(Title) CERTIFICATE OF APPROPRIATE STATE LEGAL I hereby certify that (Name of State) is the sole State agency with authority under State law to develop, submit and administer or supervise the administration of, the State plan under the Library Services and Construction Act, as amended by Public Law 91-600; that (Name of authorized State Agency Official) is the Officer authorized to submit the State plan for the named State agency; that the State Treasurer or (Title of Officers other than State Treasurer) has authority under State law to receive, hold and disburse Federal funds under the State plan; and that all provisions contained in the plan are consistent with State law. Sec. 1.1 Scope of guidelines. 1.2 Long-range programs and other documents required under the Library Services and Construction Act. 1.3 Basic State plan amendments. 1.4 Annual program. Part 2-Programs under Title II of Library Services and Construction Act 2.1 Program. 2.2 Processing of application for an LSCA construction project. Sec. 1.1 Scope of guidelines. (a) The guidelines contained in this document are recommendations and suggestions for meeting the requirements which apply to Federal assistance under the Library Services and Construction Act. The legal requirements include the Act itself (20 U.S.C. 351-351c-2); the program regulations (45 CFR 130). The guidelines are not to be construed as requirements. However, where the guidelines set forth a permissible means of meeting a legal requirement, the guidelines may be relied upon. (20 U.S.C. 351; 113 Cong. Rec. 5936, 5939 (daily ed., May 23, 1967): United States v. Jefferson County Board of Education, 372 F.2d 836, 857 (1966)) (b) Where a guideline is issued in connection with or affecting a provision in the regulations, the pertinent regulation will be cited after the citation of legal authority for the guideline, in the parenthesis following the guideline. For example, if the legal authority for the guideline is 20 U.S.C. 351d(a) and the guideline affects section 130.20 of the regulations, the following citation will be placed on the line immediately following the guideline: (20 U.S.C. 351d(a); 45 CFR 130.20). If no particular section of the regulation is affected, no citation to the Code of Federal Regulations (CFR) will be made. (20 U.S.C. 1232(a)) Sec. 1.2 Long-range programs and other documents required under the Library Services and Construction Act. (a) In keeping with the intent of the Library Services and Construction Act Amendments of 1970 to permit greater flexibility in the development of programs under the Act, no specific "forms" are being issued by the Office of Education for the long-range programs. (20 U.S.C. 351d(d)) (b) Each part of the State plan (the basic State plan, the long-range program, and the annual program) must be developed with the advice of the State Advisory Council on Libraries and in consultation with the appropriate Regional Library Services Program Officer who represents the U.S. Commissioner of Education in the LSCA program development process. (20 U.S.C. 351a(8), 351d; 45 CFR 130.8(c)) (c) (1) To assure coordination between the criteria set forth in the basic State plan and the criteria in the long-range program, a careful review of the basic State plan should be made prior to updating of the long-range document. Amendments to the basic State plan attachments may be required. The inclusion of criteria in the basic State plan attachments does not eliminate the need for complete criteria, policies, priorities, and procedures in the long-range program. (2) The needs assessment statement and documentation in each State should be comprehensive and statewide. The long-range program will cover the three titles authorized under the Act, including criteria, policies and procedures for public library construction. (20 U.S.C. 351d(d), 45 CFR 130.19) (d) All three documents require review by the Governor or the office designated by the Governor for such purpose and his comments or "no comment" certification must accompany the documents when submitted. (See Item 3 of approved basic State plan.) (20 U.S.C. 351a(8), 351d(a), 351d(d), OMB Circular No. A-95; 45 CFR 130.8, 130.16, 130.19, 45 CFR 100b.15) Sec. 1.3 Basic State plan amendments. A careful review of the basic State plan as approved by the U.S. Commissioner of Education for the previous fiscal year should be made in the light of the act and the regulations before any amendments are prepared. Forms provided for use in submitting amendments are a cover sheet, basic State plan amendment assurance, and the Maintenance of Effort Certification for the appropriate fiscal year. The revised listing of the State Advisory Council on Libraries and revised statements of criteria are to be attached to the basic State plan amendment assurance form. (20 U.S.C. 351d; 45 CFR 130.22) Sec. 1.4 Annual program. (a) The project description in the annual program should provide basic information essential to an understanding of the specific objectives of the project and its contribution toward attain ing the goals of the long-range program. The project description should include what the project proposes to accomplish and why; who is to be served and how; names of key libraries and other agencies; when and where the project will be implemented; the estimated cost and sources of funding; and the method of administering the project: whether by contract, State agency, or local agency. (20 U.S.C. 351d(a), 354, 355c, 355e-2; 45 CFR 130.20) (b) To provide assistance in tabulating comparable LSCA projects throughout the country, a key listing has been developed for reporting purposes. The following eighteen project types have been identified. (If none of these is adequate to identify a particular library project, another brief descriptive title should be stated.) (20 U.S.C. 351d(b)(3)) LSCA PROJECT TYPES 1. Disadvantaged (use Basic State Plan Definition) 2. Strengthening State library administrative agency 3. Metropolitan library serving as national or regional resource center 4. Physically handicapped, blind 10. Career education 11. Management improvement (e.g., Delivery systems) 12. Aging 13. Adult education 14. Environmental education 15. Drug abuse education 16. Early childhood education 17. Migrants 18. Other (specify) Part 2-Programs under Title II of Library Services and Construction Act Sec. 2.1 Program. Title II of the Library Services and Construction Act authorizes a program of grants to States which have had approved a basic State plan under section 6 of the Act and have submitted a long-range program and submit annual appropriately updated programs (approved construction projects) under section 203 of the Act for the construction of public libraries. (20 U.S.C. 355a, 355c; 45 CFR 130.5, 130.21) Sec. 2.2 Processing of application for an LSCA construction project. The steps set forth below describe the current procedures for the processing, at the State level, of applications for construction projects under title II of the LSCA which State agencies typically employ in meeting the requirements of the Act and applicable regulations: (a) Application procedures. (1) The State agency provides up-to-date instructional materials, including an application form for applicants for construction grants and provides consultant service as required. Localities should be advised to notify State agencies of "intent" to apply and to follow through on submission of such "intent" to appropriate State or Regional Clearinghouses. (2) The local applicant submits an application to the State agency on forms and in accordance with directions supplied by the State agency. (3) The State agency reviews the local application for: (i) Conformity with the Library Services and Construction Act and regulations thereunder, State instructions, long-range program, and annual program. (ii) Eligibility of the applicant. (iii) Submission of the required supporting documents, in a sufficient number of copies to meet the requirements of the State. Such documentation shall include the notification of intent to apply for Federal assistance with comments from the appropriate State and/or regional clearinghouse, and documentation necessary to assure compliance with §§ 100b.155-191 of the OE General Provisions Regulation. (iv) Certification of availability of required matching funds. (4) The State agency approves the project. (5) The State agency notifies the appropriate DHEW Regional Office of approval of the project. The document required by the Regional office is O.E. Form 3114-2, "Notification of Construction Project Approval," in triplicate. Following acknowledgement by the DHEW Regional Office, the applicant is now in a position to enter into a construction contract. (20 U.S.C. 355a-355c, OMB Circular No. A15; 45 CFR 130.5, 130.21) (b) Contracting for construction. (1) The State agency obtains from the applicant information on estimated costs, bid advertising dates, dates of bid opening, and a brief project description, which must be transmitted to the DHEW Regional Office, Facilities, Engineering, and Construction, to request a wage determination. This request should reach the office at least six weeks before the project is to be advertised for bids. State agencies may find it advisable to confirm the procedures with the Regional Engineer. If approval by State agency and notification to the Region is very close to planned bid advertising date, the State agency may submit the request for wage determination before it sends notification of the project approval. In such cases, the State agency should assure itself that the project is in approvable form. (2) The State agency should review the bid proposals and contract documents for the project to assure itself that they include: (1) The prevailing wage rates as determined by the U.S. Department of Labor; and (ii) all the contract clauses required for the Federal Labor standards as provided for in § 130.5 and Subpart K of 45 CFR part 100b. Note that in some cases there is more than one contract on a construction project. (3) The State agency should receive a copy of the tabulation of bids received showing the bids accepted. The architect usually prepares this (on a standard AIA form) for the owner. (4) The State agency should review the construction contract, or contracts, as prepared before signing, together with the contract documents and must make sure the valid prevailing wage rates, the required labor, the equal employment opportunity requirements and all other applicable requirements are included. (45 CFR 130.5) (5) The State agency receives a signed copy of the construction contract or contracts and contract documents for its official project file. (20 U.S.C. 355a, 1232b; 45 CFR 130.5) (c) Technical supervision. (1) After the contract is awarded, but before the start of construction, the local applicant should schedule a preconstruction conference with all interested parties to clarify the administrative requirements of the Federal labor standards. The conferences should include architect, prime contractors and subcontractors, and representatives of State and local agencies. (2) When construction starts the State agency should schedule a field visit to verify that: (i) Wage determination is posted on the project in a place that the workers can see easily. (ii) A copy of weekly payroll with the required certification statement (in regard to anti-kickback provisions of the Copeland Act) is furnished the owner within seven days after week to which payroll applies and that provision is made for keeping those on file. Also, that the copy of the weekly payroll is checked against the minimum wage determination for the project. (iii) That periodic on-the-job labor interviews are provided for and that a signed report on each such interview is then filed with the owner's copy of the payroll for that week. (iv) If revision of project is required, amended Form OE 3114-2, "Notification of Construction Project Approval", should be Subpart D-Special Purpose Grants 131.30 Eligible applicants. 131.31 Application for a special purpose grant. 131.32 Criteria for review of a special purpose grant. 131.33 Amount of grant. Appendix A-Point Scores for Review of Ap plications for Supplemental Grants. Appendix B-Point Scores for Review of Applications for Special Purpose Grants. AUTHORITY: Sec. 201-208 of Pub. L. 89-329, 79 Stat. 1224-1226, as amended (20 U.S.C. 1021-1028), unless otherwise noted. SOURCE: 39 FR 40494, Nov. 18, 1974, unless otherwise noted. Subpart A-General § 131.1 Applicability. The regulations in this part apply to grants made by the Commissioner to assist and encourage improvements in library resources for institutions of higher education pursuant to his authority under Title II-A of the Higher Education Act of 1965, as amended. (20 U.S.C. 1021-1028) § 131.2 Definitions. As used in this part: "Act" means Title II-A of the Higher Education Act of 1965, Public Law 89-329, 79 Stat. 1219, as amended. (20 U.S.C. 1021-1028) "Acquisition of books and other materials to be used for library purposes" means the purchase, lease-purchase, or straight lease of such books and other materials. It includes the necessary costs of ordering, processing, and cataloging such books and other materials, including necessary first binding of such books and other materials, and delivery of them to the initial place at which they are to be available for use: Provided, That such costs should ordinarily exceed neither the average of $2.75 per volume or item acquired nor 20 percent of the total grant awarded. "Basic grant" means a grant made pursuant to section 202 of the Act. (20 U.S.C. 1022) "Branch" means a campus of an institution of higher education located in a community in the United States different from that of the parent institution, not within a reasonable commuting distance from the main campus, and which has college level programs for which library facilities, services, and materials are necessary. "Combination of institutions" means a group of institutions of higher education that have entered into a cooperative arrangement for the purposes of carrying out a common objective on their behalf or a public or private nonprofit agency, organization, or institution designated or created by a group of institutions of higher education for the purpose of carrying out a common objective for the benefit of said institution. (20 U.S.C. 1022) "Full-time equivalent of the number of part-time students" is determined by dividing the total number of credit hours of part-time students by the student-hour load required by the institution for full-time student standing. "Full-time student" means a student who is carrying a sufficient number of credit hours or their equivalent (including research or special studies) to secure the degree or certificate toward which he is working in no more than the number of semesters or terms normally taken therefor at the institution in which he is enrolled. (20 U.S.C. 1023(a)) "Institution of higher education" means an educational institution in any State which meets all of the following criteria: (a) It admits as regular students only persons having a certificate of graduation from a school providing secondary education, or the recognized equivalent of such a certificate. (b) It is legally authorized within such State to provide a program of education beyond secondary education. (c) It provides at least one of the following types of programs: (1) An educational program for which it awards a bachelor's degree; (2) A program of not less than 2 years which is acceptable for full credit toward a bachelor's degree; (3) A program of not less than 1 year of training to prepare students for gainful employment in a recognized occupation. (d) It is a public or other nonprofit institution. (e) It is either accredited by an organization named in a published list of the Commissioner as a nationally recognized accrediting agency or association or meets at least one of the following requirements: (1) The Commissioner has determined that there is satisfactory assurance, considering the resources available to the institution, the period of time, if any, during which it has operated, the effort it is making to meet accreditation standards, that the institution will meet the accreditation standards of such an agency or organization within a reasonable period of time and that the institution will be deemed to be within this paragraph (e) if the Commissioner determines that there is satisfactory assurance that, upon acquisition of the library resources with respect to which assistance under this part is sought, to be acquired within a reasonable time, the institution will meet the accreditation standards of such agency or association. (2) It is an institution whose credits are accepted, on transfer, by not less than three institutions which are so accredited, for credit on the same basis as if transferred from an institution so accredited. (20 U.S.C. 1026, 1141(a)) "Joint-use library facilities" means those library facilities, services, or materials provided by and for the use of a combination of institutions of higher education. (20 U.S.C. 1024) "Law library materials" means books, periodicals, documents, magnetic tapes, phonograph records, audiovisual materials, cataloging materials, and other printed and published materials which are suitable for inclusion in the law library resources of institutions of higher education and other eligible library institutions and which (with the exception of periodicals and newspapers) with reasonable care and use may be expected to last for more than one year. Such term also includes necessary binding for such printed and published materials, but shall not include equipment and supplies. (20 U.S.C. 1021) "Library materials" means books, periodicals, documents, magnetic tapes, phonograph records, audiovisual materials, cataloging materials, and other printed and published materials which are suitable for inclusion in the library resources of institutions of higher education and other eligible library institutions and which (with the exception of periodicals and newspapers) with reasonable care and use may be expected to last for more than one year. Such terms also include necessary first binding of such printed and published materials, but shall not include equipment or supplies. (20 U.S.C. 1021(c)) "Library purposes," as applied to expenditures, means expenditures for the maintenance and operation of libraries, such as salaries, wages, supplies, materials, and equipment. Such |