california state library library services and …€¦ · the california digital library (cdl) is...

CALIFORNIA STATE LIBRARY LIBRARY SERVICES AND TECHNOLOGY ACT (LSTA) FISCAL YEAR 2016/2017 STATEWIDE GRANT APPLICATION

ELEMENT 1: BASIC INFORMATION (please see application instructions for additional information) Applicant Information 1. Library/Organization 2. Library’s DUNS Number Regents of the Univ. of California, California Digital Library 003-985-512 3. Project Coordinator Name & Title 4. Email Address Adrian Turner, OAC/Calisphere Data Services Manager [email protected] 5. Business Phone Number 510-287-3390 6. Mailing Address PO Box or Street Address City State Zip 415 20th Street, 4th Floor Oakland CA 94612-2901

Project Information

7. Project Title Harvesting California's Bounty, Phase II 8. LSTA Funds Requested $163,320 9. Cash Contributions $0 10. In-Kind $0 11. Total Project Cost $163,320 12. California’s LSTA Goals (Check one goal that best describes the project) Literate California

21st Century Skills 22nd Century Tools

Content Creation/Preservation Bridging the Digital Divide Information Connections

Community Connections Ensuring Library Access for All

13. Number of persons served (Number of persons who use or will benefit directly from this project) 39,155,818

14. Primary Audience for project (Select all that apply.) Adults

Families Immigrants/Refugees Intergenerational Groups (Excluding Families) Library Staff , Volunteers and/or Trustees Low Income Non/Limited English Speaking Persons People with Disabilities People with Limited Functional Literacy

Pre-School Children Rural Populations School Age Children Senior Citizens Statewide Public Suburban Populations Unemployed Urban Populations Young Adults and Teens

15. This signature certifies that I have read and support this LSTA Grant Application.

Library Director Name: Guenter Waibel Title: Executive Director Mailing Address (if different from above) City Zip

Library Director Signature: Date:

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ELEMENT 2: PROJECT BACKGROUND AND SUMMARY

Describe how this project was identified as a need, how it relates to your library’s strategic plan, what will be accomplished if this project is implemented, and how you will know whether your project is successful. Summary should relate to activities in the timeline (Element 4) and include statistical info to support the project. The California Digital Library (CDL) is requesting LSTA support to expedite its work on harvesting metadata for digital collections currently dispersed across a range of library, archive and museum systems. While these collections are currently available online through local websites, they are not readily discoverable at statewide and national network levels. A number of these digital collections were created with the support of LSTA funding; it is important that these collections remain publicly available for the long term. A recent study of digitization projects funded through LSTA in California over the past 20 years reveals that only about 20 percent of the materials digitized are available online. CDL's goal is to aggregate these collections so that they can be broadly discoverable and accessible to the public, through Calisphere and the Digital Public Library of America (DPLA). We view this project as a two-phased initiative over an 18-month project timeline. The startup phase, Phase I, is currently underway and will run until Sept. 2016. This application is for Phase II, to run from Oct. 2016-September 2017. Activities for Phase I include: drawing on a "seed list" of 50 data sources (primarily public and academic libraries) and securing terms of service agreements with these institutions; harvesting as many collections from these institutions as possible; and publishing the harvested collections on Calisphere (and subsequently making them available to DPLA). We estimate harvesting from about 20% of the data sources in Phase I. Phase II will complete the harvesting and publishing work begun in Phase I. Our objective is to secure terms of service agreements from the remaning data sources, establish mechanisms to obtain metadata from their systems, and complete harvesting of their collections. CDL's ability to complete the project's objectives is highly contingent on receiving LSTA funding for this phase. This project relates to the California State Library's LSTA 5-year plan as follows: Goal VI, Information Connections, Program II: Leverage resources for regional/statewide access to physical and digital content and to library services and information, including support for regional partnerships for the benefit of multiple communiities; Goal VI, Program III: Ensure California content is accessible nationally and internationally; Goal III, 22nd Century Tools, Program I: Create and support new digital tolls to provide access to library and/or community content; Goal VIII: Ensuring Library Access for All, Program II: Develop and support public access to state resources and services through special projects, technology, and cooperative library programs; Goal VIII, Program III: Develop and support services and programs that ensure access to library information and resources in geographically challenged areas.

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ELEMENT 3: PLANNING AND EVALUATION

Please answer each area concisely and completely. For section A-F limit to four pages. A. Project Intent (Check only one that best describes the project)

Lifelong Learning Improve users’ formal education Improve users’ general knowledge and skills

Information Access Improve users’ ability to discover information Improve users’ ability to obtain information resources

Institutional Capacity Improve the library workforce Improve the library’s physical and technology infrastructure Improve library’s operations

Economic & Employment Development Improve users’ ability to use resources and apply information for employment support Improve users’ ability to use and apply business resources

Human Services Improve users’ ability to apply information that furthers their personal, family, or household finances Improve users’ ability to apply information that furthers their personal or family health & wellness Improve users’ ability to apply information that furthers their parenting and family skills

Civic engagement Improve users’ ability to participate in their community Improve users’ ability to participate in community conversation around topics of concern

B. Project Purpose – Short statement which answers the questions: we will do what, for whom, for what expected benefit(s).

The California Digital Library is requesting LSTA support to expedite its work on harvesting metadata for digital collections currently dispersed across a range of library, archive and museum systems. These collections are not readily discoverable at statewide and national network levels. Our goal is to aggregate these collections through harvesting and publishing them to Calisphere and DPLA, so they can be broadly discoverable. Phase I of this project is currently underway; in Phase II, the harvesting and publishing work will be completed.

C. Anticipated Project Outputs – Measures of services and/or products to be created/provided. Harvest of collections from 40 data sources (80% of the original "seed list"), upon receipt of their completed terms of

service agreements and receipt of their metadata. Publication of these collections to Calisphere and DPLA

D. Anticipated Project Outcome(s) – What change is expected in the target audience’s skills, knowledge, behavior, attitude, and/or status/life condition? How will you measure these outcomes? (for examples see attachment B of the application instructions)

This is not an outcomes-based project.

E. Briefly describe how this project will be financially supported in the future. The CDL is committed to supporting trusted, stable, production quality, high-availability services such as Calisphere.

The Calisphere site was launched in 2006. It is a long-standing service that is maintained by the Access & Publishing Group's Digital Special Collections team, comprising over 5 full-time staff members providing dedicated support for Calisphere, the Online Archive of California (OAC), and related services.

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Founded by the University of California in 1997, the CDL was established to take advantage of emerging technologies that were transforming the way digital information was being published and accessed. The CDL assumes a leadership role in providing digital content to the citizens of the state, develops systems that encourage resource sharing, and provides for a focus for the development of strategies and initiatives that guide the University's libraries through the transition to the digital future. The CDL itself is a unit within the department of Academic Planning, Programs, and Coordination at the UC Office of the President. It is fundamentally supported through the UC campus assessment fund, including additional ongoing support through the state lottery fund, fee-based services, grants, and other unrestricted funds.

F. Activity Information. Activities are action(s) through which the intent or objective of a project are accomplished. Four activity types have been identified, each with select methods to help you describe how you will carry out this project. Indicate activity types that require a significant commitment of resources to the project (representing 10% or more of total project resources).

1. Instruction - Involves an interaction for knowledge or skill transfer and how learning is delivered or experienced. (Check all that apply and provide a description including whether the format will be in-person, virtual, or both)

Program - Formal interaction and active user engagement (e.g., a class on computer skills). Presentation - Formal interaction and passive user engagement (e.g., an author’s talk), Consultation - Informal interaction with an individual or group of individuals (library staff or other

professional) who provide expert advice or reference services to individuals, units, or organizations. Other

Description:

2. Content - Involves the acquisition, development, or transfer of information and how information is made accessible. (Check all that apply and provide a description including whether the format will be physical, digital, or both)

Acquisition - Selecting, ordering, and receiving materials for library or archival collections by purchase, exchange, or gift, which may include budgeting and negotiating with outside agencies (i.e. publishers, vendors) to obtain resources. May also include procuring software or hardware for the purposes of storing and/or retrieving information or enabling the act of experiencing, manipulating, or otherwise interacting with an information resource.

Creation - Design or production of an information tool or resource (e.g., digital objects, curricula, manuals). Includes digitization or the process of converting data to digital format for processing by a computer.

Description - Apply standardized descriptive information and/or apply such information in a standardized format to items or groups of items in a collection for purposes of intellectual control, organization, and retrieval.

Lending - Provision of a library’s resources and collections through the circulation of materials (general circulation, reserves). May also refer to the physical or electronic delivery of documents from a library collection to the residence or place of business of a library user, upon request.

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Preservation - Effort that extends the life or use life of a living or non-living collection, the individual items or entities included in a collection, or a structure, building or site by reducing the likelihood or speed of deterioration.

Other Description: Harvest of digital collections from about 40 data sources; publication of these collections to Calisphere

and DPLA.

3. Planning & Evaluation - Involves design, development, or assessment of operations, services, or resources and when information is collected, analyzed, and/or disseminated. (Check all that apply and provide a description including whether the format will be in-house or third-party)

Retrospective - Research effort that involves historical assessments of the condition of a project, program, service, operation, resource and/or user group.

Prospective - Research effort that projects or forecasts a future condition of a project, program, service, operation, resource, and/or user group.

Description:

4. Procurement - Acquiring or leasing facilities; purchasing equipment/supplies, hardware/software, or other materials (not content) that support general library infrastructure. (Provide a description)

Description:

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ELEMENT 4: GRANT TIMELINE/ACTIVITIES Show each major project activity and when it will be started and/or completed throughout the project. The timeline should correspond to the activities described in Planning and Evaluation. Please put an X in each pertaining month.

Activity Fiscal Year 2016/2017 Oct Nov Dec Jan Feb Mar Apr May June July Aug Sept Harvest of online collections X X X X X X X X X X X

Publication of harvested collections to Calisphere; make available to DPLA X X X X X X X X X X X

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ELEMENT 5: BUDGET The budget should clearly identify the amounts requested and from what sources.

Budget Category LSTA Cash Contribution

In-Kind Total

Salaries/Wages/Benefits 1) Metadata Harvesting Technician $119,064 $0 $0 $119,064 2) Programmer Analyst $12,135 $0 $0 $12,135 3) OAC/Calisphere Data Services Manager $5,817 $0 $0 $5,817 4) Director $1,626 $0 $0 $1,626 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0

Subtotal $138,642 $0 $0 $138,642 Description: 1) Metadata Harvesting Technician, 100% FTE: stages and manages metadata harvesting routines, including collection setup and configuration, implementation of custom harvesting code, conducting harvests and QA checking; processing harvests for publication; 2) Programmer Analyst, 10% FTE: Provides backup technical support for Metadata Harvesting Technician; 3) OAC/Calisphere Data Services Manager, 5% FTE: Project coordination; 4) Director 1% FTE: Principal investigator and project oversight. Salary figures include benefits.

Equipment ($5,000 or more per unit) $0 $0 $0 $0 $0 $0 $0 $0

Subtotal $0 $0 $0 $0 Description:

Library Materials $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0


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In-Kind Total (B+C+D = E)

Consultant Fees $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0


Travel $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0


Supplies/Other $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0


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In-Kind Total (B+C+D = E)

Contracted Services $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0


Project Total $138,642 $0 $0 $138,642

Indirect Cost Rate Applied 17 .8% Indirect Cost $24,678 $0 $0 $24,678 Check one: No Indirect Federally negotiated indirect cost rate * Indirect proposed cost rate *

* please attach supporting documentation if required Description: Indirect costs include cost for administrative and fiscal staff, workspace, utilities, internet, IT support, office supplies and use of equipment.

Grand Total $163,320 $0 $0 $163,320

ELEMENT 6: ATTACHMENTS If you have additional resources that support your grant, please attach after this page

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ELEMENT 7: INTERNET CERTIFICATION FOR APPLICANT PUBLIC LIBRARIES FY 2016/17 Check the Appropriate Library Type

Public Library Academic K-12 Multi-Type Special/Other

As the duly authorized representative of the applicant public library, public elementary school library or public secondary school library applying for LSTA funding, I hereby certify that the library is (check only one of the following boxes)

A. An individual applicant that is CIPA compliant. The applicant library, as a public library, a public elementary school library or public secondary school library, has complied with the requirements of Section 9134(f)(1) of the Library Services and Technology Act.

B. Representing a group of applicants. Those applicants that are subject to CIPA requirements have certified they are CIPA compliant. All public libraries, public elementary school libraries, and public secondary school libraries, participating in the application have complied with the requirements of Section 9134(f)(1) of the Library Services and Technology Act. The library submitting this application has collected Internet Safety Certifications from all other applicants who are subject to CIPA requirements. The library will keep these certifications on file with other application materials, and if awarded funds, with other project records.

C. Not Subject to CIPA Requirements. The CIPA requirements do not apply because no funds made available under this LSTA grant program will be used to purchase computers used to access the Internet or to pay for direct costs associated with accessing the Internet.

Regents of the Univ. of California, California Digital

Library Harvesting California's Bounty, Phase II Library/Organization Project Name

Guenter Waibel Executive Director Library Director Name Title

Library Director Signature Date file:mcp/lsta/announceapps&instr/1617

COLLEGES AND UNIVERSITIES RATE AGREEMENT

EIN:

ORGANIZATION:

University of California (UCOP) Office of the President 1111 Franklin St., #10310 Oakland, CA 94607-5200

DATE:11/20/2015

FILING REF.: The preceding agreement was dated 02/04/2011

The rates approved in this agreement are for use on grants, contracts and other agreements with the Federal Government, subject to the conditions in Section III.

SECTION I: INDIRECT COST RATES RATE TYPES: FIXED FINAL PROV. (PROVISIONAL) PRED. (PREDETERMINED)

EFFECTIVE PERIOD

TYPE FROM 1:Q RATE(%} LOCATION APPLICABLE IO

FINAL 07/01/2009 06/30/2010 20. 00 On-Campus All Programs

FINAL 07/01/2009 06/30/2010 7. 80 Off-Campus All Programs

PRED. 07/01/2010 06/30/2011 20. 00 On-Campus All Programs

PRED. 07/01/2010 06/30/2011 7. 80 Off-Campus All Programs

PRED. 07/01/2011 06/30/2014 17. 80 On-Campus All Programs

PRED. 07/01/2011 06/30/2014 9. 30 Off-Campus All Programs

PROV. 07/01/2014 06/30/2016 17. 80 On-Campus All Programs

PROV. 07/01/2014 06/30/2016 9. 30 Off-Campus All Programs

*BASE

Modified total direct costs, consisting of all direct salaries and wages, applicable fringe benefits, materials and supplies, services, travel and up to the first $25,000 of each subaward (regardless of the period of performance of the subawards under the award). Modified total direct costs shall exclude equipment, capital expenditures, charges for patient care, rental costs, tuition remission, scholarships and fellowships, participant support costs and the portion of each subaward in excess of $25,000 . Other items may only be excluded when necessary to avoid a serious inequity in the distribution of indirect costs, and with the approval of the cognizant agency for indirect costs.

Page 1 of 5 022342

ORGANIZATION: University of California (UCOP) Office of the President

AGREEMENT DATE, 11/20/2015

SECTION I: FRINGE BENEFIT RATES**

nil FIXED

FROM

12/1/2015

1'.Q

6/30/2017

RATE(%) LOCATION

35. 20 All

** DESCRIPTION OF FRINGE BENEFITS RATE BASE:

APPLICABLE TO All Employees

Salaries and wages excluding vacation, holiday, sick leave pay and other paid absences.

Page 2 of 5


AGREEMENT DATE: 11/20/2015

SECTION II: SPECIAL REMARKS

TREATMENT OF FRINGE BENEFITS:

Prior to 12/1/2015, the fringe benefits were specifically identified to each employee and were charged individually as direct costs. Effective 12/1/2015, the fringe benefits are charged using the rate(s) listed in the Fringe Benefits Section of this Agreement. The fringe benefits included in the rate(s) are listed on the next page.

TREATMENT OF PAID ABSENCES

Vacation, holiday, sick leave pay and other paid absences are included in salaries and wages and are claimed on grants, contracts and other agreements as part of the normal cost for salaries and wages. Separate claims are not made for the cost of these paid absences.

Page 3 of 5



DEFINITION OF EQUIPMENT Equipment is defined as tangible nonexpendable personal property having a useful life of more than one year and an acquisition cost of $5,000 or more per unit.

DEFINITION OF ON-CAMPUS AND OFF-CAMPUS RATES DEFINITION OF OFF-CAMPUS RATE The off-campus rate is applicable to those projects conducted at facilities not owned or leased by the University. However, if the project is conducted in leased space and lease costs are directly charged to the project, then the off-campus rate must be used.

PROJECTS CONDUCTED ENTIRELY ON-CAMPUS OR ENTIRELY OFF-CAMPUS: Projects conducted entirely on-campus or entirely off-campus will be applied the on-campus or off-campus rate respectively.

PROJECTS CONDUCTED PARTIALLY OFF-CAMPUS AND PARTIALLY ON-CAMPUS: If the project involves work at both on-campus and off-campus sites, either the on-campus or off-campus rate generally should be applied, consistent with where the majority of the work is to be performed. Salary cost is generally accepted as a measure of work performed in terms of the total project.

USE OF BOTH ON-CAMPUS AND OFF-CAMPUS RATES The use of both on-campus and off-campus rates for a given project may be justified if both of the respective rates can clearly be identified with a significant portion of salaries and wages of the project. For purposes of this provision, significant is defined as approximately 25% or more of the total costs and a project's total salary and wages costs exceed $250,000.

Effective December 1, 2015, the following fringe benefits are included in the fringe benefit rate(s): BENEFITS ADMINISTRATION, DENTAL, DISABILITY, LIFE, MEDICAL, UNEMPLOYMENT, VISION, AND WORKERS' COMPENSATION INSURANCE, EMPLOYEE SUPPORT PROGRAMS, FICA AND MEDICARE TAX, INCENTIVE AWARD PROGRAMS, AND RETIREMENT BENEFITS.

NEXT PROPOSAL DUE DATE A Fringe Benefit rate proposal based on actual costs for fiscal year ending 06/30/16, will be due no later than 12/31/16.

Page 4 of 5



SECTION III: GENERAL

A. LIMITATIONS· The rates in this Agreement are subject to any statutory or administrative limitations and apply to a given grant, contract or other agreement only to the extent that funds are available. Acceptance of the rates is subject to the following conditions : (1) Only costs incurred by the organization were included in its facilities and administrative cost pools as finally accepted: such costs are legal obligations of the organization and are allowable under the governing cost principles; (2) The same costs that have been treated as facilities and administrative costs are not claimed as direct costs; (3) Similar types of costs have been accorded consistent accounting treatment; and (4) The information provided by the organization which was used to establish the rates is not later found to be materially incomplete or inaccurate by the Federal Government. In such situations the rate(s) would be subject to renegotiation at the discretion of the Federal Government.

B. ACCOUNTING CHANGES· This Agreement is based on the accounting system purported by the organization to be in effect during the Agreement period . Changes to the method of accounting for costs which affect the amount of reimbursement resulting from the use of this Agreement require prior approval of the authorized representative of the cognizant agency. Such changes include, but are not limited to, changes in the charging of a particular type of cost from facilities and administrative to direct . Failure to obtain approval may result in cost disallowances.

C. FIXED RATES· If a fixed rate is in this Agreement, it is based on an estimate of the costs for the period covered by the rate. When the actual costs for this period are determined, an adjustment will be made to a rate of a future year(s) to compensate for the difference between the costs used to establish the fixed rate and actual costs.

D. USE BY OTHER FEDERAL AGENCIES· The rates in this Agreement were approved in accordance with the authority in Title 2 of the Code of Federal Regulations, Part 200 (2 CFR 200), and should be applied to grants, contracts and other agreements covered by 2 CFR 200, subject to any limitations in A above. The organization may provide copies of the Agreement to other Federal Agencies to give them early notification of the Agreement.

E. OTHER.:.

If any Federal contract, grant or other agreement is reimbursing facilities and administrative costs by a means other than the approved rate(s) in this Agreement, the organization should (1) credit such costs to the affected programs, and (2) apply the approved rate(s) to the appropriate base to identify the proper amount of facilities and administrative costs allocable to these programs .

BY THE INSTITUTION:

University of California (UCOP) Office of the President

(INSTITUTION)

"7{,l;:L Nathan Brostrom

(NAME)

EVP-Chief Financial Officer (TITLE)

(DATE)

Page 5 of 5

ON BEHALF OF THE FEDERAL GOVERNMENT:

DEPARTMENT OF HEALTH AND HUMAN SERVICES

(AGENCY)

Arif M. Karim -5 Olgltilly1ignrdbyArilM.IWlm·S ON: c-US, o•U5. GoYffl'lfflfflt. ou•HHS, ov•PSC. «N•P~pko. en-Arif M. Karim .5, 0.9.21•2.19200300.100.1.1•2000212895 Dlte: 2015.11.23 09:56:26-<>6'00'

(SIGNATURE)

Arif Karim (NAME)

Director, Cost Allocation Services

(TITLE)

11/20/2015

(DATE) 2342

HHS REPRESENTATIVE: Janet Turner

Telephone: (415) 437-7820

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