Grant Program Guidelines and Instructions --
An appropriation of $14 million in State capital funds for public library construction has been included in the 2013-2014 State Budget for a grant program period of July 1, 2013 through June 30, 2016. Public library systems as well as individual public libraries can apply for grant awards. All individual public libraries must work with their appropriate library systems to develop and submit online applications. Grant funds have been allocated to public library systems based on formulas in Education Law 273-a. The minimum grant award is $2,500 for a minimum total project cost of $5,000. The deadline for submitting a grant application to the New York State Library / Division of Library Development is October, 10, 2013.
Application and Assurances
All questions must be answered. Applicant must indicate compliance with the Assurances by checking all appropriate boxes. The first three assurances apply to all libraries. The fourth applies to any library that does not own its building with the exception of those libraries whose buildings are owned by a school district or BOCES. The President of the Library/System Board of Trustees must sign the Authentication of Application. The Assurances form (in MS Word [ 24k] | .PDF [ 22k]) is submitted as a signed PDF attachment.
Construction Project Narrative
The project narrative is divided into sections: Project Abstract, Description of Project, Impact of Project, Timetable
Project Abstract: A brief description of the project, limited to 150 characters, must be provided.
Description of Project: Include a complete description of the proposed project for which funding is being requested. If this project is part of a larger project during the grant funding period (July 1, 2013 – June 30, 2016), please describe the entire project. Describe construction activities including the intended physical alteration of the building.
Impact of Project: Describe how the project will address one or more of the following Public Library Construction Grant Program priorities:
- Increased effectiveness of library service due to increased and/or improved building space and capacity;
- More efficient utilization of the building such areas as energy conservation and increased staff efficiency (Libraries and library systems are encouraged to support “green” projects that may result in buildings eligible for LEEDS certification);
- Improved access to and use of building services by all library users, including those with physical disabilities; and
- Provision of library services to geographically isolated or economically disadvantaged communities.
Timetable: Provide a detailed timetable, indicating the projected start date, the duration of the proposed project, the beginning and ending dates for all contracted services, and the schedules for all other significant activities impacting the project.
Project Cost Estimate
A project cost estimate that is a reliable assessment of true project cost must accompany the application. Such estimate must be in the form of a quote document from a contractor(s) to assure that the full cost of the project can be reliably assessed. If the construction project is multifaceted and more than one contractor will be involved, e.g., an electrician, plumber and carpenter, a quote or bid document from each contractor is required. Cost estimates from architects, engineering firms, or construction consultants are not allowable expenses. All quote documents should detail individual costs (as appropriate) and be submitted as signed PDF attachments.
The cost estimate must include ALL project expenses, even those for which immediate funding is not being requested, and even if the costs are not eligible for funding under the construction grant program, including feasibility studies, architectural and engineering fees, construction costs, equipment, furnishings, etc. Quote documents are required only for project costs for which funding is being requested.
It is not required that a library has entered into final agreements with a contractor(s) at the time of application. However, allowing for reasonable increases in the cost of construction from the time the application is submitted, steps should be taken to assure that the cost estimates reflect anticipated true cost to ensure that sufficient funds are available to pay for the cost of the project, minus the award amount.
The full project costshould reflect the full cost of the construction project, regardless of the scope of the project for which funding is being sought. For example, if a new library or an addition to an existing library is being built, the full cost of the project might be $6.5 million and indicated as (b) under Estimated Project Costs. However, if the project for which funding is being sought is the site preparation and foundation work at a cost of $750,000, the cost indicated as (b) under Estimated Project Costs should be $750,000. Large projects composed of multiple components can be broken down for the purposes of applying for construction funding in consecutive years. Such evidential documents must be submitted as PDF attachments. In the case of more cohesive, smaller projects, the full cost of the project (a) and the cost of the project for which funding is being requested (b) will be the same and should be indicated as such on the application.NOTE: For the purposes of the 2013-16 application, the total project cost for which funding is requested (b) cannot include any costs incurred prior to January 1, 2013.
Certification of Available Funds to Finance Project
The law allows that State funding through the Public Library Construction Grant Program can be provided for up to 75% of total construction project costs. It also stipulates that the availability of funds to pay for the cost of the project, minus the amount awarded through the Construction Grant Program must be verified as part of the application. Such verification must be in the form of bank or bond certification, an official document(s) signed by a financial authority connected with the applying institution, and/or other such evidentiary documents as necessary. Such available funds can include public funds (federal, state or local), private funds, or a combination thereof. All funding certification documents must be submitted as PDF attachments.
NOTE: Many projects are not funded at the maximum 75% due to the unavailability of sufficient funds available through the construction program. Applicants funded less than 75% of project cost must show certification of available funds to pay for the cost of the project, minus the award amount before a final award can be made. Such certification documents must be submitted as PDF attachments.
Projects Funded, in Whole or in Part, Through the Issuance of Tax-Exempt Bonds, Bond Anticipation Notes, Revenue Anticipation Notes, or Other Similar Form of Obligation
If the project for which a library has submitted an application is or will be funded in whole or in part through the issuance of tax-exempt bonds, bond anticipation notes, revenue anticipation notes, or some similar form of obligation, the application must include a copy of the final official statement relating to the applicable issuance, a full debt service schedule for the issuance, a detailed breakdown of the funding sources and uses for the project (including the issuance amount, the requested construction grant award amount, and any other equities dedicated to the project), and a current cost estimate of the entire project. All such documents must be submitted as PDF attachments.
Certification of 10 Year Minimum Lease Agreement and Project Approval From Building Owner
If the library building or site is under a lease arrangement or otherwise legally available, the applicant must include a letter from the owner of such building or site certifying that the lease agreement or other legal arrangement will be in effect for a minimum 10 years from the date of anticipated project completion, that there is full awareness of and agreement with the construction project implications, that the owner has the legal authority to approve the improvement of the space, and that the building is open to the public. This requirement does not apply to library buildings that are owned by a school district or BOCES. Such letter must be submitted as a PDF attachment.
SED Office of Facilities Planning Certificate of Project Approval
The State Education Department is charged by the Secretary of State [19NYCRR441.2(d)] with the “administration and enforcement of the NYS Uniform Fire Prevention and Building Code with respect to buildings, premises and equipment in the custody of, or activities related thereto, undertaken by School Districts and Boards of Cooperative Educational Services.”
If the library building is owned by a School District or BOCES and the total Public Library Construction Grant Program project cost will be $10,000 or more, the applicant must submit plans and specifications to the State Education Department’s Office of Facilities Planning for review and approval. The OFP Certificate of Project Approval, including the OFP issued Building Permit, must be included as a PDF attachment.
Questions regarding the OFP approval process should be directed to OFP at 518. 474.3906. Calls will be directed to the appropriate Project Manager for the school district in which the library building is located.
NOTE: The designator “school district public library” does not necessarily indicate ownership of a library building by the school district. It refers only to the boundaries of population served by the library. OFP approval is required only if the building is owned by a school district or BOCES, regardless of the library’s service area.
State Historic Preservation Office (SHPO) Approval Documentation
New York’s State Historic Preservation Office (SHPO), is part of the New York State Office of Parks, Recreation & Historic Preservation. The mission of SHPO is to help communities identify, evaluate, preserve and revitalize their historic, archaeological and cultural resources.
If your library building is 50 years old or older, please read the following documents to determine if your project requires a SHPO approval:
- SHPO FAQs (Attachment A) Specific to Libraries [Examples of Activities Exempt from OPRHP Review]; also available in .PDF format [39k])
- Formal Agreement with the State Education Department [Letter of Resolution between the New York State Office of Parks, Recreation and Historic Preservation and the New York State Education Department; For the purpose of expediting the review of projects in accordance with Article 14; Section 14.09 of the New York State Parks, Recreation and Historic Preservation Law] (.PDF format only [619k])
If appropriate, an approval letter from SHPO must be attached your construction grant application as a signed .PDF.
In the event a building is determined by SHPO to be of historical significance, the SHPO approval letter must specify the precise changes to the building that are being approved. Any project components not specifically approved in writing will not be considered for funding. In the event a building is determined by SHPO to lack historical significance, a letter to that effect from SHPO must accompany the application. Such letter may be used in subsequent years to comply with construction application requirements. All SHPO letters must be submitted as PDF attachments.
Questions regarding the SHPO approval process should be directed to SHPO at 518. 237.8643.
Environmental Assessment Form
The State Environmental Quality Review Act requires certain entities, including state agencies, public benefit corporations, and certain libraries to evaluate the potential environmental consequences of certain activities and to minimize adverse impacts.
All applicants must complete the two-page Short Environmental Assessment Form (SEAF) as part of the application process. In most cases, the SEAF will suffice to comply with the SEQRA process. In certain cases, the applicant may need to complete a long form EAF.All SEAF and EAF forms must be submitted as signed PDF attachments. Both pages must be signed.
Smart Growth Form
All applicants must certify that their proposed projects are in compliance with the Smart Growth Public Infrastructure Policy Act, which became law in 2010.
Completed certification forms must be submitted as PDF attachments. Please include the application project number on the form.
FS-10 Budget Summary Forms
FS-10 Budget Summary forms are essential for payment of approved project amounts. Three FS-10 Budget Summary forms with original signatures in blue ink must be submitted to Kimberly Anderson at the Division of Library Development/New York State Library for each application. Each page of the form must be on a single sheet of paper, not back-to back, with the back page facing out.
NOTE: FS-10 forms are submitted with their category code amounts left blank, as these code amounts will be filled in at the Division of Library Development once a final award amount has been determined. Proposed budget code amounts are completed online by the applicant.
Payee Information Form
In order to receive funds from the NYS Education Department, libraries must be entered on the SED Reference File and have accurate payee information on record. Sections I, II, III, and IV should be completed on the Payee Information Form (in MS Word [ 92k] | .PDF [ 155k]) as per the instructions printed on the form. For Section III, #4, the Exemption Category for libraries is Category 2.
NOTE: This form is NOT submitted as a PDF attachment, but must be submitted with an original signature signed in blue ink to Kimberly Anderson at the Division of Library Development/New York State Library. Questions concerning the Payee Information Form should be directed to Barbara Massago.
Detailed photographs of the proposed construction project site are required to accompany each application. Pictures must be scanned and submitted as part of the online application process. Photographs showing completion of project activities are required to be submitted before final fiscal forms can be filed.
Reduced Match Justification form
This form is completed by library system staff. This form is required to be completed and submitted as part of the online application by library system staff for each public library deemed eligible by the library system for a reduced match requirement below 50%. State aid for public library construction can be provided for “up to seventy-five percent of the total project approved costs for buildings of public libraries that are located in an economically disadvantaged community”, as determined by the library’s library system. Public libraries that are located in communities that are not identified by the library system as economically disadvantaged communities are eligible for a maximum of fifty percent of the total project approved costs.