-image costs for conversion.
87
Records Systems
? Indicate in the grant application, when applicable, that source code for customized
software developed with LGRMIF funds becomes the property of the local
government by including a clause to that effect in any contract with a software
designer.
? Agree to make any customized software code developed with LGRMIF funds
available on request to other New York local governments for the cost of the storage
media.
? Ensure that electronic records are maintained in, open, non-proprietary formats
except in rare cases when such formats do not exist.
88
Instructions for Completing the Vendor Quote Form
Complete this form in the following cases (exceptions are noted below under State
Contracts, Preferred Vendors, Sole-Source Vendors, and following your Local
Government's Procurement Procedures):
? 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
contractor 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
training, 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 do not need to submit three quotes if using a quote for
off a state contract. If a service from a vendor on state contract is over $10,000, include
your RFQ, the state contract number, and the detailed quote clearly delineating
individual project costs. For more information on state contracts, contact
New York State Office of General Services
Corning Tower
37th Floor
Albany, NY 12242
518-474-6717
Preferred Vendors: You do not need to submit three quotes if using a quote for a
service or product from a preferred vendor. Certain providers have "preferred 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 and
the detailed quote clearly delineating individual project costs.
Sole-Source Vendors: You do not need to submit three quotes if using a quote 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, explain in the Project
Narrative and Budget Narrative your attempts to find additional qualified vendors. A
prior working relationship with a vendor or consultant does not, by itself, constitute
89
justification for a sole-source contract. If a service from a sole-source vendor is over
$10,000, include your RFQ and the detailed quote clearly delineating individual project
costs.
Following Local Government's Procurement Procedures (LGPR): You do not need
to submit three quotes if your local government can demonstrate that the vendor you
have selected to carry out grant project work has been chosen using the standard
requirements your own local government has for selecting vendors. For instance, if you
have a longstanding relationship with an existing vendor and your local government
does not require you to re-bid for the services of this vendor periodically, then you can
provide a quote from that vendor without providing two other quotes. State rules
pertaining to competitive bidding, whenever necessary, must be followed. Unless your
government has no written procedures on procurement, your application must
demonstrate compliance with these procedures by providing copies of the official
procurement procedures you are following along with an explanation of how you will
follow these during your proposed grants project. In the absence of any written
procedures, you must provide a description of your standard procedures along with a
separate written explanation of how you will be adhering to these. If a service following
your local government's procurement procedures is over $10,000, include your RFQ
and the detailed quote clearly delineating individual project costs.
We encourage applicants to search for the best quality at the least cost. If you do not
choose the lowest quote identified on the Vendor Quote Form, you must provide
substantial justification for that decision in the budget narrative. Do not use an
averaged quote in the budget.
90
Table of Cubic-Foot Equivalents
File Drawers Cubic Feet Records Storage Containers Cubic Feet
Letter 1.5 10" x 12" x 15" - standard 1.0
Letter Lateral 2.0 0.5" x 8"x 14" -tab 0.2
2.0
Legal 3.5" x 8 x 24" 0.4
6 x 6 x 36" map 0.7
Legal Lateral 2.5 6 x 6 x 48 - map' 1.0
4" x 4" x 48" - map 0.4
Shelf Units Cubic Feet Shelf Units Cubic Feet
Letter, 36" long 2.4 Legal, 36" long 3.0
Map Drawers Cubic Feet Map Tubes Cubic Feet
2" x 26" x 38" flat 1.1 2 x 2" x 38" roll 0.1
2" x 38" x 50" flat 2.2 2" x 2" x 50" roll 0.1
4" x 26" x 38" flat 2.3 4" x 4" x 38" roll 0.3
4' x 38" x 50" :flat 4.4 4" x 4" x 50" roll 0.5
91
Government Records Services
Geof Huth, Director
ghuth@mail.nysed.gov
David F. Lowry, Manager Jennifer O'Neill, Manager
Local Government Advisory Services Scheduling and State Agency Services
dlowry@mail.nysed.gov joneill@mail.nysed.gov
9A47 Cultural Education Center, Albany, NY 12230
Phone 518474-6926 Fax 5184864923
www.archives.nysed.gov
Local Government Advisor Services
REGION 1 REGION 3 REGION 4
New York State Archives Records Center Records Center
55 Hanson Place, Suite 584B Building 21, Suite 102 Building 21, Suite 102
Brooklyn, New York 11217 1220 Washington Avenue 1220 Washington Avenue
Phone 718-722-2633 Albany, NY 12226-2152 Albany, NY 12226-2152
Fax 718-923-4302 Phone 518-485-6233 Phone 518-485-6233
Fax 518-485-6236 Fax 518-485-6236
Lorraine Hill Denis Meadows Denis Meadows
Interim Regional Advisory Officer Interim Regional Advisory Officer Regional Advisory Officer
Ihillcam@mail.nysed.gov (Covering Albany, Rensselaer, and dmeadows@mail.nysed.gov
Schoharie counties)
Linda Bull
Interim Regional Advisory Officer
(Covering Columbia, Greene, Sullivan,
and Ulster counties)
REGION 5 REGION 6 REGION 7
Utica State Office Building Binghamton State Office Building
207 Genesee Street Room 404 44 Hawley Street, Room 1604 R. Kent Stuetz
Utica, NY 13501 Binghamton, NY 13901-4406 Interim Regional Advisory
Phone 315-542-5909 Phone 607-721-8428 Officer
Fax 607-721-8431 (Covering Cayuga, Seneca and
Wayne counties)
R. Kent Stuetz Suzanne Etherington Gail A. Fischer
Regional Advisory Officer Regional' Advisory Officer Interim Regional Advisory
kstuetz@mail.nysed.gov setherin@mail.nysed.gov Officer
(Covering Livingston, Monroe, and
Ontario counties)
Suzanne Etherington
Interim Regional Advisory
Officer
(Covering Steuben and Yates
counties)
REGION 8 REGION 9 REGION 10
Mahoney State Office Building Eleanor Roosevelt State Office Bldg. Suffolk State Office Building
65 Court Street, Room 313 Suite 308 Veterans Memorial Highway
Buffalo, NY 14202 4 Burnett Blvd. Hauppauge, NY 11788-5501
Phone 716-847-7903 Poughkeepsie, NY 12603 Phone 631-952-6864
Fax 716-847-7905 Phone 845-431-5847 Fax 631-952-6867
Gail A. Fischer Linda Bull Lorraine Hill
Regional Advisory Officer Regional Advisory Officer Regional Advisory Officer
gfischer@mail.nysed.gov (bull@mail.nysed.gov Ihillcam@mail.nysed.gov
Rev. 092013
92