Contact Information
If you are a local government agency and are considering applying for a grant, please contact your Regional Administrator (RA). If you are unsure in which region your agency is located, consult the Kentucky Department for Libraries and Archives (KDLA) website.
I. Introduction
Program Overview
The Kentucky Local Records Grant Program (LRPG) was created in 1984. Since that time, it has provided millions of dollars to local governments to support preservation of local records. This has been done primarily through grants for security microfilming, digitization, preservation, salary grants, and shelving and equipment purchases. Funding for the grant program is derived from a $1.00 fee collected by county clerks on legal processes and instruments. In accordance with KRS 142.010(5), ninety percent (90%) of all funds allocated to the Department for Libraries and Archives for the Local Records Program Grant shall be set aside for grants to county clerks and distributed annually. If there are insufficient grant applications from county clerks to distribute 90% of all funds, the Department for Libraries and Archives may grant those funds to other agencies.
The Commissioner of KDLA distributes the grants after receiving notice of awards from the State Libraries, Archives, and Records Commission per 725 KAR 1:050. Official award status occurs with the notification of award and the receipt of the fully executed contract by KDLA. The LRPG operates within the state fiscal year, July 1 through June 30. General information about the grant program and the grant application are available on the KDLA website.
Regional Administrator (RA) Assistance
Regional Administrators are available to consult with applicants for project specification(s) RAs are able to answer questions about the grant application, but are not permitted to write LRPGs on behalf of the applicant. Applicants are encouraged to discuss their LRPG project with their RA before submitting their application for the LRPG to ensure compliance with the regulation.
Eligible Applicants and Projects
725 KAR 1:050(1) states “Any local government office interested in improving the management and preservation of its public records” is eligible to apply for a LRPG. Successful applications will clearly demonstrate how LRPG funds will be used to improve the management and preservation of local public records in accordance with 725 KAR 1:050(3) and (6). These activities include:
(1) Security microfilming permanent, vital, and/or archival records. Security microfilm created with Local Records Program Grant (LRPG) funds must adhere to standards and procedures and be done through a certified micrographics laboratory or vendor as defined in the Microfilming and Digital Imaging of Public Records: A Procedural Guide. A list of currently certified laboratories may be obtained from the department's web site;
(2) Creating digital counterparts and/or digital indexes of born-analog permanent, vital, and/or archival records. Digital images or indexes created with LRPG funds must adhere to standards and procedures described in Microfilming and Digital Imaging of Public Records: A Procedural Guide;
(3) Records preservation, conservation, or restoration projects for at risk or affected permanent, vital, and/or archival records. These projects should adhere to current archival best practice and standards. These projects can include, but are not limited to, services to preserve at-risk records or mitigation of existing damage;
(4) Purchasing supplies and equipment that promote preservation, conservation, or restoration of permanent, vital, and/or archival records, including but not limited to, archival quality boxes and folders, shelving, cabinets, and microfilm reader/scanners;
(5) Establishing a local government records management program or archives. This may include salary for hiring new staff. These funds are not designed for ongoing support, and they cannot be used to replace salary funds already being expended by a local government. Salary support can only be used for compensation of wages up to 40 hours per week, and cannot be used for overtime, taxes, or any other fringe benefits;
(6) Arranging and describing permanent, vital, and/or archival records, according to generally accepted professional standards of records management and archival theory and practice;
(7) Codification of ordinances, orders, resolutions, motions, etc. for cities and counties. Codification projects will adhere to Policy Memorandum on Approved Codification Services Vendors and Codification Grant Applicants/Recipients (PM 2021-01).
(8) Limited records management for records with less than permanent retention(s) to assist in maintaining usability and accessibility for the entirety of the defined retention period(s). Records management tasks for these records may include purchase of storage, projects to provide for long-term storage, or access of records with multiple retentions. These projects should have clearly defined, specific, and time-limited parameters and be recognizable as part of established records management policies, procedures, and goals for the local agency. These funds shall not be used for ongoing records management support.
Other Eligibility Requirements
· Previous LRPG recipients with open LRPGs are not eligible to apply for additional LRPG funds or projects until all prior LRPGs are finalized and KDLA has issued the closeout letter.
· Local officials are eligible to apply for one (1) LRPG per grant cycle.
· Security Microfilming Record Cut-off Date:
To allow for the uniform preservation of permanent records, the security microfilming of permanent records adheres to a rolling ten (10) year cut-off date.
Examples:
o Calendar year 2011 and older records are eligible to be security microfilmed in FY23 grant cycles.
o Calendar year 2012 and older records are eligible to be security microfilmed in FY24 grant cycles.
For specific records questions, please contact your Regional Administrator.
Project Costs Considerations
Equipment eligible for funding should meet archival standards. This may include, but is not limited to, microfilm reader/printers or reader/scanners, hanging-file storage, microform storage cabinets, map/plat cabinets, file cabinets, and climate control and monitoring equipment.
Capital improvements, such as ground-up construction or additions to existing buildings, are not eligible project costs.
Fees for records destruction are not eligible project costs.
Upload and Link/Marry tasks are not eligible projects costs.
II. The Grant Process
All applications shall be submitted via KDLA’s online application portal that includes a detailed project description, plan of work, and budget request. Any supporting documents should be completed as fully as possible with additional sheets attached if necessary. In signing the application and in accepting the LRPG award, applicants agree, in carrying out their projects, to abide by the criteria established in 725 KAR 1:050 and this guide.
Helpful Hints:
· Understand the responsibilities of all individuals involved in the grant project.
· Develop a realistic estimate of the funds, staffing, and time needed to undertake and complete the project during the grant period.
· Break the project into separate itemized sections to allow vendors to bid on each individual section.
· List the Series number for all security microfilming, scanning, and digitization project records. This information may be found in the Local Government Records Retention Schedules available on the KDLA website.
· For shelving grants, determine the per-unit cost, the number of units desired, and the total cost. Include any shipping and/or installation costs.
Requirements
All LRPG applicants shall follow their locally adopted procurement requirements and procedures, and shall be required to attest to such compliance. The Project Specifications Form shall include a description of vendor services to be provided and/or work to be completed during the proposed project. Applicants are required to submit winning quote(s) or bid(s) in their entirety to KDLA with the grant application.
The Project Specification Form are available on the KDLA website. Be sure to list the record series title(s), inclusive date(s), retention series number(s), and volume of the record(s) selected for the project on the Project Specification Form.
Vendors making proposals on security microfilming and scanning/digitizing projects must conduct an onsite visit and provide an approximate cost based on the estimated number of pages and/or images and condition of the records. These vendors are required to follow Kentucky Department for Libraries and Archives policies and procedures as outlined in Microfilming and Digital Imaging of Public Records: A Procedural Guide, which is available on the KDLA website.
Vendors making proposals on preservation or conservation projects must conduct an onsite visit to survey any chemical or physical deterioration, or damage to the records in order to provide an approximate cost to repair or extend the life of the record(s).
The vendor site visit date must be included in the vendor proposal.
Applications that do not include the Project Specification Form are ineligible for funding.
Salary grants are required to be completed within the fiscal year awarded. Salary grants are only awarded in the first Cycle (or Cycle 1).
Salary funds may not be combined with other funding requests within the LRPG application.
Salary grant applications require a Project Specifications Form.
Salary grants have a grant-reporting period of fifty (50) weeks at a minimum pay rate of $15.00 per hour.
For equipment grants, maintenance/service agreements may be included as part of the initial purchase. LRPGs may fund two (2) year maintenance/service agreements, the equivalent of the eighteen (18) month grant reporting period. Once the expiration of the original maintenance/service agreement has occurred, it is the sole responsibility of the applicant to maintain and/or upgrade equipment purchased with LRPG funds.
Pre-award activities are not eligible project costs.
Vendors should include the cost of the transfer of digital images and indexes to KDLA in their bid responses and the cost shall not exceed $250.
Grant funds must be deposited into a separate account. Funds cannot be co-mingled with other funds.
Agencies will be required to provide proof that funds were deposited into a separate account. If an agency is unable to deposit funds into a separate account, they will be asked to return the funds to KDLA. If an agency fails to deposit funds into a separate account, they will be asked to transfer funds into a separate account and provide proof of transfer, if they are unable to do so, the agency will be asked to return the funds to KDLA.
Bid proposals for micrographics services will only be considered from offerors whose laboratories are certified by the Kentucky Department for Libraries and Archives.
Work must be performed in accordance with applicable policies and regulations of the Kentucky Department for Libraries and Archives as stated in 725 KAR 1:050. Microfilm produced with grant funds must be tested and approved by the Department before authorization for payment will be given.
Roll microfilm used in this project must be polyester based.
Micrographics services offerors must indicate the roll length that will be used and provide an estimated roll count for each line item that is accurate to within one roll. Copies of digital images accompanied by the corresponding index(es) must be supplied to the Kentucky Department for Libraries and Archives upon completion of the project and must pass quality control inspection before payment is rendered.
Grant funds may be expended for initial quality control costs. Costs accrued from additional quality control services will be the sole responsibility of the offeror.
Clarification of terms, descriptions, conditions, or specifications for equipment/supplies is the sole responsibility of the offeror.
Codification bids should follow the steps outlined in the Kentucky Department for Libraries and Archives’ revised Codification Steps Policy for Cities memorandum, dated October 15, 2021.
Submitted bid proposals/quotes must include separate, itemized price quotes for each line item of the proposed project, or section for which the offeror is making a proposal, and a total cost of all sections bid on/quoted.
Offerors must provide services or materials within the term of the grant following the beginning of the FY and subsequent availability of state funds.
Selection of a bid proposal is contingent upon the award of the Local Records Program grant and subsequent availability of state funds.
Submits a signed contract.
Completing the Application
All applications shall be submitted via KDLA’s online application portal. Applicants should supply information detailing the project summary and plan of work. Relevant supplemental information or materials may be added to support your proposal. These may include sample forms, letters of support, photographs, and/or descriptions of items or services that are part of the project and have not been noted or illustrated elsewhere in the application.
Materials to be submitted with online application include:
1) Project Specifications Form
2) Vendor quote and/or Bid
3) Supporting documentation as needed
Application Review
Applications will be accepted on a rolling basis, when an application is received will determine the funding cycle in which it is presented.
Cycle 1: Applications received between January 1 and March 15 will be presented for funding at the June Commission meeting. Funding decisions made in this cycle will be issued in July.
Cycle 2: Applications received between March 16 and June 15 will be presented for funding at the September Commission meeting. Funding decisions made in this cycle will be issued in October.
Cycle 3: Applications received between June 16 and September 15 will be presented for funding at the December Commission meeting. Funding decisions made in this cycle will be issued in January.
Cycle 4: Applications received between September 16 and December 31 will be presented for funding at the March Commission meeting. Funding decisions made in this cycle will be issued in April.
After each application deadline, an administrative review is conducted on all applications by KDLA staff to confirm the application meets all legal requirements set forth in 725 KAR 1:050 and these Guidelines. In the two-week period after the application deadline, KDLA staff may contact the applicant for additional information. KDLA staff complete a review for eligible projects to assess how closely the project meets the criteria defined in 725 KAR 1:050. All applications meeting the legal requirements are forwarded to an Advisory Group of the State Libraries, Archives, and Records Commission for final review and funding recommendation to the State Libraries, Archives, and Records Commission. The State Libraries, Archives, and Records Commission meets quarterly and has sole legal authority to make the grant awards.
As set forth in 725 KAR 1:050(5), grant award selection criteria are as follows:
(1) Category for funding fits within the scope of projects outlined in Section 3.
(2) Urgency of the problem, such as significance and age of the records. Precedence shall be given to local government applicants with critical records problems, those with older records, and those with chronologically complete groupings of records;
(3) Value and equity in the distribution of grants. The program shall include various types and sizes of local governments, and provide geographic distribution of grants;
(4) Alignment of the proposed methods with accepted professional standards of records management and archival theories and practices;
(5) Adequate security and protection of records. Local governments should house records in fire-resistant facilities, or state how the proposed project will safeguard the records in question. (See KRS 171.710 regarding the safeguarding of public records.)
(6) Compliance with all legal requirements regarding custody and public access. This shall include complying with the requirements of the state's Open Records Law (KRS 61.870-876) and providing access to the public in an area with proper security and supervision;
(7) Commitment by the local government to a comprehensive records management program. This shall include regular legal disposition of records in accordance with the records retention schedules covering the records of a local government agency, and may also include files control, segregation of inactive or noncurrent material from active files, selective microfilming (where appropriate), and training of records personnel in records management standards.
(8) Ninety (90) percent of the grant funds shall be awarded to county clerks unless insufficient qualified applications are received.
(9) Proposed project was not previously funded by LRPG.
Notification and Award Process
Projects may be fully-funded, partially-funded, or denied funding based on criteria set forth in KAR (725 KAR 1:050), these guidelines, and availability of funds.
Once grant awards are determined, applicants selected for funding will receive:
· Award Letter (Notice of Award)
· Grant Award Summary
· Contract
Grantees must sign, date, and return the contract to KDLA. Once the contract is returned to KDLA, LRPG funds will be requested and mailed to the grantee. The project may begin after the contract is fully executed and funds are received. No additional funds will be provided beyond those agreed to on the LRPG contract.
Applicants not selected for funding will be provided written notification. Appeals to LRPG award decisions are outlined in 725 KAR 1:050.
III. Post Award Activities
Grant Disbursements
Grant funds are disbursed via check and mailed to LRPG recipients after the contract has been signed and submitted to KDLA. A separate account must be established for your LRPG Project. Under no circumstances should grant funds be mixed with other fund sources.
Quality Control Inspections
Quality control inspection prevents costly and time-consuming mistakes. The inspection of microfilm and/or digital images ensures that all records are legible and meet the standards set by KDLA. Rejected film and/or digital images must be refilmed/reshot and resubmitted until it passes quality control. Accepted copies of film will be designated as the security copy and will be stored in the KDLA Security Vault. Accepted copies of digital images will be securely stored on KDLA servers.
Grantees shall require microfilm vendors adhere to the Microfilming and Digital Imaging of Public Records: A Procedural Guide, which includes:
1. Coordination with RA to produce Title Targets
2. Filming records
3. Develop and inspect the masters
4. Send master copies to KDLA for quality control inspection
5. Upon passing quality control inspection master copies, and any digital images and indexes will be deposited with KDLA
If grantee follow-up is necessary to reimage unacceptable products, the new microfilm and/or digital images must be approved by KDLA Quality Control. Additional costs resulting from multiple quality control evaluations will be the responsibility of the grantee.
Vendor Payments
The Department for Libraries and Archives shall receive the security microfilm and copies of digital images and indexes upon completion of the project and before grantee renders payment to the vendor. See the Microfilming and Digital Imaging of Public Records: A Procedural Guide and the Digital Image Transfer Policy.
For projects that require submission and acceptance of microfilm, digital images, and/or indexes to KDLA, payment shall not be released until all deliverables have passed quality control. Once they have passed, a Funds Release notice will be provided to the grantee to authorize payment to microfilming, scanning, and digitization vendors. For all other projects or tasks, invoices may be paid at the discretion of the grantee.
Reminders:
· Payment by grantee to microfilming vendors may not be released until the microfilm has passed KDLA Quality Control and has been accepted by KDLA.
· Payment by grantee to digitizing or scanning vendors may not be released until the digital images and indexes have passed KDLA Quality Control and have been accepted by KDLA.
Reporting Requirements
The LRPG requires the completion of Project Status Reports to monitor project activities during the grant-reporting period. Only expenditures incurred within the inclusive dates of the awarded grant and in the approved budgeted line items may be claimed. Project Status Report forms will be sent to grant recipients electronically and are completed for the duration of the grant project. Reports are due on the dates listed in the Grant Award Summary, which all grantees receive after notice of award. Reports must include copies of all financial and programmatic records and supporting documents. Such documentation includes, but is not limited to, paid invoices, cancelled checks, deposit receipts, bank statements, and time and attendance records.
The last Project Status Report is considered the final report and should provide written confirmation of the completion of the project as well as proof that all LRPG funds are expended. On the rare occasion when unexpended funds remain after the completion of the project, the final report should note the remaining amount. If the amount is greater than $25.00, the unexpended funds shall be remitted to KDLA and redeposited in the LRPG fund. The grant recipient shall retain amounts less than $25.00 to use toward records management purposes and supplies.
If a project is completed before the scheduled end date, the final report can be submitted at that time.
The LRPG project is officially closed when all project activities are complete, payment is rendered to the vendor(s), the final Project Status Report is submitted and approved, and the grant recipient receives a closeout letter from KDLA.
IV. Additional Details
Accounting and Auditing Requirements
All LRPG documentation should be retained per the appropriate retention schedules. LRPG recipients must comply with the audit requirements set forth by the Commonwealth of Kentucky. If any litigation, claim, or audit begins, the records must be retained until such proceeding is resolved. Should any adverse finding occur, a copy of the audit, finding, and a report on final resolution must be forwarded to the Local Records Branch.
Project Modifications
Grantees must submit in writing to the Local Records Branch Manager any requests for LRPG project changes that alter the scope of the project, the line-item budget, or project activities before any changes are made. Changes are not allowable until the grantee receives written approval from KDLA.
If a project is not expected to be completed within the specified timeframe, a contract amendment may be requested. This process is initiated by submitting a written request to the Local Records Branch Manager explaining the delay and requesting an extension. The Agency’s Regional Administrator will complete an assessment of whether an extension is of merit and present their findings to the Local Records Branch and KDLA Commissioner or their designee. If approved, a contract amendment defining the new terms of the grant is forwarded to the grantee for signature.
Withdrawal of Awarded Grant Funds
LRPG recipients can voluntarily withdraw from the project with thirty (30) days written notice to KDLA. After giving reasonable notification of unsatisfactory performance of conditions of the project and allowing thirty (30) days for the vendor to achieve compliance, KDLA has the right to terminate and cancel the LRPG contract. Such cancellation will be by written notice served on the grantee by certified or registered mail with return receipt requested. However, failure to complete a project due to early withdrawal may require return of funds advanced under the contract or return all unobligated/unexpended grant funds.