State Aid for Library Construction Guidelines and Instructions -- DRAFT

An appropriation of $14 million in State capital funds for public library construction has been included in the 2015-2016 State Budget for a grant program period of July 1, 2015, through June 30, 2018. 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, 1, 2015.

The 2015 application procedure for the State Aid for Library Construction is an online process.  All required forms will be found on the Construction Grant Program online application portal. User names and passwords will be required to access the online portal. 

NOTE: Documents can be attached in MS Word (.doc), Excel, PDF, .txt, .bmp, .jpg formats.

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, and all three boxes must be checked. 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 [Word document icon 24k] | .PDF [PDF icon 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, 2015 – June 30, 2018), 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 State Aid for Library Construction priorities:

  1. Increased effectiveness of library service due to increased and/or improved building space and capacity;
  2. More efficient utilization of the library building resulting in such economies 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);
  3. Improved access to and use of building services by all library users, including those with physical disabilities; and
  4. 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 from each contractor is required. All quote documents should detail individual costs (as appropriate) and be submitted as PDF attachments.

Note: QUOTE DOCUMENTS ARE REQUIRED ONLY FOR ELIIGIBLE PROJECT COSTS FOR WHICH FUNDING IS BEING REQUESTED.  

If the project for which funding is being requested is part of a larger comprehensive project then please provide details on the larger project’s activities in the “Project Narrative” section of your application.

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. Note: Contingency costs that allow for price increases cannot be entered as separate entries on the budget as it will be assumed that the contractor quote covers such contingencies.

If the Cost of the Project for Which Funding is Being Requested listed as (b) on the application form is part of a larger comprehensive project, then list the cost of the larger comprehensive project in (a) Total Project Cost on the application form.  If the Cost of the Project for Which Funding is Being Requested listed as (b) on the application form is not part of a larger project then (a) Total Project Cost and (b) Cost of Project for Which Funding is Being Requested will be equal.

Note: For the purposes of the 2015-18 application, the total project cost for which funding is requested, designated as “(b)” on the application form, cannot include any costs incurred prior to January 1, 2015.

Certification of Available Funds to Finance Project

The law allows that State funding through the State Aid for Library Construction 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 should 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: Applicants do not receive the final 10% of their grant award until the project is closed.

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 the applicable authorizing resolutions adopted by the library or issuing party authorizing the bond issuance, a detailed breakdown of the expected or actual sources and uses of bond proceeds, equity or other funding sources for the project, a copy of the final official statement relating to the applicable issuance if available and a current cost estimate of the entire project including:

  1. Provide a detailed breakdown of all project costs regardless of whether or not they will be funded with grant proceeds. Indicate which costs are related to grant funds.
  2. Provide the total dollar amount that is being bonded for the project.
  3. If BANS are issued a letter is required asserting that at the time BANS are converted to Bonds, the Bond issued for the project will be in an amount not to exceed the total cost of the project minus the grant award.

Keep in mind that since the Public Library Construction grants are funded with tax exempt bonds the only portion of the project that can be funded with bonds is the total cost of the project minus the amount of the grant award that is being requested.

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. Such letter must be submitted as a .PDF attachment. NOTE: This requirement does not apply to library buildings that are owned by a school district or BOCES.

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 State Aid for Library Construction 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 (OFP) 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 and/or the project involves ground disturbance and/or demolition, please read the following document to determine if your project requires a SHPO approval. *NOTE: new online submission process*

Information about New York State’s historic preservation initiatives external link; opens in a new window

Environmental Assessment Forms

The State Environmental Quality Review Act requires certain entities, including state agencies, public benefit corporations, and libraries to evaluate the potential environmental consequences of certain activities and to minimize adverse impacts. 

For more information, see Environmental Assessment Forms.

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.

Information regarding this Act and its compliance criteria

Completed certification forms should be submitted as PDF attachments.  Please include the application project number on the form.

FS-10 Budget Forms

FS-10 Budget forms are essential for payment of approved project amounts. Library applicants submit three FS-10 Forms with original signatures in blue ink to their library system contact. Library systems submit all FS-10s to Kimberly Anderson at the Division of Library Development/New York State Library. Each page of the form must be 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.

NOTE: No grant activities or vendor changes can be made during the grant activity period without the approval of NYSED.

Payee Information Form / EIN

Payee Information Form

Each library must submit both a Payee and a W-9 form. Please complete these forms (in MS Word [Word document icon 92k] | .PDF [PDF icon 155k]) per the instructions on the form.

NOTE: Despite what is indicated on the Payee Information Form instructions, a substitute W-9 Form must be completed by all construction applicants, and it should be sent to your public library system, not directly to the State. The Payee Information Form is NOT submitted as a PDF attachment, but must be submitted with an original signature signed in blue ink to the library system, who will batch the payee forms from all approved applications and send them 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.

Instructions for Receiving an EIN and a Vendor Number

In order for a public library to apply for funding from the NY State Library’s Public Library Construction Grant Program, the library must have its own Federal Employer Identification Number (EIN), which will enable the library to receive an NYS vendor number.  A public library must be assigned a vendor number in order to receive construction grant funds.

The library must have its own EIN regardless if it currently shares its municipality’s EIN number for payroll or other purposes.

If the library does not have its own EIN, then the library needs to apply for one from the Internal Revenue Service. The library can apply for a new FEIN online through the IRS websiteexternal link opens in a new window. A paper form can also be downloadedexternal link opens in a new window and mailed or faxed to the IRS.

If help is needed with the EIN process, the local IRS office should be contacted. IRS locatorexternal link opens in a new window

Once the library has its own EIN, the next step is to receive an NYS vendor number.

Barbara Massago in the NY State Library’s Division of Library Development will help the library complete the process for receiving an N YS vendor number. She can be contacted via e-mail or by calling (518) 486-4885.

Certificate of Occupancy (if applicable)

If the project requires that a local “Certificate of Occupancy” be obtained at the completion of the project, a copy of the certificate must be scanned and attached as part of the Final Project Completion activities. Note: the library cannot receive final payment until all of the required Final Project Completion activities are complete.

Examples of when a “Certificate of Occupancy” is typically required include: New Building Construction; Construction or renovation that significantly changes the current or intended use of library space. For example, a space that is currently used for offices or storage and is converted to public use space would possibly require a certificate of occupancy.  Be sure to consult and follow local government laws as they apply to certificates of occupancy to ensure compliance.

Building Photographs

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.

Reduced Match Justification Form NOTE: This form is available online.

M/WBE Requirement -- New!

All applicants requesting $25,000 or more are required to comply with NYSED’s Minority and Women-Owned Business Enterprises (M/WBE) policy.

M/WBE participation includes services, materials, or supplies purchased from minority and women-owned firms certified with the NYS Division of Minority and Women Business Development. Not-for-profit agencies are not eligible for this certification.

Additional information and a listing of currently certified M/WBEsexternal link

To aid in searching the database, see: Subject List of Activities Contained in the M/WBE Database.

The following sample database searches are provided for informational purposes only by NYSED’s M/WBE Office: 

The M/WBE participation goal for this grant program is 30% of each applicant’s requested grant amount.

NYSED’s M/WBE Coordinator is available to assist applicants in meeting the M/WBE goals. The Coordinator can be reached at MWBE@nysed.gov.

More information on NYSED's Minority and Women-Owned Business Enterprises (M/WBE)external link

Time Frame for Compliance

Applicants must complete and submit the M/WBE section of the online application during the time period beginning February 1st through 30 days after receiving an official NYSED grant award notification.

Methods to Comply

Below are the Methods to comply. Note: all forms should be completed, saved as PDFs and attached to the applicant’s construction grant application. Links to all the forms are provided on the M/WBE Compliance Checklist below.
 
1. Full Participation - This is the preferred method of compliance. Full participation is achieved when an applicant meets or exceeds SED’s 30% participation goal. Applicants must complete forms:

M/WBE Goal Calculation Worksheet
M/WBE Cover Letter
M/WBE 100 Utilization Plan
M/WBE 102 Notice of Intent to Participate
EEO 100 Staffing Plan and Instructions

2. Partial Participation, Partial Request for Waiver - This is acceptable only if applicants are unable to achieve full participation, but can demonstrate and document a good faith effort to achieve full participation. Applicants must complete forms:

M/WBE Goal Calculation Worksheet
M/WBE Cover Letter
M/WBE 100 Utilization Plan
M/WBE 101 Request for Waiver
M/WBE 102 Notice of Intent to Participate
M/WBE 105 Contractor’s (Applicant's) Good Faith Efforts
EEO 100 Staffing Plan and Instructions

3. No Participation, Request for Complete Waiver - This is acceptable only if applicants are unable to achieve any participation, but can demonstrate and document a good faith effort to achieve full or partial participation. Applicants must complete forms:

M/WBE Goal Calculation Worksheet
M/WBE Cover Letter
M/WBE 101 Request for Waiver
M/WBE 105 Contractor’s (Applicant's) Good Faith Efforts
EEO 100 Staffing Plan and Instructions

4. Preferred Source - Use of a Preferred Source vendor under Section 162 of the State Finance Law takes precedence over compliance with SED’s M/WBE policy. Applicants utilizing a Preferred Source vendor must complete the following:

M/WBE Goal Calculation Worksheet
Cover letter indicating no/partial participation, name of Preferred Source vendor and amount budgeted.
EEO 100 Staffing Plan and Instructions

Good Faith Efforts

Applicants must make a good faith effort to solicit NYS certified M/WBE firms as subcontractors and/or suppliers to achieve the goals for this grant. Solicitations may include, but are not limited to: advertisements in minority and women centered publications; solicitation of vendors found in the NYS Directory of Certified Minority and Women-Owned Business Enterprisesexternal link and the solicitation of minority and women-oriented trade and labor organizations. Good faith efforts include actions such as setting up meetings or announcements to make M/WBEs aware of supplier and subcontracting opportunities, identifying logical areas of the grant project that could be subcontracted to M/WBE firms, and utilizing all current lists of M/WBEs who are available for and may be interested in subcontracting or supplying goods for the project.

Applicants should document their efforts to comply with the stated M/WBE goals and submit this with their applications as evidence. Examples of acceptable documentation can be found in form M/WBE 105, Contractor’s Good Faith Efforts.  NYSED reserves the right to reject any application for failure to document “good faith efforts.”

Preferred Source

For information on buying from a Preferred Source please see:  http://nyspro.ogs.ny.gov/content/buying-preferred-source-0

Request for Waiver

When full participation cannot be achieved, applicants must submit a Request for Waiver (M/WBE 101). Requests for Waivers must be accompanied by documentation explaining the good faith efforts made and reasons they were unsuccessful in obtaining M/WBE participation.

NYSED reserves the right to approve the addition or deletion of subcontractors or suppliers to enable applicants to comply with the M/WBE goals, provided such addition or deletion does not impact the technical proposal and/or increase the total budget.

All payments to Minority and Women-Owned Business Enterprise subcontractor(s) should be reported to the NYSED M/WBE Program Unit using the M/WBE 103 Quarterly M/WBE Compliance ReportPDFexternal link. This report should be submitted on a quarterly basis.

Equal Employment Opportunity Reporting (EEO) Pursuant to Article 15-A of the New York State Executive Law: Applicants must have their vendors complete and submit form EEO 100: Staffing PlanPDFexternal link.

NYSED’s M/WBE Coordinator is available to assist applicants in meeting the M/WBE goals. The Coordinator can be reached at MWBE@nysed.gov.

M/WBE Compliance Checklist

The following checklist outlines the forms required for the three methods of compliance discussed above.

M/WBE Documents Package

(All forms should be completed, saved as pdfs, and attached to the applicant’s online construction application.)

 

Forms Required

Type of Form Full
Participa-
tion
Request
Partial
Waiver
Request
Total
Waiver

 

 

 

 

2015-2018 M/WBE Goal Calculation Worksheet -- Word MS Word [23k]

     

M/WBE Cover Letter -- Word MS Word [20k]

     

M/WBE 100 Utilization Plan -- Word MS Word [22k]

    N/A

M/WBE 102 Notice of Intent to Participate -- Word MS Word [34k]

    N/A

M/WBE 105 Contractor’s Good Faith Efforts -- Word MS Word [27k]
M/WBE 105A Contractor Unavailable Certification -- Word MS Word [21k]

N/A    

M/WBE 101 Request for Waiver Form and Instructions -- Word MS Word [39k]

N/A    

EEO 100 Staffing Plan and Instructions -- Word MS Word [124k]

     

 

Last Updated: June 19, 2015 -- asm