Local Government Records Management Improvement Fund

Grant Application and Reference Materials
2008–2009

General Information

Introduction
Summary of Changes for 2008–2009
Timetable for 2008–2009 Grant Projects
Eligibility Requirements
Types of Grants

Grants Project Categories

Inventory and Planning
Active Records
Inactive Records
Microfilming
Historical Records
Educational Uses of Local Government Records

Preparing an Application

Getting Started
Parts of an Application

Grants Review

Review Process
Priorities for Funding
Awards
Schedule of Payments
Project Administration

Appendices

Grant Application Evaluation Form
Table of Cubic-Foot Equivalents
Records Management Publications Order Form
Regional Advisory Offices
Map of Regional Offices

LGRMIF Forms
A complete application packet is included at the back of the grants booklet.  These forms can also be downloaded from the State Archives website at www.archives.nysed.gov as either Word 2003 templates or PDF documents.  In addition, you may contact your Regional Advisory Officer (RAO) to receive an application template via e-mail.  Contact information for your RAO is on page 56 of these application guidelines.  You also may contact the Grants Administration Unit at archgrants@mail.nysed.gov. 

I. 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 comprised of the fees collected by county clerks and the New York City Register for the recording of selected documents and for the assignment by county clerks of index numbers for certain court cases. The amount of grant funding available depends on the number of documents recorded and index numbers assigned each year. This will vary with the state of the economy (as reflected in housing sales and thus the recording of deeds and mortgages). 

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, between 500 and 700 local governments apply each year. To increase their chances of funding, applicants should closely adhere to the application instructions and address the relevant category requirements outlined in this booklet.  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, the Archives’ Regional Advisory Officers (RAOs) are available to provide technical advice to local governments.  Applicants should direct questions regarding applications to the RAOs located in regional offices throughout the state (contact information is located on page 56 of these guidelines), or to the State Archives’ Grants Administration Unit in Albany at (518) 474-6926. Additional information may be found on the Archives’ website at www.archives.nysed.gov under “Grants and Awards.”

The LGRMIF grants program has changed recently to conform with new grants administration requirements issued by the State Education Department. The application forms, structure of the narrative, and evaluation criteria have been revised to conform to these requirements.  Since all changes cannot be listed here, it is important to read this booklet carefully. The following are some of the more significant changes we have implemented in the past two years:

New this year:

• Due to reduced funding availability, local governments may submit only one project application or participate in only one cooperative project.  Counties and the New York City Register may apply for one County Land Records Initiative grant and one other grant in this cycle.

• Applications for Cooperative projects will receive 10 bonus points instead of 5.

New the past two years:

• Deadline for applications is 1 February 2008. The 2008-2009 grant year will begin on 1 July 2008 and end on 30 June 2009.

• Added the County Land Records Initiative as a subcategory under Active Records. Only county clerks and the New York City Register are eligible to apply under this grant subcategory. Requests in this subcategory may not exceed $75,000.

• Identified as priorities for funding projects that propose to inventory electronic records and that propose to implement the recommendations resulting from an e-records inventory. These projects will receive an additional five points in the numerical ranking of applications. 

• Eliminated Microfilming as a subcategory of the Inactive Records and Historical Records categories. Microfilming is now a separate category.

• Raised the allowable amount for quality control testing of microfilm from $15 to $18 per every fourth roll of original microfilm.

• Added a new form: Application Narrative (LG-NA). Instructions for completing the forms are included in these guidelines.

• Revised the LG-AP form, which is the application cover sheet.

• Eliminated the following forms: Local Governments Participating in Cooperative Effort (LG-2), Records Management Program Questionnaire Form (LG-3), Projects Previously Funded by the LGRMIF (LG-4), Project Position Description Form (LG-5), and Indexing Project Information Form (LG-8).

• Added narrative sections to the budget forms. All applicants must use these sections to justify all budget requests.

• Added the requirement that applicants must submit three quotes for remodeling projects where any one vendor will receive more than $5,000.

• Removed the cap of $5,000 on data conversion under the GIS subcategory. However, if a government does not adequately demonstrate its ability to maintain data over time, reviewers may recommend funding no more than $5,000 for data conversion.

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, housing authorities, and the Utica Transit Authority, 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) Grants Finance Unit will not release grant funds to a local government that has failed to file the required final fiscal or narrative reports for any SED grant (which includes LGRMIF grants).

Public Benefit Corporations
Public benefit corporations with local or regional jurisdiction are independent units of local government and are therefore eligible to apply for LGRMIF grants.

Community Colleges
A community college sponsored by a single county may apply for grant funding only through its county’s RMO and with the approval of the county’s chief authorizing official.

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. 

NYSED Consortium Policy for State and Federal Discretionary Grant Programs
The following policy describes the process for preparing a discretionary grant program RFP that allows a partnership or consortium of applicants to apply for a grant:
NYSED oversees many discretionary grant programs.  These programs require NYSED to issue discretionary funds through a competitive grant RFP (unlike allocational grant programs where grant funds are allocated by formula, e.g. Title I Part A, Title II Part A, Title IV Part A).   The statute pertaining to a grant program may require or permit a cooperative arrangement of grant applicants/participants, for the mutual benefit of the grant participants.  In such cases, the participants can form a partnership or consortium to apply for the grant.  In order to do so, the partnership or consortium must meet the following requirements:

1. The partnership or consortium must designate one of the participants to serve as the applicant and fiscal agent for the grant.  The applicant agency must be an eligible grant recipient.  All other consortium members must be eligible grant participants, as defined by the program statute or regulation.
2. In the event a grant is awarded to a partnership/consortium, the grant or grant contract will be prepared in the name of the applicant agency/fiscal agent, not the partnership/consortium, since the group is not a legal entity.

3. The applicant agency/fiscal agent must meet the following requirements:

• Must be an eligible grant recipient as defined by statute; 
• Must receive and administer the grant funds and submit the required reports to account for the use of grant funds;
• Must require consortium partners to sign an agreement with the fiscal agent that specifically outlines all services each partner agrees to provide.
• Must be an active member of the partnership/consortium, except where SUNY or CUNY Research Foundations are the fiscal agent.
• Cannot act as a flow-through for grant funds to pass to other recipients.  NYSED may establish a minimum level of direct service to be provided by the fiscal agent.
• Is PROHIBITED from subgranting funds to other recipients.  The fiscal agent is permitted to contract for services with other consortium partners or consultants to provide services that the fiscal agent cannot provide itself.
• Must be responsible for the performance of any services provided by the partners, consultants, or other organizations and must coordinate how each plan to participate. 

Competitive Grants
Applicants (other than county clerks and the New York City Register) may submit only one application or participate in only one cooperative project as follows:

• Individual Projects involve a single local government. The applicant may request up to $75,000.      

• Cooperative Projectsinvolve two or more local governments working together on one activity, with one government acting as the lead.  Applicants for cooperative projects request up to $125,000. The application must explain how the lead applicant will manage the project and how each of the participants will benefit. 

• Complex Projectsinvolve one local government and must address an exceptionally large quantity of records or a complicated records management problem.  Local governments must request at least $75,001 but no more than $125,000 for complex grants.

County Clerks and the New York City Register
County clerks and the New York City Register are eligible for competitive grants as indicated above. In addition, county clerks and the New York City Register may apply for one additional grant of up to $75,000 under the County Land Records Initiative, a subcategory of Active Records.  A total of $1.5 million will be awarded for this initiative during the 2008–2009 grant year. County clerks and the New York City Register are eligible to apply for one individual, cooperative, or complex grant and one County Land Records Initiative grant.

For more information on the County Land Records Initiative, see the subcategory description and requirements listed under the Active Records category on page 18.

Disaster Recovery Grants

The LGRMIF program also offers up to $20,000 in support of 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.

If you experience a records disaster, contact your Regional Advisory Officer (RAO) immediately. If your RAO is not available, call the Records Advisory Services Unit in Albany at (518) 474-6926.

Grants Project Categories

Governments conduct records inventories to find out what records they have, identify obsolete records, improve how they organize and control records, analyze records management needs, and develop a records management plan. Inventory and planning projects are the basis of other records management projects and can form the basis of a comprehensive records management program. For information on records inventory and planning, consult State Archives Publication #76, Inventory and Planning.

Project Subcategories

Some inventory and planning projects may involve activities that focus on the management of inactive records. These include the identification and disposal of obsolete records, re-boxing records in standard storage cartons, developing or purchasing software to provide better records access, renovating or developing records storage areas, or purchasing appropriate steel shelving. If local governments request funding for any of these activities, they must also address the requirements for the appropriate Inactive Records subcategory (see pages 20 and 21).

a) Records Inventory. You may conduct government-wide or focused inventories of active and inactive records.

 Subcategory Requirements

• Explain how you will use inventory data to develop a needs assessment and a records management plan. The assessment and plan should explain short- and long-term needs, contain achievable goals, and address how you will attain those goals. Discuss who will develop the plan, which local government departments or employees will be involved, and who will evaluate its progress and regularly update it.
• Indicate, in cubic feet or bytes (if the inventory is of electronic records), the approximate quantity of records you intend to inventory.  Use the Table of Cubic-Foot Equivalents on page 53 to estimate cubic footage.
• Allow an inventory rate of one to two cubic feet per hour for paper records. Estimate inventory rates for electronic records by conducting a test inventory of a single electronic recordkeeping system.
• Use the records inventory forms and instructions in State Archives Publication #76, Inventory and Planning, to ensure the uniformity of information gathered during the inventory.
• If planning a partial inventory, specify which offices or government functions the grant project will cover, and why. Criteria for selecting offices to be invent-toried include their importance; the quantity of their records; and their particular needs for access, security, confidentiality, and space.
• If planning to re-inventory a set of records inventoried under a previous grant project, include compelling justification and explain how the local government will keep its inventory up to date in the future.
• If submitting a cooperative application, indicate the order in which each participating local government’s records will be inventoried and how the grant’s resources will be shared.

b) Records Survey and Program Planning.  You can gain helpful information about your records from a professional survey without conducting a labor-intensive inventory. You may conduct surveys in-house or contract with a records management consultant. 

Subcategory Requirements

• Indicate how you will develop a records management plan.  Discuss who will develop the plan, which departments or employees will be involved, and who will evaluate progress and regularly update the plan.
• Address the development of records management policies and procedures that will ensure a basic framework for an ongoing records management program.
• Indicate, in cubic feet or bytes (if the inventory is of electronic records), the approximate quantity of records you intend to survey. Use the Table of Cubic-Foot Equivalents on page 53 to estimate the number of cubic feet.
• If planning a partial survey, specify which offices or government functions the grant project will cover, and why. Criteria for selecting offices to be inventoried include their importance; the quantity of their records; and their particular needs for access, security, confidentiality, and space.

c) Office Retention Scheduling.  Working from inventory data, interviews with office staff, and an appropriate State Archives records retention schedule, you may develop and implement retention schedules specific to the records and needs of individual departments.  For information on office retention schedules, consult State Archives Publication #41, Retention and Disposition of Records.

 Subcategory Requirements

• Explain how you will ensure that each department or office will adopt and use its respective schedule.
• Include a plan or list of interview questions for evaluating how individual departments or offices use their records.

Records management can have the greatest positive impact when applied to active records. These are among the most important records because they are the most frequently used, cost the most to maintain, and are essential to the current management of government.

Grants under this project category fund the planning and implementing a new technology and enhancing the capacity of an existing system. Funding is generally not recommended for maintenance, which includes system upgrades (unless the upgrade involves an increase in system capability), redoing a previously funded project, or addressing records that have accumulated since the completion of a previous project.

Applicants are encouraged to discuss any proposals under this category with their Information Technology (IT) departments. 

Requirements for Technology Implementation Projects

• Records Management Focus. To be eligible for funding, your project must focus specifically on improving the management of records in your local government. Address how you will use technology to improve current records management and future records management needs such as the retention, security, and preservation of your electronic records. 
• Needs Assessment. There is no simple rule that determines when an applicant must conduct a needs assessment, but the more expensive and complex the proposed solution, the more likely a needs assessment is necessary. If a local government determines that a needs assessment is not necessary, it must explain why. Applications for funding an implementation project will fail if the reviewers believe a needs assessment was necessary but was not conducted. For information about how to prepare a needs assessment and when a needs assessment may not be necessary, contact your RAO or consult State Archives Publication  #64, Conducting Needs Assessments for New Recordkeeping Systems.
• Submission of Needs Assessment.  Submit nine copies of the needs assessment or Business Process Analysis (BPA) upon which your technology implementation project is based, or explain why a needs assessment was not necessary.  Explain any inconsistencies between the needs assessment and your proposed plan of work and purchases.
• Detailed Consultant or Vendor Quotes. Provide nine copies of three complete, detailed quotes for each service that will cost over $5,000.  The detailed quotes should clearly delineate individual project costs (travel, staff training, equipment installation), hours for each service provided, and vendor qualifications.  Lack of consistency between quotes, and lack of clarity or detail in quotes, will reduce a application’s chances of funding.  In addition, submit the required Vendor Quote Form (LG-VQ) for each item over $5,000.
• Requests for Quotes. Submit nine copies of the RFQ that outlines the standard requirements used to collect the quotes included in the grant application.  You must indicate in the RFQ that you provided a copy of your needs assessment to all vendors as an attachment. A well-written RFQ should help ensure uniformity in the format of vendors’ responses, so you can more easily compare the quality and cost of different proposals. 
• Maintenance of Technology. Your grant narrative must demonstrate that your local government clearly accepts the responsibility of maintaining any proposed technology after the end of the grant period.  Such maintenance would include software and hardware upgrades, annual maintenance agreements, data migration plans, and staff costs to run the system.
• Source Code. Include a clause in any software development contract that requires the software code for customized software to be placed in escrow. Also require the vendor to deliver software documentation that meets industry standards.

Project Subcategories

a) Files Management supports projects to reorganize paper or electronic files, implement file classification systems, develop written policies and procedures, and train staff.

Subcategory 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 another.

b) Disaster and Business Recovery Planning supports projects to develop, test, and implement disaster and business recovery plans and systems.

Subcategory Requirements

• Describe the components of the proposed disaster and business recovery plan, including any strategies for testing its viability.
• Demonstrate that you will continue to update and test the business recovery plan after the end of the grant year.
• Justify, in terms of costs and the value of records involved, why you chose one disaster recovery strategy over others.
• If applying to update a disaster plan funded under a previous LGRMIF project, explain why you could not update the plan during the normal course of business.

c) Indexing and Access supports projects to index or improve access to active records. Methods used to improve access include traditional manual indexing, implementing full-text-searching software, scanning and converting printed text to electronic text, or some combination of these.  Funds are not available to support the maintenance of indexes, nor are they available to add new records to an existing index. However, applicants may request funding to address a backlog of records not addressed under a previous grant application.

Subcategory Requirements

• Demonstrate the need for improved access by indicating the number of times over a specified period you retrieved information from the records in question.
• Indicate the date span of the records series you intend to index. For example, if proposing to index the last twenty-five years of your minutes, specify this in your application and provide the earliest and last date of the minutes.
• Describe the chosen method for improving access: manual indexing, full-text searching, or a combination of solutions. If using prepackaged software, indicate the name and version(e.g., Access 2000, Minutes Manager).
• Indicate the number of hours you will need to prepare for the indexing (staff training, developing a master list). A sample master list of terms is available in State Archives Publication  #78, Indexing Minutes.
• If you are developing a database index, indicate the number of hours you estimate the indexing will take. 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.
• Indicate the number of hours needed to develop your procedures manual. A sample procedures manual is available in State Archives Publication #78, Indexing Minutes.
• Complete a separate Imaging and Microfilming Project Information Form (LG-IM) for each records series involved in the project, if using imaging as part of your indexing solution.
• Discuss how you propose to update and maintain the index over time.

d) Imaging and Document Management supports needs assessment and implementation projects for imaging and document management systems. Since the LGRMIF does not fund the maintenance of ongoing imaging programs, the imaging of new records in a series of records previously funded under an imaging grant is ineligible. However, applicants may request funding to address a backlog of records not addressed under a previous grant application.

Subcategory Requirements

• Detail how you have determined that imaging is the best solution for managing the records involved. Address access issues, retention requirements, and costs.
• Demonstrate your ability to implement and maintain an imaging system. For example, discuss your ability to budget for systems maintenance, store image files, protect file integrity, and migrate images to the next platform and/or format.
• Follow the State Archives' Imaging Production Guidelines (available on our website) regarding image specifications. See also Publication #77, Managing Imaging and Micrographics Projects, for information on aspects of project management.
• Complete a separate Imaging and Microfilming Project Information Form (LG-IM) for each records series involved in the project.

e) Geographic Information Systems (GIS) supports needs assessment and implementation projects for GIS. Reviewers tend to limit funding for purchase of computers, software, and network infrastructure.

Subcategory Requirements

• Follow the GIS development process described in State Archives Publication #GIS03, Local Government GIS Development Guides.
• When applying to implement a GIS or to augment an existing GIS, submit nine copies of the needs assessment on which your project is based.
• If you are implementing a GIS, follow the recommendations of your needs assessment in your grant application narrative.  Include timelines for equipment purchases and application development. If your needs assessment is more than two years old, explain why you believe its recommendations are still viable. If you do not adhere to your needs assessment completely, provide compelling justification for not doing so.
• Fully explain why your government needs GIS and specific GIS applications.
• Explain how your government will maintain its GIS in the future with its own funds.
• Demonstrate your government’s ability to maintain data it acquires through data conversion. If you do not fully demonstrate this, reviewers may recommend funding no more than $5,000 for data conversion. For example, indicate the level of funding your government will dedicate to staffing, equipment, and vendor services in support of data maintenance, or indicate what percentage of data conversion will be paid with government funds. 
• If imaging is a component of your GIS project, complete a separate Imaging and Microfilming Project Information Form (LG-IM) for each records series involved in the project.

f) eGovernment supports projects to enhance a government’s ability to transact business over the Internet. Governments can apply to conduct a needs assessment for website development or enhancement, to provide online access to government records, or to develop electronic filing capability.

 Subcategory Requirements

• Explain how the project will improve either access to, or the creation of, records.
• Justify website development or enhancement projects in terms of significant improvements to records access or business applications.

g) Records Systems supports needs assessments and implementation projects for any recordkeeping system not covered under another category. Such recordkeeping systems might include database management systems (for example, fire incident reporting software), incident voice recording systems, enterprise content management (ECM), and many others.

 Subcategory Requirement

• Explain how the new system will improve the management of, and access to, records. Be specific about the types of records your project will address.

h) Business Process Analysis (BPA) supports the analysis and improvement of business processes that create or maintain records. A BPA project is a good choice for a government that has identified a recordkeeping problem but does not have a specific technological solution to that problem. 

Subcategory Requirements

• Describe your current business process, including workflow, staff responsibilities, and costs.
• Describe the problems you’ve identified with your current business process.
• Ensure that any BPA addresses records management issues.

i) County Land Records Initiative supports efforts to improve electronic recordkeeping systems in county clerks’ offices and the New York City Register. Only county clerks and the New York City Register are eligible to apply in this project subcategory. If you represent a county clerk’s office or the New York City Register, you may apply to implement any electronic records project that falls under the Active Records category (except for GIS). Possible projects include, but are not limited to:

• developing a needs assessment for, and implementing, a new electronic records system
• increasing the capacity of an existing recordkeeping system
• backfile conversion
• developing services for the Web (e.g., e-filing)
• migrating a legacy system to a current platform

GIS projects are not eligible for funding under this initiative.

Subcategory Requirement

• Comply with any relevant Active Records subcategory requirements. For example, if you are proposing to scan a backlog of paper records, follow the subcategory requirements for Imaging and Document Management projects; if you are proposing to launch a new online service, follow the requirements for eGovernment projects.
• Applicants are reminded that they are required to provide three quotes for scanning aond other services even if they are currently using a particular vendor’s county clerk’s system.  An ongoing relationship with a vendor does not constitute a sole source relationship for this grant category. 

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.

Project Subcategories

a) Planning and Design supports projects to conduct feasibility studies, develop plans for records storage, and develop an inactive records management program. This may include the services of architects or engineers to develop plans, drawings, and specifications for a proposed facility.

Subcategory Requirements

• Precisely state the inactive records issues that the project will consider.
• Indicate the approximate cubic feet or bytes of records involved.

b) Storage and Retrieval supports projects to enhance the storage and accessibility of inactive records.  Projects may involve integrating records into an inactive storage area, purging obsolete records, renovating existing structures for inactive records storage, developing retrieval methods, and formulating policies for managing inactive records.

Subcategory Requirements

• Indicate the number of cubic feet or bytes of records designated for storage.
• Explain why you selected a particular site for records storage.
• Identify the departments that will use the storage area and the controls that will ensure the security of the records.
• Include floor plans, on 8 1/2" x 11" paper, of proposed storage areas. Draw the plan to scale, indicating all dimensions (length, width, and height) of the storage area. Include the proposed layout of shelving on this plan.
• 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. 
• Demonstrate that the proposed inactive records storage area is large enough to accommodate storage needs for several years, planning for at least 130% of the current cubic footage of volume. For example, if you have 100 cubic feet of records to store, your plan should include room to store 130 cubic feet of records.

Funds are not available to address a backlog of data entry or processing that has accumulated since the completion of a previous LGRMIF inactive records project.

Microfilming

Microfilming is an appropriate technology for records that (1) have retention  periods of fifteen years or more, (2) are vital records critical to the functioning of government, or (3) are so voluminous that significant storage space would be saved by filming.

LGRMIF grants do not support the filming of new records created in a series of records filmed under a previous LGRMIF grant. However, you may request funding to address a backlog of records not addressed in a previous grant project.  Eligible expenses for microfilming include

• Staff time to prepare records for filming, to index records, and to conduct frame-by-frame verification of microfilmed records.
• Addressing the deterioration of acetate-based or nitrate microfilm, including the costs of assessing the problem, duplicating deteriorating film, and refilming or reformatting damaged records.
• Microfilming, duplicating, and indexing, including costs associated with computer-output microfilm (COM) or computer-assisted retrieval (CAR).
• Purchase of microfilm equipment, including microfilm storage cabinets, readers, reader-printers, reader-scanners, and microfilm cameras. Since replacing or upgrading old equipment is an example of maintenance, applicants must provide compelling justification for requests to purchase additional or replacement microfilm readers or cameras.

Category Requirements

Any project that includes microfilming must adhere to the following requirements, regardless of grant project category:

• Records being filmed. Explain why selected records are appropriate for microfilming and list the benefits that will result from this microfilming project. Include an estimate of the volume of records that will be prepared for filming, as well as an estimate of the volume that will actually be filmed.
• Number of images. Indicate the number of images to be filmed and discuss any special circumstances that affect the total number of images, such as cases where two or more documents will be filmed on a single frame of film.
• Preparation of records. Indicate how you will prepare the records for filming. Describe the individual tasks required for preparation (e.g., unfolding paper, removing staples, purging obsolete records and duplicates), and indicate the quantity of staff and time you will need to accomplish these tasks. The baseline rate for preparing records is 1,000 sheets per hour; more time may be required for older, worn records with many staples and clips.
• LG-IM form. Complete a separate Imaging and Microfilming Project Information Form (LG-IM) for each records series involved in the project.
• Ongoing support. Indicate how your government will support your microfilming program in the future.
• Destruction of originals. Indicate whether original records will be destroyed after microfilming. If not, justify this decision.
• Itemize costs. Itemize all vendor costs, including the per-image filming rate, the cost per roll or fiche, and the cost for document preparation and image verification. If scanning is involved, be sure to break out costs for that service.
• Estimate number of rolls. Include an estimate of the total number of rolls of original camera-negative microfilm and use copies that will be produced. Request at least one use copy for each roll of original camera-negative film, unless some other format (such as digital images) will be used for access.
• Digital images as use copies. If applicable, indicate why digital images were chosen as access copies over microfilm, and indicate how you plan to maintain access to those images in the future.  If you are also requesting diazo microfilm use copies, you must justify the need for both film and digital copies.
• Type of microfilm camera. Indicate the type of microfilm camera to be used (planetary, rotary, COM recorder) and justify why it was selected. Also justify the chosen microfilm format (16mm, 35mm).
• Acetate problems. Describe the severity of an acetate microfilm problem (if applicable) by indicating the quantity of damaged film, the degree of degradation, and the records series involved.
• Adherence to guidelines. Indicate how you will adhere to microfilming guidelines outlined in State Archives Publication #9, Producing High-Quality Microfilm, and #77, Managing Imaging and Micrographics Projects. Applicants proposing to microfilm court records must also adhere to all Unified Court System microfilm guidelines.
• Microfilm storage. Explain how camera-negative microfilm will be stored offsite under environmentally controlled conditions.
• Quality control testing. Request $18 per roll for third-party testing of every fourth roll of original microfilm. This testing will verify adherence to State Archives’ guidelines and local government specifications for density, resolution, targeting, and general quality. The Archives will provide successful applicants with specific guidelines and procedures for implementing this requirement.
• Verification. Indicate that the microfilm images will be verified for legibility and assurance that they capture all of the information from the original records.  Microfilm must be 100% verified in order for records to be destroyed.  The average verification rate is about 300 images per hour.
• Readers. If requesting microfilm readers, reader-printers, or reader-scanners, indicate whether you have an operable microfilm reader of any kind. If you are requesting only digital use copies plus a reader, justify fully the need to purchase the reader.
• In-house microfilming. If requesting funds to purchase microfilm cameras or processing equipment, demonstrate that establishing an in-house microfilming operation is more economical and efficient than outsourcing.
• Detailed quotes. Provide nine copies of the complete detailed quotes and a Vendor Quote Form (LG-VQ) for microfilming services that exceed $5,000. The detailed quotes should clearly delineate individual project costs (preparing the records, filming, producing use copies).
• Distributed access. If you cannot provide onsite access to the records, consider creating use copies to distribute to an institution that can provide regular access to the information. Grant funds may be used to produce these copies.  

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. Historical records may exist in a variety of formats, including paper files, maps, photographs, videotapes, or computer files. These records are frequently identified on records retention and disposition schedules as having permanent retention periods or potential historical importance.

Project Subcategories

a) Assessing Your Historical Records. Funds are available to hire consultants to assess the current status of archival activities, identify needs, develop plans, write policies and procedures, and recommend future activities. When developing a needs assessment project, refer to State Archives Publication #59, Archival Needs Assessment Guidelines and Template.

b) Storage Facility Improvement. Funding is available to purchase and install intruder alarm systems, fire detection systems, fire suppression systems, water detectors, and environmental monitoring equipment for historical records storage facilities. Minor renovations and improvements to such facilities are also eligible.

c) Improving Access.  Funding is available for projects to hire archivists or catalogers to arrange, describe, and catalog records; to hire consultants to train staff and provide advice on archival techniques; and to reproduce and distribute guides and other finding aids in paper or electronic format. Projects generally address historical records at the records series level, and must follow the standard practices described in the State Archives’ manual, Guidelines for Arrangement and Description of Archives and Manuscripts. Funding will usually not be approved to support item-level description.

Funds may also be used to improve access to historical records through digitization. If you propose to use digital technology, you must justify your project in terms of enhancing access to the records. Digitization is not a preservation solution.

Funds are not available to address a backlog of data entry or processing that has built up after completion of a previous LGRMIF historical records project.

Subcategory Requirements

• Explain how you determined the time needed to process the records involved in the project. Full processing includes flat-filing, cleaning, arranging,describing/cataloging, foldering, and boxing.  Use the following as a guideline:
  • Completely unorganized collection—16 hours per cubic foot
  • Complicated series, such as correspondence or subject files—8 hours per cubic foot
  • Fairly straightforward series that may need some work, such as case or job files or business records—4 hours per cubic foot
  • Well-organized series consisting primarily of bound volumes or voluminous series with uniform or repetitive information, such as invoices—2.5 hours per cubic foot
• Work with the State Archives to create series descriptions, catalog records, and collection guides in electronic format. All series descriptions and guides must be made available on a local website or through the State Archives’ Historic Documents Inventory (HDI). For assistance, call the State Archives at (518) 474-6926.
• For all projects involving document imaging, adhere to the Imaging and Document Management project requirements outlined under the Active Records category.  In addition, the plan of work must
  • indicate that the records have been arranged and described prior to any imaging activities.
  • explain the criteria used to choose what items to scan.

d) Preservation. Preservation consists of general maintenance and other practices that inhibit deterioration of records. Most records can be adequately preserved with proper housing and storage, or through reformatting. Eligible expenses for preservation include:

• Survey and analysis, by a professional conservator, of the preservation needs of historical records, and the development of a plan to address those needs.
• Rehousing and basic processing activities, which may include the purchase of pH-neutral or alkaline (pH not less than 7.5), lignin-free storage supplies, including folders, boxes, records cartons, and paper to wrap volumes.
• Applying conservation treatments to return deteriorated or damaged items to stable and usable condition, or to prepare archival materials for duplication.  Restoration activities such as inpainting, leafcasting, replacing leather bindings, goldleafing, and tooling are not eligible for funding. Grant funds will be provided for conservation treatment only if the records have been or will be microfilmed, unless you demonstrate that the condition or small quantity of records precludes microfilming.

Subcategory Requirements

• Base requests for shelving, alkaline folders, and boxes on the volume of archival records involved in the project.
• 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. Also demonstrate that continued use of the records will not cause subsequent deterioration.
• Justify the historical significance and intrinsic value of any records that  must be preserved in their original form rather than on microfilm.
• For each item to be conserved, submit nine copies of vendor treatment proposals and estimated price quotes. Treatment proposals should describe specific tasks, proposed materials and techniques, estimated number of hours needed, and itemized costs for the project.

e) Outreach and Public Programs. Outreach and public programs may include the use of historical local government records in informational brochures, local history publications, videos, exhibits, workshops, and lecture series. Proposals must indicate the intended audience for the program, the plan for distributing the materials produced, and the commitment of participating organizations or governments.

General Category Requirements (as applicable):

• Demonstrate that you have located and identified your historical records. Also demonstrate that you understand the difference between historical records and historical publications, since funds cannot be used for published materials.
• Provide a list of each records series involved in the project, including the cubic feet and condition.
• Demonstrate that your government has clear custody to the records involved.
• Discuss policies and procedures relating to access, storage, and security of the historical records, unless these will be developed during the project.
• Indicate that you will submit copies of any products, including brochures, collection guides, and procedures manuals, to the State Archives and your RAO.

You may propose projects to use local government records as teaching tools in the classroom and in the community. Projects may include teacher training workshops, development of curriculum materials, community walking tours, and local history brochures and exhibits.

At the conclusion of an educational uses grant, you must demonstrate how the project helped address the State Education Department’s learning standards, promoted the management of local government records, or increased public awareness of the educational and historical value of these records. Also describe ongoing cooperation among local governments, teachers and students, and/or the general public. In addition, the State Archives encourages project participants to conduct workshops or information sessions for K–12, college, and community educational programs on the benefits of using local government records.  If you are considering an Educational Uses grant, direct your questions to either your RAO or Julie Daniels at (518) 474-6926.

NOTE: Consider the Source: Historical Records in the Classroom, a State Archives publication, cannot be purchased with funds from this granting source. 

The average grant award for Educational Uses projects is $10,000.

Activities Eligible for Support

a)  Teacher Training. Projects will develop programs to train teachers in the use of local government records as teaching tools in the classroom. You are encouraged to cooperate with university faculty and pre-service teachers.   Strong preference will be given to projects that offer teachers in-service 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.

The project should include the following participants:

• Teachers/trainers who are skilled in using local government records in the classroom, who will instruct other teachers, and who will provide guidance during site visits
• Local government officials who will describe their respective local governments, their duties, types of records, and how to access those records
• Participating teachers, generally fifteen to twenty teachers per one-week training session

b) Brochures, Exhibits, and Walking Tours. Projects may include the development of educational brochures, exhibits, and walking tours that contribute to the public’s understanding of records management and the educational value of local government records. Projects should include plans for product marketing and evaluation. It is suggested that projects be linked to K–12 education by relating to a particular curriculum or discipline, or through the development of learning activities that may be used with the brochure, exhibit, or walking tour.

c)Document Teaching Packets and Accompanying Teachers’ Guides. A document teaching packet is a collection of documents relating to a particular topic, accompanied by a teacher’s guide, that provides historical background on the topic and suggests how to incorporate the documents into classroom instruction. The teacher’s guide can include items on how to use the documents with students, such as worksheets, constructed-response and document-based questions, suggested additional reading, resource lists, and bibliographies.

d) Technology, Local Government Records, and Education. Projects can employ multi-media technology that allows educators, students, and others to incorporate local government records in the learning process.  You may use grant funds to support the purchase of scanners, digital cameras, and computers if you appropriately justify the need for this equipment in your application.  Requests for multiple pieces of equipment are discouraged. If you wish to purchase technology equipment with grant funds, show how the equipment:

• directly relates to using local government records in the classroom
• will continue to be used for educational uses of local government records or for records management after the completion of the grant cycle

e) Other Projects. You may propose other types of educational uses projects if you can demonstrate a project’s potential for long-term impact on both education and local government records management.

Category Requirements

• Local Government Records. Demonstrate substantive use of local government records. You may use non-government records such as business, community organization, and church records, as well as historical records from a local historical society and library, where such use meets an important informational need.
• Objectives. Address how the proposed project will support both your overall records management objectives and the State Education Department’s learning standards.
• Experience. Clearly demonstrate that grant participants have some knowledge or background in the use of local government records in education.  This may include:
  • Experience conducting research at a local government and developing educational materials based on that research.  Demonstrate such experience by including a statement about the kinds of records used and how they were used, or a copy of a lesson plan or teaching packet based on local government records.
  • Participation in a workshop, such as “Primarily Teaching,” offered by the National Archives and Records Administration.
  • Participation in a training workshop on how to use local government records in the classroom.
  • Intention to hire a consultant for the project who has expertise in teaching with local government records.
• Letters of Support. If you intend to use records of local governments other than your own, you should involve these governments in the early stages of preparing the grant application. Submit a letter of support from each local government indicating its intent to participate and outlining its responsibilities in the project. The letter should be sufficiently detailed so it is clear to reviewers that each local government understands its role.
• Distribution Plan. Include a plan in the application narrative for the distribution of materials produced.  Submit to the State Archives a copy of all reports, teaching materials, and packets produced with grant funds.  Also distribute final products to all local governments whose records were used, to local governments whose staffs participated in planning or training sessions, to participating teachers, to the school district libraries of participating teachers, and to appropriate community, educational, and research institutions.
  • Post-Grant Support. Local governments must show how they will provide post-grant support for this project/program.

Preparing an Application

Getting Started

As you prepare an LGRMIF grant application, carefully consider the nature, scope, and goals of the project you wish to undertake, as well as the process you intend to follow to complete the project. We recommend the following steps to start the application process.

Understand the Purpose of the LGRMIF Grants Program

LGRMIF grants are intended to implement a new records management initiative or to expand the capacity of an existing recordkeeping system. Conversely, LGRMIF grants are not intended to maintain a records management program or for maintenance projects.  Maintenance is defined as a project that redoes a previously funded project or that addresses records that have accumulated since the completion of a previous project. Software and hardware upgrades are generally considered examples of maintenance projects. It is important to demonstrate in your application that you will maintain project accomplishments and support your records management program once a project is completed and grant funding ends.

Identify the Records Management Project or Problem

There is no prescribed order for the process of establishing a records management program. Records inventory and planning is usually—but not necessarily—the first step, because an inventory provides information essential to the successful management of future projects. If you choose not to do records inventory and planning, you must supply strong justification for not doing so.  It is your responsibility to determine which project takes priority, and then to justify this decision to the reviewers. If you need assistance with identifying where to start, contact your RAO.

Identify possible solutions to the problem, and decide which solution will be the most effective.  If necessary, conduct a formal needs assessment to help you identify and prioritize your needs. Next, determine the grant category under which the proposed solution falls.  Review the category and subcategory descriptions to determine the eligible activities and requirements, and be especially sure that the application addresses each requirement. Attend any workshops the State Archives offers that are relevant to your project. You may also request information from your RAO, but keep in mind that the RAO cannot review an application prior to its submission.  

Focus Your Project

Propose a project that can be accomplished in a single year. Be sure the project has definite goals and a definite end point. You can frame a project as the first phase of a multi-year series of projects. However, because you may not be successful in obtaining funds for subsequent years, you must demonstrate that each phase can stand on its own.

Prepare a well-organized application, showing definite goals and precise ways to achieve those goals. Demonstrate to the reviewers an understanding of basic records management concepts, especially those directly related to the proposed project. If your application involves implementing new technology, be sure to focus on the records issues.  Reviewers generally do not recommend funding applications that focus on software and equipment purchases alone.

Assemble your grant application in the order indicated on the application checklist included in the Grant Project Application (LG-AP) form. It is essential to submit a complete application.  An incomplete application will not be forwarded for review. 

Please number the pages of your completed application before making your copies and mailing it. 

Each of the parts of an application is described below in the order in which each must appear in your application packet.

All grant applications will be evaluated and scored based on established criteria.  Please note that your completed Application Narrative Form (LG-NA) is worth 70% of your application’s score, and the Budget Code and Narrative forms are worth 30% of the score. Both your narrative and budget forms directly correspond to the reviewers’ ranking criteria.  (The Grant Application Evaluation Form on page 44 demonstrates how the narrative and budget forms relate to the ranking criteria; reviewers will complete one evaluation form for each application.) 

If you hire a grantwriter to prepare your application, be sure to review the application to make sure it adequately addresses your unique situation.  You are ultimately responsible for the quality of your application.

Grant Project Application 2008-2009 Form (LG-AP)

Front Page of LG-AP

• Local Government. Name of the local government.

• Department/Unit. Name of the specific department, agency, or unit that is applying for funds: e.g., Social Services, Town Clerk’s Office, Police Department, Guidance Office, Personnel Office.

• County. County where your central administrative office is located.

• Chief Administrative Officer and Title. Name and title (e.g., superintendent, mayor, county executive) of your chief administrative or authorizing officer.

• Project Director and Title. Name and title of the person who will oversee the project.  All projects must have a project director.

• Records Management Officer and Title.  Name and title of the records management officer, if that person is not the project director.  If the project director is the RMO, you do not need to supply the information again; simply check the box that says “Same person as Project Director.”

• Eligibility. You must appoint a Records Management Officer (RMO) and adopt the appropriate records retention schedule before the application deadline. See “Eligibility Requirements” on page 5 of this grants booklet for a full explanation of these requirements and for a list of those governments exempted from them.  If you are required to appoint an RMO and adopt a retention schedule, leaving this section blank will eliminate your application from further review.

Application Type. Check only one. See the page 6 of this booklet for information on types of grants.

• Project Category. Category and subcategory under which you are applying. Select only one category, and only one subcategory within that category.

• Amount Requested. The grant request cannot exceed $75,000 for an individual project, $125,000 for a cooperative project, and $125,000 for a complex project. Projects under the County Lands Record Initiative subcategory cannot exceed $75,000.

• Number of Grants Previously Received. Total number of LGRMIF grants you have received or participated in as a member of a cooperative project (including special initiatives).

• Project Summary. Description of the proposed project, including its scope and objectives. This summary provides grant reviewers with their first impression of each local government and its proposed project.

Second page of LG-AP

• Forms and Other Materials Checklist. Assemble your application in the order indicated in the checklist. Place a check next to each item on the checklist to indicate that you have included it in your application packet. State Archives staff will review your application to verify your application is complete.

• Certification and Approval. The Chief Administrative Officer or designee and the Records Management Officer (RMO) must sign the application and print or type their names and titles. The signatures verify that your government agrees to the conditions outlined in Appendix A and Appendix A-1 G (both of which you must include with your application). The original copy of the application must be signed in blue ink; rubber-stamped signatures are not acceptable. Local governments not required to have an RMO should mark the RMO signature line “N/A.” 

Checklist for Participants in a Cooperative Project (LG-PA)

• Each participant in a cooperative project must indicate its eligibility to apply for an LGRMIF grant.

Each participant must also indicate that it has included a letter of intent, a requirement of cooperative grant applications. 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.

Appendix A and Appendix A-1 G

The State Education Department requires that a copy of Appendix A and Appendix A-1 G be included in each grant application, immediately following the Grant Project Application Form (LG-AP).  These two appendix forms need be included in your original application only.  You do not need to include them in the copies.

Payee Information (PI) and Standard Data Capture Form

These forms must be completed by all applicants so that the State Archives can either assign a unique Payee Identification Number (also known as an agency code) to your local government, or verify the information we have on record. The State Education Department also needs this information to expedite electronic payments of grant funds. Instructions for completing the PI form and the Standard Data Capture form are included.  You only need to include these forms in the original application.  You do not need to include them in the copies. 

Application Narrative Form (LG-NA) (70 points)

The Application Narrative Form (LG-NA) is required for every grant application. 70% of your application’s score is based on the information you provide in the application narrative.  The point values listed below indicate the numerical weight the reviewers assign to each of the parts of your application narrative during the grants review process.

Address each of the issues listed on the form under each of the four sections of the narrative. Be as detailed as possible. Keep in mind that the application narrative directly corresponds to the criteria that reviewers will follow when ranking your application.

The narrative consists of the following four sections:

I.      Statement of the Problem (maximum 20 points)

II.     Intended Results (maximum 10 points)

IV.    Local Government Support (maximum 10 points)

Each section has a series of issues that all applicants are required to address on the narrative form.   These issues are listed on the LG-NA form.

Vendor Quote Form (LG-VQ). Detailed instructions for completing the LG-VQ are on the reverse side of the form. The form is required in the following cases:

• In each instance where funds are requested for supplies and materials or equipment with a unit cost in excess of $5,000

• For purchased services, where the cost of a vendor’s services, including a consultant's services, exceeds $5,000

• Remodeling, where the cost of any one activity exceeds $5,000 or where any one vendor will receive over $5,000. If more than one contractor is used, this form must be completed for each. 

Imaging and Microfilming Project Information Form (LG-IM)

If you are proposing to conduct a project involving either imaging, microfilming, or a combination of both, complete a separate copy of the LG-IM for each records series that will be the focus of the project. Detailed instructions for completing the LG-IM are on the reverse side of the form. For assistance in determining the number of images in the series, or on any other technical matter, consult State Archives Publication #9, Producing High-Quality Microfilm. For projects that focus only on imaging or include an imaging component, see the State Archives’ Imaging Production Guidelines, available on our website at www.archives.nysed.gov, and State Archives Publication #77, Managing Imaging and Micrographics Projects.

Other Materials

Add whatever other materials are required for your specific project, such as needs assessments, archival and conservation vendor/consultant treatment proposals, floor plans, requests for quotations (RFQs), and consultant responses to RFQs.

Budget Narrative forms (maximum 30 points)

The budget forms are required of all applicants. These forms cover Professional Salaries (Code 15), Support Staff Salaries (Code 16), Purchased Services (Code 40), Supplies and Materials (Code 45), Travel Expenses (Code 46), Employee Benefits (Code 80), BOCES Services (Code 49), Minor Remodeling (Code 30) and Equipment (Code 20).  You do not need to include in your application those budget forms that do not apply to your project. Include in the project budget only those costs for which you are seeking funding; do not include your government’s contributions on the budget forms. 

Each budget narrative form has the following components:

• Budget Table. Enter all costs to be paid with grant funds for each relevant budget code. 

• Budget Narrative. Fully describe in this space how proposed expenditures are appropriate, reasonable, and necessary to support project goals and your records management program. Do not assume reviewers will automatically understand what may seem obvious to you.  Reviewers are likely to recommend cutting budget requests that are not clearly and adequately explained.

• Instructions are on the reverse side of each budget page.

• Lists of Eligible and Ineligible Expenditures are on the reverse side of each budget page.

Budget Summary (FS-20)

• The Budget Summary is required of all applicants. Transfer the total for each budget code to the table on the reverse side of the FS-20. Your Chief Administrative Officer must sign the form (in blue ink) in the lower left-hand corner to certify that the requested budget amounts are necessary and appropriate. Disregard the section on the form pertaining to indirect costs, because indirect costs are not eligible in the LGRMIF grants program.  The right-hand part of the form includes the SED Agency code.  If you do not know this code, leave it blank.  The rest of the right-hand section you should leave blank.   

For additional information about grants, including fiscal reporting forms and requirements, please refer to the Fiscal Guidelines for Federal and State Aided Grants

Assembly of Final Application

Your original application with signatures in blue ink must include all required forms and other materials as required above.  The required forms include:

• Grant Project Application 2008-2009 Form (LG-AP)
• Appendix A and Appendix A-1 G
• Payee Information Form (PI) and Standard Data Capture Form
• Application Narrative Form (LG-NA)
• Project-Specific Forms and Materials
• Budget Narrative Forms (BN)
• Budget Summary (FS-20)

Your eight copies should only include the Grant Project Application cover sheet, the Application Narrative form, any project specific forms, the budget narrative and budget summary, plus any other materials specific to your project.  You do not need to include in the copies Appendix A, Appendix A-1-G, Payee ID and Standard Data Capture forms.  These should only be included in the original application. 

Be sure to number the pages of your completed application before making copies. 

Please use the application checklist on page two of the Grant Project Application (LG-AP) to ensure that you have left nothing out.

Mail your original and eight (8) copies to:
New York State Archives
Grants Administration Unit
9A81 Cultural Education Center
Albany, NY 12230

IV. Grants Review

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, or do not have the appropriate signatures. A local government is responsible for meeting eligibility requirements and for submitting a complete application.

Review panels are created based on grant categories and subcategories.  Outside expert reviewers are assigned to panels to review grants in their areas of expertise. Each reviewer evaluates approximately forty grant applications apiece and assigns each application a score based on information in the Application Narrative Form (LG-NA) and Budget Code and Narrative forms. The reviewers’ ranking criteria are included in on pages 44-46 of this booklet.

In May, reviewers convene as panels in Albany, deliberate in detail on the applications they have read, reconcile differences in conclusions from their preliminary reviews, assign each application a final score, rank each one according to those scores, and make funding recommendations.  These recommendations will be made in the order of ranking until available funds are depleted. In case of a tie, the application with the lower funding request will be given priority. The State Archives reserves the right to apply unused funds from one panel to other panels.

Priorities for Funding

The following projects are priorities for funding in the 2008–2009 grant year.

• Cooperative projects will receive 10 extra points when reviewed

• First-time Inventory and Planning projects will receive 5 extra points when reviewed

• Electronic records inventory projects or projects to implement recommendations resulting from an electronic records inventory will receive 5 extra points when reviewed

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 releases funds necessary to make grant payments.

The State Archives will not release information regarding the status of an application until all applications have been reviewed and the Commissioner of Education has approved the proposed grant awards.

Applicants who will not receive awards will be notified by mail as soon as possible. Successful applicants will be notified of awards by mail, usually in late June. Award decisions are final and are not subject to appeal.  In the notification letter, a summary of the reviewers’ recommendations is provided explaining the decision and why the decision was made. 

For approved applications, payments will be made as follows: 50% of the total upon acceptance of the award; up to 40% of additional funds based on estimates of funds needed to continue project work; and the final 10% at the end of the project, upon submission of satisfactory final reports on the completed work.

Expenses incurred prior to the start of the grant year, 1 July 2007, cannot be paid using grant funds.

Project Administration

If you are awarded a grant, you must conduct your project in accordance with the proposed project budget, plan of work, and LGRMIF grant guidelines. In addition, you must follow your government’s policies 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. 

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. These records must be kept for at least six years after the last payments are made.  All records must be available for inspection by State Education Department officials or representatives.

Each project must achieve results that substantially meet the objectives outlined in the application as approved.  Recipients of grants must submit a performance report in the form of a final narrative report. The report should demonstrate that substantial progress has been made toward meeting the project goals and the program performance indicators. Guidelines for final reports are posted on the State Archives’ website, www.archives.nysed.gov, or contact the Grants Administration Unit at (518) 474-6926 for them.