FY2019 Museum Empo FY2019 Museum Empowered NOFO

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Museums Empowered

FY 2019 NOTICE OF FUNDING OPPORTUNITY

Table of Contents

Home

1. Program Description

2. Federal Award Information

3. Eligibility Information

4. Application and Submission Information

5. Application Review Information

6. Award Administration Information

7. Contacts

8. Other Information

Appendix One - IMLS Assurances and Certifications

Appendix Two – Required Federal Systems

Appendix Three - Performance Measure Statements and Information to be Collected and Reported

Appendix Four – Explanation of Forms for Reference

Appendix Five – IMLS Products Guidance

Appendix Six – Conflict of Interest Requirements

Museums Empowered

FY 2019 NOTICE OF FUNDING OPPORTUNITY

Federal Awarding Agency:	Institute of Museum and Library Services
Funding Opportunity Title:	Museums Empowered
Announcement Type:	Notice of Funding Opportunity
Funding Opportunity Number:	ME-FY19
Catalog of Federal Financial Assistance (CFDA) Number:	45.301
Due Date:	Submit through Grants.gov by 11:59 p.m. U.S. Eastern Time on December 15, 2018.
Anticipated Date of Notification of Award Decisions:	September 2019 (subject to the availability of funds and IMLS discretion)
Beginning Date of Period of Performance:	Not earlier than October 1, 2019. Projects must begin on October 1, November 1, or December 1, 2019.

Equal Opportunity

IMLS-funded programs do not discriminate on the basis of race, color, national origin, sex, disability, or age. For further information, email the Civil Rights Officer at CivilRights@imls.gov or write to the Civil Rights Officer, Institute of Museum and Library Services, 955 L’Enfant Plaza North, SW, Suite 4000, Washington, DC, 20024-2135.

A. Program Description

A1. What is this special initiative?

The goal of Museums for America (MFA) grants is to support projects that strengthen the ability of an individual museum to serve its public. Museums Empowered: Professional Development Opportunities for Museum Staff is a special MFA initiative with the goal of strengthening the ability of an individual museum to serve its public through professional development activities that cross-cut various departments to generate systemic change within the museum.

As centers of innovation and discovery, as well as catalysts of community revitalization, museums are at the forefront of change in our communities. Like any other institution, museums need to remain dynamic to respond to fast-evolving technological advances and changing demographics. Museums also need to generate and share outcomes-based data and demonstrate results of their community impact efforts. In addition they need to develop sustainable organizational structures and strategies for continued growth and vitality. Professional development is critical for museums to deliver on these areas of need.

IMLS encourages applicants to invest in the professional development of museum staff, leadership, and volunteers to enhance their skills and ensure the highest standards in all aspects of museum operations. This includes, but is not limited to, creating opportunities to encourage a more inclusive and diverse museum professional and volunteer workforce, and building the skills of museum staff at all levels with emphasis on the development of the next generation of museum professionals.

To support and empower museums of all sizes and disciplines in responding to the evolving needs of the museum profession and changes in their communities, this MFA special initiative has four project categories for professional development:

• Digital Technology: for museum staff to fully explore, understand, adopt, and optimize the use of digital technology in museums

• Diversity and Inclusion: for museum staff to develop cultural competency and support museum relevancy in their communities

• Evaluation: to expand museum staff’s capacity in conducting formative and summative evaluation of programs, practices, and products that can help the museum yield indicators and measurable outcomes

• Organizational Management: for museum staff to learn best practices in organizational management, strategic thinking, innovation, and managing change

Potential projects will address one of these four project categories and help strengthen the ability of an individual museum to better serve its public. Projects will utilize comprehensive strategies and frameworks to support professional development. Projects should cross-cut various departments and result in systemic change within the museum.

Projects may be structured at any of several stages of maturity: exploratory, piloting, scaling, or going mainstream. A proposed project’s activities may be brand new to the institution, or they may implement learnings, perspectives, or competencies acquired during a previous project. A project may be an effort to intensify the impact of an approach that has been tested and found to be effective, or it may be structured as an opportunity to expand a function or activity that has been deemed successful.

A2. What are indicators of successful projects?

Indicators (characteristics) of successful Museums Empowered projects are as follows:

• Institutional Impact: The project strengthens the ability of an individual museum to serve its public through professional development activities that cross-cut various departments to generate systemic change within the museum.

• In-depth Knowledge: The project design reflects a thorough understanding of current practice and knowledge about the subject matter.

• Project-based Design: The work plan consists of a set of logical, interrelated activities tied directly to addressing the key need or challenge identified in the application.

• Demonstrable Results: The project generates measurable results that tie directly to the need or challenge it was designed to address.

A3. What are the IMLS Agency-Level Goals?

The mission of the Institute of Museum and Library Services (IMLS) is to inspire libraries and museums to advance innovation, lifelong learning, and cultural and civic engagement. We provide leadership through research, policy development, and grant making.

U.S. museums and libraries are at the forefront in the movement to create a nation of learners. As stewards of cultural and natural heritage with rich, authentic content, libraries and museums provide learning experiences for everyone. In FY2018-2022, each award under this initiative will support one of the following three goals of the IMLS strategic plan, Transforming Communities:

• Promote Lifelong Learning: IMLS supports learning and literacy for people of all ages through museums and libraries.

• Build Capacity: IMLS strengthens the capacity of museums and libraries to improve the well-being of their communities.

• Increase Public Access: IMLS makes strategic investments that increase access to information, ideas, and networks through libraries and museums.

The goals focus on achieving positive public outcomes for communities and individuals; supporting the unique role of museums and libraries in preserving and providing access to collections and content; and promoting library, museum, and information service policies that ensure access to information for all Americans.

IMLS places importance on diversity and inclusion. This may be reflected in a project in a wide range of ways, including efforts to serve individuals of diverse geographic, cultural, and socioeconomic backgrounds; persons with disabilities; persons with limited functional literacy or information skills; individuals having difficulty using a library or museum; underserved urban and rural communities; and children from families with incomes below the poverty level. This may also be reflected in efforts to recruit future professionals in the library or museum fields as well as strategies in building or enhancing access to collections and information.

A4. What are the project categories?

There are four project categories within this special initiative. Your project must align with one of them.

Digital Technology

IMLS supports the work of museums in adopting and adapting the use of existing and emerging digital technology to transform audience engagement, collections care and management, communication, and general operations. Recognizing the transformative and pervasive nature of digital technology, IMLS welcomes applications to develop training and professional development learning opportunities for museum staff to fully explore, understand, and optimize the use of digital technology in museums.

Projects may be introductory, intermediate, or advanced in nature depending on the size and needs of the applicant institution. Projects should reference current research, incorporate best practices, and use models with proven outcomes.

Projects may include, but are not limited to, the following activities:

• Training programs for museum staff to become more effective and efficient users of digital technology

• Developing fellowships, internships, and mentoring programs to attract and retain a tech-savvy workforce and cross-train museum staff

• Developing strategies and enhancing staff capacity to use digital technology, such as social media, for audience engagement and community outreach

• Hosting workshops with experts, thought-leaders, and practitioners in the digital technology field to help museum staff address a specific issue facing the museum

• Building staff capacity to enable optimal use and development of open source educational products, services, and programs, such as open educational resources (OERs), massive open online courses (MOOCs), apps/applications, and games

• Exploring and adopting new ways to expand digital access to collections by training staff in emerging technologies such as 3D objects, virtual reality, augmented reality, digital archiving, or crowd-sourcing models

• Developing institutional digital strategies to leverage big data and provide the training and support for staff to sustain and maintain open data resources

Diversity and Inclusion

IMLS supports the work of museums in engaging with communities and providing inclusive services to people of diverse geographic, cultural, and socioeconomic backgrounds and to individuals with disabilities. Recognizing the changing demographics across the nation, IMLS welcomes applications for staff professional development and museum capacity building projects that increase cultural competency within a museum and support relevancy through projects that connect, engage, and strengthen the museum’s ties with diverse communities.

Projects may be introductory, intermediate, or advanced in nature depending on the size and needs of the applicant institution. Projects should reference current research, incorporate best practices, and use models with proven outcomes.

Projects may include, but are not limited to, the following activities:

• Developing and implementing recruitment and retention programs (e.g., webinars, workshops, or outreach materials) designed to attract and retain a diverse and inclusive workforce working with community or educational partners

• Building the capacity of museum staff to develop, support, and sustain inclusive fellowship, internship, and mentoring programs to attract diverse emerging professionals

• Training for museum staff in effective engagement strategies to raise early awareness of and interest in museum careers with middle and high school students from diverse backgrounds

• Enhancing the skills and ability of museum staff to develop and deliver inclusive programs and outreach activities to engage with diverse audiences

• Participating in immersive cultural competency opportunities and exchanges by actively working with local, state, national or global organizations that are advancing multi-cultural efforts

• Training in proactive and sustained community outreach and engagement strategies such as immersive experiences through community-based fellowships

• Hosting workshops with experts, thought-leaders and practitioners in the diversity and inclusion field to help museum staff address a specific issue facing the museum

• Developing and strengthening competencies among staff to revise and implement institutional plans such as a strategic plan, interpretive plan, and/or collections plan to incorporate diversity and inclusion objectives

Evaluation

IMLS supports the use of robust formative and summative evaluation of museum programs, practices, and products to help museums best serve their intended audiences and demonstrate their impact to stakeholders. Recognizing the many challenges and resources needed to develop and sustain an evaluation program, IMLS welcomes applications that will help a museum expand its evaluation capacity by providing training and professional development opportunities in audience research and evaluation for museum staff.

Projects may use new tools, software, training, or consultants to develop a strong and integrated museum evaluation program. Evaluation activities should incorporate both quantitative and qualitative data, indicators, and impact. Projects should reference current research, incorporate best practices, and use models with proven outcomes.

Projects may include, but are not limited to, the following activities:

• Implementing training programs for museum staff on evaluation tools, strategies and techniques customized to address a specific institutional or audience need

• Developing and strengthening competencies among staff in formative evaluation techniques that will help shape museum programs and exhibits

• Developing and strengthening competencies among staff in summative evaluation techniques that will help measure the impact of museum programs and exhibits

• Developing and strengthening competencies among staff to establish baseline data for a museum evaluation program through audience research, needs assessment, gap analysis, and/or bench marking

• Building staff capacity to create a robust museum evaluation program by developing logic-models and frameworks to differentiate between output-focused and outcomes-based data

• Developing and strengthening competencies among staff to support the assessment and evaluation of community engagement museum programs and activities using approaches, models, and/or partnerships from within the collective impact field

• Building staff capacity to access and use open source software, open data, and online tools in evaluation

• Hosting workshops with experts in the evaluation field to help museum staff develop solutions to a specific issue of concern or challenge facing the museum

• Building staff capacity to develop an institution-wide evaluation framework that integrates impact, assessment and learning strategies

Organizational Management

IMLS supports museums’ efforts to develop resilient organizations with the goal of long-term sustainability and relevancy. IMLS welcomes applications to develop training and professional development opportunities for museum staff to learn best practices in organizational management, strategic thinking, embracing innovation, and managing change in order to foster continued growth, relevancy, and vitality.

Projects may use replicable models within the museum field as well as look beyond the museum field for transferrable techniques and strategies to build the capacity of the museum and support its long-term sustainability. Projects should reference current research, incorporate best practices, and use models with proven outcomes.

Projects may include, but are not limited to, the following activities:

• Creating a more resilient workforce through training programs for museum staff on topics such as project management, strategic thinking, and managing change

• Creating a more innovative workforce through training programs for museum staff on topics such as design-thinking, human-centered design, and rapid prototyping

• Supporting executive coaching opportunities in a museum context

• Fostering a business mindset among museum staff to assess, evaluate, and adopt current business practices in order to identify areas for improvement or to respond to new opportunities

• Building skills in data analysis using both institutionally generated and publicly available data to inform decision-making for program development and business planning

• Building staff capacity to develop a succession plan for key staff positions

• Holding workshops with experts and thought-leaders in the field of organizational management to help museum staff develop solutions to a specific issue facing the museum

• Supporting the growth and development of museum staff in the process of revising a strategic plan supported with measurable outcomes and a continuous improvement plan

Click here for samples of recently funded applications in the Museums Empowered special initiative.

A5. Where can I find examples of projects funded by this initiative?

Click here to search awarded grants by program, category, and/or key word.

A6. Where can I find the authorizing statute and regulations for this funding opportunity?

Statute: 20 U.S.C. § 9101 et seq.; in particular, § 9173 (Museum services activities).

Regulations: 45 C.F.R. ch. XI and 2 C.F.R. ch. XXXI

Note: You are required to follow the IMLS regulations that are in effect at the time of the award.

Note: The Office of Management and Budget (OMB) guidance on Uniform Administrative Requirements,

Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance) can be found at 2 C.F.R. pt. 200. With certain IMLS-specific additions, IMLS regulations at 2 C.F.R. pt. 3187 formally adopt the 2 C.F.R. pt. 200 Uniform Guidance.

B. Federal Award Information

Total amount of funding expected to be awarded through this announcement	$2,000,000
Anticipated number of awards	28
Average amount of funding per award experienced in previous years	$71,428
Anticipated start dates for new awards	Not earlier than October 1, 2019. Projects must begin on October 1, November 1, or December 1, 2019.
Anticipated period of performance	October 1, 2019–September 30, 2022. Project activities may be carried out for one to three years.
Type of assistance instrument	Grant

The funding in the above Federal Award Information table is subject to the availability of funds and IMLS discretion. IMLS is not bound by any estimates in this announcement.

Applications for renewal or supplementation of existing projects are not eligible to compete with applications for new awards.

Contingent upon the availability of funds, the quality of applications, and IMLS discretion, IMLS may make additional awards from the list of unfunded applications from this competition.

C. Eligibility Information

C1. What are the eligibility requirements for this initiative?

To be eligible for an award under this Notice of Funding Opportunity, you must be an organization that meets all three of the following criteria:

1. You must be either a unit of State or local government or be a private, nonprofit organization that has tax-exempt status under the Internal Revenue Code;

2. You must be located in one of the 50 States of the United States of America, the District of Columbia, the Commonwealth of Puerto Rico, the U.S. Virgin Islands, Guam, American Samoa, the Commonwealth of the Northern Mariana Islands, the Republic of the Marshall Islands, the Federated States of Micronesia, or the Republic of Palau; and

3. You must qualify as one of the following:

1. A museum that, using a professional staff, is organized on a permanent basis for essentially educational or aesthetic purposes; owns or uses tangible objects, either animate or inanimate; cares for these objects; and exhibits these objects to the general public on a regular basis through facilities that it owns or operates.

1. What types of institutions are included in the term “museum”? If they otherwise meet these requirements, “museums” include, but are not limited to, aquariums, arboretums, art museums, botanical gardens, children’s/youth museums, general museums (those having two or more significant disciplines), historic houses/sites, history museums, natural history/anthropology museums, nature centers, planetariums, science/technology centers, specialized museums (limited to a single distinct subject), and zoological parks.

2. What does it mean to be “using a professional staff”? An institution uses a professional staff if it employs at least one staff member, or the full-time equivalent, whether paid or unpaid, primarily engaged in the acquisition, care, or exhibition to the public of objects owned or used by the institution.

3. What does it mean to “exhibit the objects to the general public”? An institution exhibits objects to the general public if such exhibition is a primary purpose of the institution. An institution that exhibits objects to the general public for at least 120 days a year is deemed to exhibit objects to the general public on a regular basis.

An institution which does not have the exhibition of objects as a primary purpose and/or does not exhibit objects to the public for at least 120 days a year may be determined to be eligible as a museum under certain circumstances. For more information, please see 2 C.F.R. § 3187.3.

2. A public or private nonprofit agency that is responsible for the operation of a museum that meets the eligibility criteria in 1, 2, and 3(a), applying on behalf of the museum.

If my museum is located within a parent organization, can my museum apply on its own?

A museum located within a parent organization that is a State or local government or multipurpose nonprofit entity, such as a municipality, university, historical society, foundation, or cultural center, may apply on its own behalf if the museum:

• is able to independently fulfill all the eligibility requirements listed in the above three criteria;

• functions as a discrete unit within the parent organization;

• has its own fully segregated and itemized operating budget; and

• has the authority to make the application on its own.

When any of the last three conditions cannot be met, a museum may only apply through its parent organization.

Is a nonprofit organization eligible if it is affiliated with a museum?

IMLS may determine that a nonprofit organization that is affiliated with a museum is eligible for this initiative where the organization can demonstrate that it has the ability to administer the project and can ensure compliance with the terms of this Notice of Funding Opportunity and the applicable law, including the IMLS Assurances and Certifications. The applicant organization must submit an agreement from the museum that details the activities that the applicant and museum will perform and binds the museum to the statements and assurances made in the grant application.

Native American tribal organizations may apply if they otherwise meet the above eligibility requirements.

Note: Please consult Section D below to see if there is any documentation that must be submitted to support an eligibility determination (for example, proof of private, nonprofit institution status as determined by the Internal Revenue Service).

C2. What are the cost-sharing requirements for this initiative?

For the Museums Empowered initiative, at least 1:1 cost share from non-federal sources is required. Cost sharing that appears in your project budget should be carefully calculated. Grantees are expected to meet their cost share commitments.

Click here for further information on cost sharing.

C3. Other Information

C3a. How many applications can we submit under this announcement?

There is no limit to the number of applications your museum may submit to this announcement.

C3b. What if our organization fails to meet an eligibility criterion by the time of the application deadline?

IMLS will not review applications from ineligible applicants. We will notify you if your application will not be reviewed because your organization is determined to be ineligible.

C3c. What if our organization fails to meet an eligibility criterion at the time of award?

IMLS will not make awards to ineligible applicants. In order to receive an IMLS award, your organization must be eligible, be in compliance with applicable requirements, and be in good standing on all active IMLS awards.

D. Application and Submission Information

D1. How can we find the application package?

This announcement contains all application materials needed to apply. Use one of the following identifiers to locate the application package in Grants.gov:

• CFDA No. 45.301, or

• Funding Opportunity Number: ME-FY19

D1a. Can we request an audio recording of this announcement?

Yes, call 202-653-4744 to request it.

D1b. Can we request a paper copy of this announcement?

Yes, call 202-653-4744 to request it.

Persons with hearing difficulty are welcome to use Teletype (TTY/TDD) 202-653-4614.

D2. What content and forms are required to make a complete application?

The Table of Application Components below will help you prepare a complete application. You will find links to more information and instructions for each application component in the table. Applications missing any Required Documents or Conditionally Required Documents from this list will be considered incomplete and may be rejected from further consideration. (See 2 C.F.R. §3187.9.)

D2a. Table of Application Components

Component	Format	File name to use
Required Documents Please see the guidance in Section D2c for more information.
The Application for Federal Domestic Assistance/Short Organizational Form (SF-424S)	Grants.gov form	n/a
Abstract (one page max.)	PDF document	Abstract.pdf
IMLS Program Information Sheet	IMLS PDF form	Programinfo.pdf
Organizational Profile (one page max.)	PDF document	Organizationalprofile.pdf
Strategic Plan Summary (two pages max.)	PDF document	Strategicplan.pdf
Narrative (seven pages max.)	PDF document	Narrative.pdf
Schedule of Completion (one page per year max.)	PDF document	Scheduleofcompletion.pdf
IMLS Budget Form	IMLS PDF form	Budget.pdf
Budget Justification	PDF document	Budgetjustification.pdf
List of Key Project Staff and Consultants (one page max.)	PDF document	Projectstaff.pdf
Resumes of Key Project Staff and Consultants who appear on the list above (two pages each max.)	PDF document	Resumes.pdf
Digital Product Form	IMLS PDF document	Digitalproduct.pdf
Conditionally Required Documents Please see the guidance in Section D2d for more information.
Proof of Private, Nonprofit Status	PDF document	Proofnonprofit.pdf
Final Federally Negotiated Indirect Cost Rate Agreement	PDF document	Indirectcostrate.pdf
Supporting Documents Please see the guidance in Section D2e for more information.
Information that supplements the narrative and supports the project description provided in the application	PDF document	Supportingdoc1.pdf Supportingdoc2.pdf Supportingdoc3.pdf

D2b. How should we format, name, and sequence the application components?

Document format: Aside from the SF-424S, which is created in Grants.gov Workspace, all application components must be submitted as PDF documents.

Page limits: Note page limits listed in the table above. We will remove any pages over the limit, and we will not send them to reviewers as part of your application.

Naming convention: Use the naming conventions indicated in the table above. IMPORTANT: You are limited to using the following characters in all attachment file names: A-Z, a-z, 0-9, underscore (_), hyphen (-), space, period. If you use any other characters when naming your attachment files, your application may be rejected.

Attachment order: In Grants.gov, attach all application components in the sequence listed in the table above. Use all available spaces in the “Attachments Form” first. Attach any additional application components using the “Other Attachment File(s)” boxes.

Complete applications: Use the table above as a checklist to ensure that you have created and attached all necessary application components.

D2c. Instructions for Required Documents

1. The Application for Federal Domestic Assistance/Short Organizational Form (SF-424S)

The SF-424S is part of the application package that you complete in the Grants.gov Workspace. Click here for instructions on completing the SF-424S.

2. Abstract

Write this one-page document in a concise narrative format for experts as well as a general audience, and save it as a PDF. If your proposal is selected for funding, the Abstract may be published online, or otherwise shared, by IMLS. As such, it must not include any sensitive, proprietary, or confidential information.

Address the following:

• Identify the lead applicant and, if applicable, any collaborators.

• Describe the need, problem, or challenge your project will address, and how it was identified.

• List the high-level activities you will carry out and identify the associated time frame.

• Identify who or what will benefit from your project.

• Specify your project’s intended results.

• Describe how you will measure your success in achieving your intended results.

3. IMLS Program Information Sheet

Download and complete the IMLS Program Information Sheet (PDF, 1.4MB). Click here for instructions on completing the IMLS Program Information Sheet.

4. Organizational Profile

Create a one-page Organizational Profile, addressing the following, and save it as a PDF.

• Your organization’s mission or statement of purpose, noting the source, approving body, and date of the official document in which it appears.

• Your service area (communities and/or audiences served, including size, demographic characteristics, and geographic area).

• A brief history of your organization, focusing on the unit that will be directly involved in carrying out the work.

If your proposal is selected for funding, the Organizational Profile may be published online, or otherwise shared, by IMLS. As such, it must not include any sensitive, proprietary, or confidential information.

5. Strategic Plan Summary

Write a two-page summary of your organization’s strategic plan as context for linking your project to your institutional goals and objectives. Please do not submit a copy of your organization’s entire strategic plan. Indicate when and by whom the plan was approved. Save this document as a PDF.

If your proposal is selected for funding, the Strategic Plan Summary may be published online, or otherwise shared, by IMLS. As such, it must not include any sensitive, proprietary, or confidential information.

6. Proposal Narrative

Write a Narrative that addresses the questions listed under each section heading, and save it as a PDF.

• Limit the Narrative to seven numbered pages. We will remove any additional pages, and we will not send them to reviewers as part of your application.

• Consider each Narrative question and be mindful of each section’s review criteria.

• Be clear and concise with a minimum of technical jargon and acronyms.

• Include references throughout your Narrative to any Supporting Documents that help make your case.

• Make sure your organization’s name appears at the top of each page.

• Use at least 0.5-inch margins on all sides and a font size of at least twelve points.

• If your proposal is selected for funding, the Narrative may be published online, or otherwise shared, by IMLS. As such, it must not include any sensitive, proprietary, or confidential information.

Organize your Narrative using the section headings: Project Justification, Project Work Plan, and Project Results.

1. Project Justification

• What do you propose to do?

• What need, problem, or challenge will your project address, and how was it identified?

• Who or what will benefit from your project?

• How will your project advance your institution’s strategic plan?

• How will your project address the goals of the Museums Empowered initiative (as described above in Section A, in particular A1) to strengthen the ability of an individual museum to serve its public through professional development activities that cross-cut various departments to generate systemic change within the museum?

• How will your project align with one of the four project categories: Digital Technology, Diversity and Inclusion, Evaluation, or Organizational Management?

Review Criteria:

• Is the project clearly explained?

• Is the need, problem, or challenge to be addressed clearly identified and supported by relevant evidence?

• Are the stakeholders and/or people who will benefit from the project clearly identified, and have they been involved in planning the project?

• Are the ways in which this project advances the institution’s strategic plan specific, actionable, and measurable?

• Will the project activities cross-cut various departments to generate systemic change within the museum?

• Will the project align with one of the four Museums Empowered project categories: Digital Technology, Diversity and Inclusion, Evaluation, or Organizational Management?

2. Project Work Plan

• What specific activities, including evaluation and performance measurements, will you carry out?

• What is your project’s maturity level (i.e. exploratory, piloting, scaling, or going mainstream)? For more information, please see Section A1 and “Assessing Project Maturity Levels” (insert link).

• What are the risks to the project and are they accounted for in the work plan?

• Who will plan, implement, and manage your project?

• When and in what sequence will your activities occur?

• What time, financial, personnel, and other resources will you need to carry out the activities?

• How will you track your progress toward achieving your intended results?

• How and with whom will you share your project’s results?

Review Criteria:

• Are the proposed activities informed by appropriate theory and practice?

• Do the proposed activities appropriately reflect the project’s maturity level?

• Are the goals, assumptions, and risks clearly stated?

• Are the proposed evaluation activities and performance measurements appropriate for the project? Will they result in valid, reliable, and generalizable findings?

• Do the identified staff, partners, consultants, and service providers possess the experience and skills necessary to complete the work successfully?

• Is the schedule of work realistic and achievable?

• Are the time, financial, personnel, and other resources identified appropriate for the scope and scale of the project?

• Is a clear methodology described for tracking the project’s progress and adjusting course when necessary?

• Is there an effective plan for communicating results and/or sharing discoveries?

3. Project Results

• Referring to the Agency-Level Goal selected on the Program Information Sheet prepared for your application (i.e. Promote Lifelong Learning or Build Capacity), review the Performance Measure Statements appropriate for your project and describe how you will collect and report the corresponding data.

• Referring to your Project Justification, describe your project’s intended results that will address the need, problem, or challenge you have identified. These may be in addition to, but not instead of, the Performance Measure Statements referenced in Appendix Three.

• How will the knowledge, skills, behaviors, and/or attitudes of the intended audience change as a result of your project?

• How will the institution’s internal capacity be strengthened as a result of your project?

• What tangible products will result from your project?

• How will you sustain the benefit(s) of your project?

Review Criteria:

• Is the plan for collecting and reporting data corresponding to the Performance Measure Statements selected for the project well designed and feasible?

• Are the project’s intended results clearly articulated, realistic, meaningful, actionable, and linked to the need, problem, or challenge addressed by the project?

• Is the plan to effect meaningful change in knowledge, skills, behaviors, and/or attitudes solidly grounded and appropriately structured?

• Will the tangible products be useful?

• Is there a reasonable and practical plan for sustaining the benefits of the project beyond the conclusion of this award?

Please be advised that reviewers may also choose to visit your organization's website, as listed on the SF-424S form provided with your application.

7. Schedule of Completion

The Schedule of Completion should reflect each major activity identified in your application narrative and the project dates identified on the SF-424S and the IMLS Budget Form. It should show when each major project activity will start and end. The schedule must be no longer than one page per project year. See the sample schedule of completion below. Save this document as a PDF.

If your proposal is selected for funding, the Schedule of Completion may be published online, or otherwise shared, by IMLS. As such, it must not include any sensitive, proprietary, or confidential information.

8. IMLS Budget Form

Download and complete the current IMLS Budget Form (PDF, 1.1MB). Click here for instructions on completing the budget form. Java Script must be enabled in your web browser.

9. Budget Justification

Write a Budget Justification to identify each expense and show the method of cost computation used to determine each dollar amount, including any that you may have consolidated and summarized on the IMLS Budget Form. Save this document as a PDF. Click here for detailed instructions.

10. List of Key Project Staff and Consultants

Write a one-page list of only those staff and consultants whose expertise is essential to the success of the project and save it as a PDF. Do not list all staff involved in the project. If you cannot identify key project staff by the application deadline, then list the position title instead. This list must include the Project Director listed in Item 7 of the SF-424S.

11. Resumes of Key Project Staff and Consultants Who Appear on the List Above

Provide a resume of no more than two pages for each individual identified on the List of Key Project Staff and Consultants. Save all the resumes in a single PDF. If you cannot identify key project staff by the application deadline, then provide a position description that identifies the qualities, range of experience, and education necessary to successfully implement and complete project activities.

12. Digital Product Form

IMLS defines digital products very broadly as digital content, resources, assets, software, and/or datasets. Click here for Guidance for Projects that Develop Digital Products.

Download and review the Digital Product Form (PDF, 45 KB; Word, 27.1 KB). Your application must contain a completed Digital Product Form, or it will be considered incomplete and may be rejected from further consideration. (See 2 C.F.R. §3187.9.)

• If your project will not generate digital products, check the box at the beginning of the form.

• If your project will generate digital products, complete all relevant parts of the form.

If your proposal is selected for funding, the Digital Product Form may be published online, or otherwise shared, by IMLS. As such, it must not include any sensitive, proprietary, or confidential information.

D2d. Conditionally Required Documents

These are documents that may be required, depending upon the circumstances. Please see the table below.

Failure to provide a conditionally required document will result in your application’s being considered incomplete, and it may be rejected from further consideration.

If you are:	Then you must provide:	Notes:
Applying as a private, nonprofit institution, as indicated by choosing “M” as the Applicant Type code in 5d of the SF-424s form	A copy of the IRS letter indicating your eligibility for nonprofit status under the applicable provision of the Internal Revenue Code of 1954, as amended.	You must submit this letter with each application whether or not you have submitted it with other applications in the current year or in previous years. We will not accept a letter or State sales tax exemption as proof of nonprofit status.
Using a federally negotiated indirect cost rate in your budget	A current copy of your Final Federally Negotiated Indirect Cost Rate Agreement.	If you are eligible for and are choosing the option of claiming an indirect cost rate of 10 percent of modified total direct costs (see 2 C.F.R. part 200, including 2 C.F.R. 200.68, 200.414(f), and 200.510(b)(6)), you do not need to provide any documentation.

D2e. Supporting Documents

You may submit a reasonable number of supporting documents that supplement your Narrative and support the project description. Supporting documents should help IMLS staff and reviewers envision your project in greater detail, but they should not be used to introduce new topics nor to continue answers to the Narrative questions. Give each document a clear, descriptive title at the top of the first page. You may wish to consider the following:

• Letters of commitment from any third party that will receive grant funds or from entities that will contribute substantive funds to the completion of project activities

• Letters of commitment from partners or other groups who will work closely with you on your project

• Bibliography or references relevant to your proposed project design or evaluation strategy

• Letters of support from experts and stakeholders

• Position descriptions for project staff (if not included with resumes for key personnel) to be supported by grant or cost share funds

• Reports from planning activities

• Contractor quotes

• Equipment specifications

• Products or evaluations from previously completed or ongoing projects of a similar nature

• Collections, technology, or other departmental plans for the organization as applicable to the proposed project

• Web links to relevant online materials

• Needs assessments

D3. What are the registration requirements for submitting an application?

Before submitting an application, your organization must have a current and active D-U-N-S® number (a unique entity identifier), System for Award Management (SAM.gov) registration, and Grants.gov registration. Check your materials and registrations well in advance of the application deadline to ensure that they are accurate, current, and active.

If your D-U-N-S® number and SAM.gov registration are not active and current at the time of submission, your application will be rejected; if they are not active and current at the time an award is made, we may determine that you are not qualified to receive an award and use that determination as a basis for making an award to another applicant.

D3a. What is a D-U-N-S® number and how do we get one?

A D-U-N-S® number is a unique nine-digit number assigned to all types of business organizations, including nonprofits and government entities. Click here to learn more about getting a D-U-N-S® number.

D3b. What is the System for Award Management (SAM.gov) and how do we register?

The System for Award Management (SAM) is a federal repository that centralizes information about grant applicants and recipients. There is no fee to register with SAM.gov.

Click here to learn more about SAM.gov registration.

D3c. What is Grants.gov and how do we register?

Grants.gov is the centralized location for grant seekers to find and apply for Federal funding opportunities.

You must register with Grants.gov prior to submitting your application package. The multi-step registration process generally cannot be completed in a single day. If you are not already registered, you should allow several weeks before the grant program deadline to complete this one-time process. Do not wait until the day of the application deadline to register.

You will need your Grants.gov user ID and password that you obtain during the registration process to submit your application when it is complete.

Click here to learn more about Grants.gov registration and tips for using Grants.gov.

D4. When and how must we submit our application?

You must submit your application through Grants.gov. Do not submit through email to IMLS.

For the Museums Empowered initiative, Grants.gov will accept applications through 11:59 p.m. U.S. Eastern Time on December 15, 2018.

We strongly recommend that you obtain a D-U-N-S® number, register with SAM.gov and Grants.gov, and complete and submit the application early. We make grants only to eligible applicants that submit complete applications, including attachments, through Grants.gov, on or before the deadline, as indicated by the date stamp generated by Grants.gov.

Contact Grants.gov at support@grants.gov or call their help line at 1-800-518-4726 for technical assistance. The help line is available 24 hours a day, seven days a week, except for federal holidays.

D4a. What happens after we submit our application through Grants.gov?

Within two business days of receiving your submission, Grants.gov will generate two emails regarding the progress of your application through the system. The first email will confirm receipt of your application by the Grants.gov system and the second will indicate that the application has either been successfully validated by the system prior to transmission to the grantor agency (IMLS) or has been rejected due to errors. After the official grant program deadline, you will receive a third email confirming that IMLS has retrieved your application. Until that point, you can check the status of your application(s) in Grants.gov by using the “Track My Application” feature. For further details, please consult Grants.gov.

D5. Is there an intergovernmental review?

No. This funding opportunity is not subject to intergovernmental review per Exec. Order No. 12372.

D6. Are there funding restrictions?

You may only use IMLS funds, and your cost sharing, for allowable costs as found in IMLS and OMB government-wide cost-principle rules. Please consult 2 C.F.R. pt. 200 and 2 C.F.R. pt. 3187 for additional guidance on allowable costs.

The following list includes some examples of generally allowable costs, both for IMLS funds and for cost share (if applicable), under this announcement:

• personnel salaries, wages, and fringe benefits

• travel expenses for key project staff and consultants

• materials, supplies, software, and equipment related directly to project activities

• equipment to improve collections storage and exhibit environments

• third-party costs

• publication design and printing

• staff and volunteer training

• internships/fellowships

• indirect or overhead costs

You must explain all proposed expenses in your Budget Justification.

The following list includes some examples of unallowable costs, both for IMLS funds and for cost share (if applicable), under this announcement:

• general fundraising costs, such as development office staff or other staff time devoted to general fundraising

• contributions to endowments

• general operating support

• acquisition of collections (see 2 C.F.R. §3187.15(b))

• general advertising or public relations costs designed solely for promotional activities other than those related to the specific project

• construction or renovation of facilities (generally, any activity involving the construction trades is not an allowable cost)

• social activities, ceremonies, receptions, or entertainment

• research projects (see 2 C.F.R. § 200.87)

• pre-award costs

Note: If you have questions about whether specific activities are allowable, call IMLS staff for guidance.

D6a. How do we include costs for third parties?

Your project may require you to provide federal funds to third parties (such as partners, consultants, collaborators, subgrantees, subawardees, vendors, and/or service providers). It is your responsibility to determine whether a third party should be characterized as a subrecipient or a contractor. The characterization must be reflected in the terms of each agreement you make with each third party.

(See 2 C.F.R. § 200.330 (Subrecipient and contractor determinations).) IMLS grant funds may not be provided to any federal agency serving as a third party.

D6b. What are our options for including indirect costs in our budget?

You can choose to:

• use a rate not to exceed your current indirect cost rate already negotiated with a federal agency;

• use an indirect cost rate proposed to a federal agency for negotiation, but not yet finalized, as long as it is finalized by the time of the award;

• use a rate not to exceed 10% of the total modified direct costs if you have never had a federally negotiated indirect cost rate and you are otherwise eligible; or

• not include any indirect costs.

Click here for further information on indirect costs.

E. Application Review Information

E1. What are the review criteria?

Reviewers are instructed to evaluate applications according to the review criteria included within the Narrative instructions in Section D2 of this document. Reviewers consider all Required and Conditionally Required Documents, and Supporting Documents, as listed in Section D2.

E1a. Is cost sharing considered in the review process?

Cost sharing is an eligibility criterion and is not considered in the review of applications. Cost sharing requirements for this initiative are addressed in Section C2.

E2. What is the review and selection process?

We use a peer review process to evaluate all eligible and complete applications. Reviewers are professionals in the field with relevant knowledge and expertise in the types of project activities identified in the applications. We instruct reviewers to evaluate applications according to the review criteria. Peer reviewers must comply with IMLS’s Federal ethics and conflicts of interest requirements.

The Director takes into account the input provided by the review process and makes final funding decisions consistent with the purposes of the agency’s mission and programs.

E3. What is the designated integrity and performance system and how does IMLS comply with its requirements?

IMLS, prior to making a Federal award with a total amount of Federal share greater than the simplified acquisition threshold (currently $250,000 but periodically adjusted), is required to review and consider any information about the applicant that is in the designated integrity and performance system accessible through SAM (currently FAPIIS) (see 41 U.S.C. § 2313 and 41 U.S.C. §134).

An applicant, at its option, may review information in the designated integrity and performance systems accessible through SAM and comment on any information about itself that a Federal awarding agency previously entered.

IMLS will consider any comments by the applicant, in addition to the other information in the designated integrity and performance system, in considering the applicant’s integrity, business ethics, and record of performance under Federal awards when completing the review of risk posed by applicants as described in 2 C.F.R. § 200.205 (Federal awarding agency review of risk posed by applicants).

E4. When will we be notified of funding decisions?

We will not release information about the status of an application until the applications have been reviewed and all deliberations are concluded. We expect to notify both successful and unsuccessful applicants of the final decisions by September 2019.

F. Award Administration Information

F1. How will we be notified of funding decisions?

We will notify both successful and unsuccessful applicants of funding decisions by email.

For applicants who receive awards, the award packet will be sent to the Project Director, Primary Contact/Grants Administrator, and Authorized Representative/Authorizing Official (as identified on the SF-424S). The award packet will contain the following:

• cover letter;

• Official Award Notification for Grants and Cooperative Agreements (the authorizing document for the award);

• links to the General Terms and Conditions for IMLS Discretionary Grant and Cooperative Agreement Awards, reporting forms, and the Grantee Communications Kit; and

• reviewer comments.

Your period of performance will be included on your Official Award Notification for Grants and Cooperative Agreements. The award period of performance begins on the first day of the month in which project activities start and ends on the last day of the month in which these activities are completed. Funded projects may not begin earlier than October 1, 2019, and not later than December 1, 2019.

For applicants who do not receive awards, the Project Director, Primary Contact/Grants Administrator, and Authorized Representative/Authorizing Official (as identified on the SF-424S) will receive the following:

• cover letter; and

• reviewer comments.

F2. What are the administrative and national policy requirements?

Organizations that receive IMLS grants or cooperative agreements are subject to the IMLS General Terms and Conditions for IMLS Discretionary Grant and Cooperative Agreement Awards (PDF, 278KB) and the IMLS Assurances and Certifications. Organizations that receive IMLS funding must be familiar with these requirements and comply with applicable law.

As an applicant for Federal funds, you must certify that you are responsible for complying with certain nondiscrimination, debarment and suspension, drug-free workplace, and lobbying laws. These are set out in more detail, along with other requirements, in the Assurances and Certifications. By signing the application form, which includes the Assurances and Certifications, you certify that you are in compliance with these requirements and that you will maintain records and submit any reports that are necessary to ensure compliance. Your failure to comply with these statutory and regulatory requirements may result in the suspension or termination of your award and require you to return funds to the government.

F3. What are the reporting requirements?

At a minimum, you will be required to submit a performance report and financial report annually.

Reports are due according to the reporting schedule that is part of your Official Award Notification for Grants and Cooperative Agreements. Grantees must submit reports electronically using the IMLS performance and financial report forms. In support of the agency’s commitment to open government, interim and final performance reports may be made accessible on the IMLS website to engage the public in communities of practice and to inform application development and grant making strategies.

For details and forms, please see the Manage Your Award: Administration page on the IMLS website.

You must also comply with 2 C.F.R. §§ 180.335 and 180.350 and 2 C.F.R. pt. 3185 with respect to providing information regarding all debarment, suspension, and related offenses information, as applicable.

F3a. What do we need to know if the Federal share of our award is more than $500,000 over the period of performance?

If the Federal share of your award is more than $500,000 over the period of performance, you should refer to the post-award reporting requirements reflected in 2 C.F.R. pt. 200, Appendix XII – Award Term and Condition for Recipient Integrity and Performance Matters.

G. Contacts

G1. Who should we contact if we have questions?

Click here for IMLS staff contact information for this initiative. IMLS staff are available by phone and email to answer programmatic and administrative questions relating to this initiative.

Contact Grants.gov or call their help line at 1-800-518-4726 for assistance with software issues, registration issues, and technical problems.

G2. How can we participate in a webinar for this IMLS funding opportunity?

Program staff hosts webinars to introduce potential applicants to funding opportunities. Click here for a schedule of webinars and instructions for accessing them from your computer.

H. Other Information

H1. What do we need to know about acknowledging IMLS support?

Grantees must include an acknowledgement of IMLS support in all grant products, publications, websites, and presentations developed with IMLS funding. All work products should reference IMLS and include the associated grant award number(s). Click here for the Grantee Communications Kit, which provides guidance for fulfilling these requirements.

H2. What should we do if we are including confidential or proprietary information in our application?

IMLS may share grant applications, work products, and reports with grantees, potential grantees, and the general public to further the mission of the agency and the development of museum, library, and information services. These materials may be disseminated broadly and made available in a variety of ways and formats.

For the above reasons, you should not include in your application any information that you consider to be confidential or proprietary. However, if you do decide to provide information that you consider confidential or proprietary, you must clearly identify it as such. IMLS will handle confidential and proprietary information in accordance with applicable law (e.g., Freedom of Information Act [FOIA], Privacy Act).

H3. What do we need to know about sharing and copyright of IMLS-supported work products and managing digital products?

Read more about sharing and copyright of IMLS-supported work products and management of digital products (including research data and other digital content) produced with IMLS support.

H4. What conflict of interest requirements must we follow?

As a non-federal entity, you must follow IMLS conflict of interest policies for federal awards. Click here for more information about IMLS conflict of interest requirements.

H5. Where else can we find additional information about IMLS?

You can check the IMLS website for information on IMLS and IMLS activities.

H6. Is IMLS obligated to make an award as a result of this announcement?

IMLS is not obligated to make any Federal award or commitment as a result of this announcement.

H7. How can I become a peer reviewer?

If you are interested in serving as a peer reviewer, you may enter your contact information, identify your experience and expertise, and upload your resume through our online reviewer application at www.imls.gov/grants/become-reviewer. If you are identified as a potential reviewer, we will notify you by email prior to the next review period to confirm your availability.

H8. How long should it take us to complete an application?

Complete applications include the elements listed in the Table of Application Components in Section D. We estimate the average amount of time needed for one applicant to complete the narrative portion of this application to be 40 hours. This includes the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and writing and reviewing the answers.

We estimate that it will take you an average of 15 minutes per response for the IMLS Program Information Sheet and three hours per response for the IMLS Budget Form. We estimate that it will take you an average of 60 minutes per response for the Digital Product Form.

Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to the Institute of Museum and Library Services at 955 L’Enfant Plaza North, SW, Suite 4000, Washington, DC, 20024-2135, and to the Office of Management and Budget, Paperwork Reduction Project (3137-0091), Washington, DC, 20503.

H9. IMLS Clearance Number:

IMLS-CLR-D-0036, Expiration date: 2/29/2020

H10. PRA Clearance Number:

OMB Control #: 3137-0107, Expiration date: 2/29/2020

Appendix One - IMLS Assurances and

Certifications

As a Federal agency, IMLS is required to obtain from all applicants certifications, including those regarding Nondiscrimination, Debarment and Suspension, Federal Debt Status, and Drug-Free Workplace. Applicants requesting more than $100,000 in grant funds must also certify regarding lobbying activities and may be required to submit a “Disclosure of Lobbying Activities” form (Standard Form LLL). Some applicants will be required to certify that they will comply with other federal statutes that pertain to their particular situation. These requirements are incorporated in the Assurances Statement below. The authorized representative must review the statement and provide the certification in item 9 on the SF-424S.

Assurances Statement

By signing the application form, the authorized representative, on behalf of the applicant, assures and certifies that, should a Federal award be made, the applicant will comply with the statutes outlined below and all related IMLS regulations (for example, see 2 C.F.R. ch. XXXI and 45 C.F.R. ch. XI). These assurances are given in connection with any and all financial assistance from IMLS after the date this form is signed, but may include payments after this date for financial assistance approved prior to this date. These assurances shall obligate the applicant for the period during which the federal financial assistance is extended. The applicant recognizes and agrees that any such assistance will be extended in reliance on the representations and agreements made in these assurances, and that the United States Government has the right to seek judicial enforcement of these assurances, which are binding on the applicant, its successors, transferees, and assignees, and on the authorized representative whose signature appears on the application form.

Certifications Required of All Applicants

Financial, Administrative, and Legal Accountability

The authorized representative, on behalf of the applicant, certifies that the applicant has legal authority to apply for federal assistance and the institutional, managerial, and financial capability (including funds sufficient to pay the non-federal share of project costs) to ensure proper planning, management, reporting, recordkeeping, and completion of the project described in this application.

The authorized representative, on behalf of the applicant, certifies that the applicant will cause to be performed the required financial and compliance audits in accordance with applicable law.

The authorized representative, on behalf of the applicant, certifies that the applicant will comply with the provisions of applicable OMB Circulars and regulations.

Nondiscrimination

The authorized representative, on behalf of the applicant, certifies that the applicant will comply with the following nondiscrimination statutes and their implementing regulations:

1. Title VI of the Civil Rights Act of 1964, as amended (42 U.S.C. § 2000 et seq.), which prohibits discrimination on the basis of race, color, or national origin (note: as clarified by Exec. Order No. 13166, the applicant must take reasonable steps to ensure that limited English proficient

(LEP) persons have meaningful access to the applicant’s programs (see IMLS guidance at 68 Federal Register 17679, April 10, 2003));

2. Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. § 701 et seq., including § 794), which prohibits discrimination on the basis of disability (note: IMLS applies the regulations in 45 C.F.R. pt. 1170 in determining compliance with section 504 as it applies to recipients of federal assistance);

3. Title IX of the Education Amendments of 1972, as amended (20 U.S.C. §§ 1681–1683, §§ 1685–

1686), which prohibits discrimination on the basis of sex in education programs;

4. the Age Discrimination in Employment Act of 1975, as amended (42 U.S.C. § 6101 et seq.), which prohibits discrimination on the basis of age; and

5. the requirements of any other nondiscrimination statute(s) which may apply to the application.

Debarment and Suspension

The applicant shall comply with 2 C.F.R. pt. 3185 and 2 C.F.R. pt. 180, as applicable. The authorized representative, on behalf of the applicant, certifies to the best of his or her knowledge and belief that neither the applicant nor any of its principals:

1. are presently excluded or disqualified;

2. have been convicted within the preceding three years of any of the offenses listed in 2 C.F.R. § 180.800(a) or had a civil judgment rendered against it or them for one of those offenses within that time period;

3. are presently indicted for or otherwise criminally or civilly charged by a governmental entity

(federal, state, or local) with commission of any of the offenses listed in 2 C.F.R. § 180.800(a); or

4. have had one or more public transactions (federal, state, or local) terminated within the preceding three years for cause or default.

Where the applicant is unable to certify to any of the statements in this certification, he or she shall attach an explanation to this application.

The applicant, as a primary tier participant, is required to comply with 2 C.F.R. pt. 180 subpart C (Responsibilities of Participants Regarding Transactions Doing Business with Other Persons) as a condition of participation in the award. The applicant is also required to communicate the requirement to comply with 2 C.F.R. pt. 180 subpart C (Responsibilities of Participants Regarding Transactions Doing Business with Other Persons) to persons at the next lower tier with whom the applicant enters into covered transactions.

As noted in the preceding paragraph, applicants who plan to use IMLS awards to fund contracts should be aware that they must comply with the communication and verification requirements set forth in the above Debarment and Suspension provisions.

Federal Debt Status

The authorized representative, on behalf of the applicant, certifies to the best of his or her knowledge and belief that the applicant is not delinquent in the repayment of any federal debt.

Drug-Free Workplace

The authorized representative, on behalf of the applicant, certifies, as a condition of the award, that the applicant will or will continue to provide a drug-free workplace by complying with the requirements in 2 C.F.R. pt. 3186 (Requirements for Drug-Free Workplace (Financial Assistance)). In particular, you as the recipient must comply with drug-free workplace requirements in subpart B (or subpart C, if the recipient is an individual) of 2 C.F.R. pt. 3186, which adopts the Government wide implementation (2 C.F.R. pt. 182) of sec. 5152-5158 of the Drug-Free Workplace Act of 1988 (Pub. L. 100-690, Title V, Subtitle D; 41 U.S.C. §§ 701–707).

This includes, but is not limited to: making a good faith effort, on a continuing basis, to maintain a drug-free workplace; publishing a drug-free workplace statement; establishing a drug-free awareness program for your employees; taking actions concerning employees who are convicted of violating drug statutes in the workplace; and identifying (either at the time of application or upon award, or in documents you keep on file in your offices) all known workplaces under your federal awards.

Trafficking in Persons

The authorized representative, on behalf of the applicant, certifies, as a condition of the award, that the applicant will comply with the trafficking in persons requirements that are set out in the General Terms and Conditions for IMLS Discretionary Awards (2 C.F.R. 175.15 Award Term.).

Certification Regarding Lobbying Activities

(Applies to Applicants Requesting Funds in Excess of $100,000) (31 U.S.C. § 1352)

The authorized representative certifies, to the best of his or her knowledge and belief, that:

1. No federal appropriated funds have been paid or will be paid, by or on behalf of the authorized representative, to any person for influencing or attempting to influence an officer or employee of an agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any federal contract, the making of any federal grant, the making of any federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any federal contract, grant, loan, or cooperative agreement.

2. If any funds other than federal appropriated funds have been paid or will be paid to any person (other than a regularly employed officer or employee of the applicant, as provided in 31 U.S.C. § 1352) for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this federal contract, grant, loan, or cooperative agreement, the authorized representative shall complete and submit Standard Form LLL, “Disclosure of Lobbying Activities,” in accordance with its instructions.

3. The authorized representative shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly.

This certification is a material representation of fact upon which reliance is placed when the transaction is made or entered into. Submission of this certification is a prerequisite for making or entering into the transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.

General Certification

The authorized representative, on behalf of the applicant, certifies that the applicant will comply with all applicable requirements of all other federal laws, executive orders, regulations, and policies governing the program.

Certifications Required for Certain Projects

The following certifications are required if applicable to the project for which an application is being submitted. Applicants should be aware that additional federal certifications, not listed below, might apply to a particular project.

Subawards

Under IMLS regulations at 2 C.F.R. § 3187.14, a recipient may not make a subaward unless expressly authorized by IMLS. A recipient may contract for supplies, equipment, and services, subject to applicable law, including but not limited to applicable Office of Management and Budget (OMB) Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards set forth in 2 C.F.R. pt. 200.

Native American Human Remains and Associated Funerary Objects

The authorized representative, on behalf of the applicant, certifies that the applicant will comply with the provisions of the Native American Graves Protection and Repatriation Act of 1990 (25 U.S.C. § 3001 et seq.), which applies to any organization that controls or possesses Native American human remains and associated funerary objects, and which receives federal funding, even for a purpose unrelated to the Act.

Historic Properties

The authorized representative, on behalf of the applicant, certifies that the applicant will assist the awarding agency in ensuring compliance with Section 106 of the National Historic Preservation Act of 1966, as amended (16 U.S.C. § 470f, see 54 U.S.C. § 306108), Exec. Order No. 11593) and any related applicable preservation laws.

Environmental Protections

The authorized representative, on behalf of the applicant, certifies that the project will comply with environmental standards, including the following:

1. institution of environmental quality control measures under the National Environmental Policy

Act of 1969, as amended (42 U.S.C. § 4321 et seq.) and Exec. Order No. 11514;

2. notification of violating facilities pursuant to Exec. Order No. 11738;

3. protection of wetlands pursuant to Exec. Order No. 11990, as amended by Exec. Order No.

12608;

4. evaluation of flood hazards in floodplains in accordance with Exec. Order No. 11988, as amended see Executive Order 12148);

5. assurance of project consistency with the approved state management program developed under the Coastal Zone Management Act of 1972, as amended (16 U.S.C. § 1451 et seq.);

6. conformity of federal actions to State (Clean Air) Implementation Plans under section 176(c) of the Clean Air Act of 1955, as amended (42 U.S.C. § 7401 et seq.);

7. protection of underground sources of drinking water under the Safe Drinking Water Act of

1974, as amended (42 U.S.C. § 300f et seq.); and

8. protection of endangered species under the Endangered Species Act of 1973, as amended (16 U.S.C. § 1531–1543).

The authorized representative, on behalf of the applicant, certifies that the project will comply with the Wild and Scenic Rivers Act of 1968, as amended (16 U.S.C. § 1271 et seq.), related to protecting components or potential components of the national wild and scenic rivers system.

The authorized representative, on behalf of the applicant, certifies that the applicant will comply with the flood insurance purchase requirements of the Flood Disaster Protection Act of 1973, as amended (42 U.S.C. § 4001 et seq.), which requires recipients in a special flood hazard area to participate in the program and to purchase flood insurance if the total cost of insurable construction and acquisition is $10,000 or more, or as otherwise designated.

Research on Human Subjects

The authorized representative, on behalf of the applicant, certifies that the project will comply with 45 C.F.R. pt. 46 regarding the protection of human subjects involved in research, development, and related activities supported by this award of assistance.

Research on Animal Subjects

The authorized representative, on behalf of the applicant, certifies that the project will comply with the Laboratory Animal Welfare Act of 1966, as amended (7 U.S.C. § 2131 et seq.) pertaining to the care, handling, and treatment of warm-blooded animals held for research, teaching, or other activities supported by this award of assistance.

For further information on these certifications, contact IMLS, 955 L’Enfant Plaza North, SW, Suite 4000, Washington, DC, 20024-2135. Or call 202/653-IMLS (4657).

Appendix Two – Required Federal Systems

Getting a D-U-N-S® Number

All non-federal entities are required to have a Dun and Bradstreet Data Universal Numbering System (D-U-N-S®) number (a unique entity identifier) in order to apply for, receive, and report on federal awards.

You should verify that your organization has a D-U-N-S® number. You can get one within two business days at no cost by calling the dedicated toll-free D-U-N-S® number request line at 1-866-705-5711 or by visiting http://www.dnb.com/duns-number.html.

Registering for SAM.gov

The System for Award Management (SAM) is a federal repository that centralizes information about grant applicants and recipients. You must be registered with SAM.gov before you register with Grants.gov. There is no fee to register with SAM.gov. Click here to find information about registering with SAM.gov.

SAM.gov registration requires an original, signed notarized letter identifying the authorized “Entity Administrator” for the organization associated with the D-U-N-S® number before a SAM.gov entity registration or renewal will be activated. For more information and updates, please see the FAQ at https://www.gsa.gov/about-us/organization/federal-acquisition-service/office-of-systems-management/integrated-award-environment-iae/sam-update.

We recommend that you allow several weeks to complete your SAM.gov registration. You must renew your registration in SAM.gov at least every 12 months—and sooner, if your information changes. An expired registration will prevent you from submitting applications via Grants.gov and receiving awards or payments. Grant payments will be made to the bank account that is associated with your SAM.gov registration.

Registering for Grants.gov

You must register with Grants.gov before submitting your application to IMLS. Click here to learn more about the multistep registration process. Make sure your D-U-N-S® number and SAM.gov registration are accurate, current, and active. We recommend that you allow several weeks to complete your Grants.gov registration.

After you register with Grants.gov, and create an Organizational Applicant Profile, the request for the organization’s Grants.gov roles and access is sent to the EBiz POC. The EBiz POC will then log into Grants.gov and assign the appropriate roles to individuals within the organization. This will include the Authorized Organization Representative (AOR) which will give permission to complete and submit applications on behalf of the organization. For more detailed instructions about creating a profile on Grants.gov, please refer to https://www.grants.gov/web/grants/applicants/registration/authorize-roles.html.

Working with Grants.gov

Click here to learn more about Grants.gov resources, which include checklists, FAQs, and online tutorials to assist you in preparing your organization to submit applications.

Grants.gov applicants apply online using “Workspace”. “Workspace” is a shared, online environment where members of a grant team may simultaneously access and edit different web forms within a grant application. For each funding opportunity, you can create individual copies of a workspace to complete your application. Here is an overview of how to apply on Grants.gov. https://www.grants.gov/web/grants/applicants/workspace-overview.html

Designate more than one Authorized Organization Representative (AOR) when you register in Grants.gov. This will help avoid last-minute crises in the event that your one AOR is unavailable when you are ready to submit your application.

Update the contact information and password in Grants.gov when the AOR at your organization changes.

Grants.gov offers online support regarding Adobe® software and browser compatibility. Contact Grants.gov at support@grants.gov or call the help line (1-800-518-4726) for technical assistance. The help line is available 24 hours a day, seven days a week, except for federal holidays.

Appendix Three - Performance Measure Statements and Information to be Collected and Reported for Promote Lifelong Learning and Build Capacity Projects

On the IMLS Program Information Sheet, you selected an IMLS Agency-Level Goal (PDF, 789KB), from among Promote Lifelong Learning, Build Capacity, and Increase Public Access, with which your project best aligns.

Below is a list of pre-determined Performance Measure Statements for the first two goals to help IMLS document the collective achievements of the Promote Lifelong Learning and Build Capacity projects we fund. Applicants submitting proposals aligned with the third goal, Increase Public Access, are asked to write one or more statements in their Narrative to describe what success will look like for their projects and to identify the relevant data that they will collect and report. As a result, there are no pre-determined Performance Measure Statements for this third goal.

IMPORTANT: You will be required to provide specific information directly relating to these Performance Measure Statement(s) in your Final Performance Report. You may design and administer a more elaborate survey than what will be required to gather this specific information. These information-gathering activities must be incorporated into your application Narrative, Schedule of Completion, Budget Form, and Budget Justification, as necessary.

IMLS Agency-Level Goal 1: Promote Lifelong Learning

Performance Measure Statement	Information You Will Be Expected to Report
Survey Respondent: Program/Project Participants	Data to be Collected
My understanding has increased as a result of this program/training: Strongly Agree Agree Neither Agree, nor Disagree Disagree Strongly Disagree	Number of participants Number of total responses Number of responses per answer option Number of non-responses
My interest in this subject has increased as a result of this program/training: Strongly Agree Agree Neither Agree, nor Disagree Disagree Strongly Disagree	Number of participants Number of total responses Number of responses per answer option Number of non-responses
I am confident I can apply what I learned in this program/training: Strongly Agree Agree Neither Agree, Nor Disagree Disagree Strongly Disagree	Number of participants Number of total responses Number of responses per answer option Number of non-responses

IMLS Agency-Level Goal 2: Build Capacity

Performance Measure Statement	Information You Will Be Expected to Report
Survey Respondent: Grantee	Data to be Collected
My understanding has increased as a result of this program/training: Strongly Agree Agree Neither Agree, nor Disagree Disagree Strongly Disagree	Number of participants Number of total responses Number of responses per answer option Number of non-responses
My interest in this subject has increased as a result of this program/training: Strongly Agree Agree Neither Agree, nor Disagree Disagree Strongly Disagree	Number of participants Number of total responses Number of responses per answer option Number of non-responses
I am confident I can apply what I learned in this program/training: Strongly Agree Agree Neither Agree, Nor Disagree Disagree Strongly Disagree	Number of participants Number of total responses Number of responses per answer option Number of non-responses
My organization is better prepared to provide a program or service that addresses community needs. Strongly Agree Agree Neither Agree, Nor Disagree Disagree Strongly Disagree	Number of participants Number of total responses Number of responses per answer option Number of non-responses
My organization is better able to engage my community. Strongly Agree Agree Neither Agree, nor Disagree Disagree Strongly Disagree	Number of participants Number of total responses Number of responses per answer option Number of non-responses
My organization is better prepared to develop and maintain on-going relationships with community partners. Strongly Agree Agree Neither Agree, nor Disagree Disagree Strongly Disagree	Number of participants Number of total responses Number of responses per answer option Number of non-responses
My organization is better prepared to share knowledge and other resources as an active contributor to problem solving in the community. Strongly Agree Agree Neither Agree, nor Disagree Disagree Strongly Disagree	Number of participants Number of total responses Number of responses per answer option Number of non-responses
The organization offers programs, services, or resources that address community needs. Strongly Agree Agree Neither Agree, nor Disagree Disagree Strongly Disagree	Number of participants Number of total responses Number of responses per answer option Number of non-responses
The organization is an active contributor to problem solving in the community. Strongly Agree Agree Neither Agree, nor Disagree Disagree Strongly Disagree	Number of participants Number of total responses Number of responses per answer option Number of non-responses

Appendix Four – Explanation of Forms for

Reference

Grants.gov SF-424S

The SF-424S is the “Application for Federal Domestic Assistance/Short Organizational Form,” which is part of the application package that you downloaded from Grants.gov.

Items 1 through 4

These items are automatically populated by Grants.gov.

Item 5. Applicant Information

1. Legal Name: Enter your organization’s legal name as it appears in your SAM.gov registration. This is the organization with the authority to apply directly for funding in this program. If you have an organizational unit that will be carrying out the project, be sure that it is specified as the organizational unit on the IMLS Program Information Sheet.

2. Address: Enter your legal applicant’s address as it appears in your SAM.gov registration.

3. Web Address: Enter your web address.

4. Type of Applicant: Select the code that best characterizes your organization from the menu in the first dropdown box. Leave the other boxes blank.

5. Employer/Taxpayer Identification Number (EIN/TIN): Enter the EIN or TIN assigned to your organization by the Internal Revenue Service.

6. Organizational DUNS: Enter your organization’s D-U-N-S® number received from Dun and Bradstreet.

7. Congressional District: Enter your organization’s congressional district. Use the following format: two-letter state abbreviation, followed by a hyphen, followed by a zero, followed by the two-digit district number. For example, if the organization is located in the 5th Congressional District of California, enter “CA-005.” For the 12th Congressional District of North Carolina, enter “NC-012.” For states and territories with “At Large” Congressional

Districts—that is, one representative or delegate represents the entire state or territory—use “001,” e.g., “VT-001.”

If your organization does not have a congressional district (e.g., it is located in a U.S. territory that does not have districts), enter “00-000.” To determine your organization’s district, visit the House of Representatives website by clicking here and using the “Find Your Representative” tool.

Item 6. Project Information

1. Project Title: Enter a brief descriptive title for your project. IMLS may use this title for public information purposes.

2. Project Description: Enter a brief description (about 120 words) of your project. Tell us what your project will do, for whom or what, and why. Use clear language that can be understood by readers who might not be familiar with the discipline or subject area.

3. Proposed Project Start Date/End Date: Enter the start date and end date of the proposed period of performance in the format mm/dd/yyyy. The project period begins on the first day of the month in which project activities start and ends on the last day of the month in which these activities are completed. Refer to Section B of this Notice of Funding Opportunity to determine when your project can begin.

Item 7. Project Director

The Project Director is the person who will have primary responsibility for carrying out your project’s activities. Enter the requested information for this individual here.

IMLS requires that the Project Director be a different person than the Authorized Representative.

Item 8. Primary Contact/Grants Administrator

The Primary Contact/Grants Administrator is the person who has primary responsibility for administering the award. Enter the requested information for this individual here. If the Primary Contact/Grants Administrator is the same as the Authorized Representative, please still complete both Items 8 and 9.

In some organizations this individual may be the same as the Project Director. If this is the case, check the box and skip to Item 9.

Item 9. Authorized Representative

The Authorized Representative is the person who has the authority to legally bind your organization. Enter the requested information for this individual here. The Authorized Representative cannot be the same person as the Project Director. By checking the “I Agree” box at the top of Item 9, this individual certifies the applicant’s compliance with the IMLS Assurances and Certifications and any other relevant federal requirements.

The “Signature of Authorized Representative” and “Date Signed” boxes will be automatically populated by Grants.gov upon submission of the application. This will be the person whose name was listed as your organization’s authorized representative when you registered with Grants.gov. Please note that this name might not be the same as the name and other information you entered in Item 9 above; however, the person whose name appears in the “Signature of Authorized Representative” box must have authorization from your organization to submit this application on behalf of your organization.

Submission of the electronic application acknowledges that your organization certifies compliance with relevant federal requirements, including but not limited to the IMLS Assurances and Certifications, to the same extent as the signature does on a paper application.

IMLS Program Information Sheet

1. Applicant Information:

   1. Legal Name: From 5a on the SF-424S.

   2. Organizational D-U-N-S ® Number: From 5f pm the SF-424S.

   3. Expiration date of your SAM.gov registration: Enter the expiration date of your SAM.gov registration in the fill-in field. Please note that before submitting an application, your organization must have a current SAM.gov registration.

   4. Organizational Unit Name: If you cannot apply for grants on your own behalf, then enter your organizational unit's name and address in these spaces. For example, if your museum is part of a parent organization, such as a university, then enter the name of the university under Legal Name, and the museum as the Organizational Unit.

   5. Organizational Unit Address: Be sure to include the four-digit extension on the ZIP code.

   6. Organizational Unit Type: Select the one that most accurately describes your organization.

2. Organizational Financial Information: a-d. All applicants must provide the information requested.

3. Grant Program: Select h. Museums Empowered. Then select one project category: Digital Technology; Diversity and Inclusion; Evaluation; or Organizational Management.

4. Agency-Level Goals: Select one of the three IMLS Agency-Level Goals with which your project best aligns.

IMPORTANT: If you select Promote Lifelong Learning or Build Capacity, be sure to review the pre-determined Performance Measure Statements and Information to be Collected and Reported.

If your project involves collections and/or their associated documentation, select Increase Public Access. Be sure to review the instructions in Section D2c6 to include in your Narrative one or more statements to describe what success will look like for your project and to identify the relevant data that you will collect and report. There are no pre-determined Performance Measure Statements associated with this Agency-Level Goal.

5. Funding Request Information:

   1. IMLS Funds Requested: Enter the amount in dollars sought from IMLS.

   2. Cost share amount: Enter the amount of non-federal funding you are providing, which must be at least one-half of the total project cost. Click here for further information on cost sharing.

6. Population Served: Check the boxes that reflect the population(s) to be served by your project.

7. Museum Profile: Museum applicants must answer all questions (a–l) in this section. If you named an organizational unit under Question 1d, this information must pertain to that unit.

8. Project Elements: Museums Empowered applicants are not required to complete this section.

IMLS Budget Form

Download the IMLS Budget Form (PDF, 1.1MB).

The IMLS Budget Form accommodates up to three years of project activities and expenses. Project timelines, allowable costs, and other budget details vary by program. Be sure to review the Notice of Funding Opportunity for the grant program/category to which you are applying and the cost principles in 2 C.F.R. pt. 200 and 2 C.F.R. pt. 3187.

The Year 1 columns should include costs for activities that begin on the project start date (as listed on 6c of the SF-424S) and end 12 months later. If the project timeline exceeds one year, list the costs for the next 12 months in the Year 2 columns. If the project extends beyond two years, list the costs for the next 12 months in the Year 3 columns. If the program/category to which you are applying permits a fourth year as part of the budget, enter Year 4 budget details on a second copy of the IMLS Budget Form.

The budget should include the project costs that will be charged to grant funds as well as those that will be supported by cost sharing. In-kind contributions to cost sharing may include the value of services (e.g., donated volunteer or consultant time) or equipment donated to the project between the authorized start and end dates of your project. All the items listed, whether supported by grant funds or cost share, must be necessary to accomplish project objectives, allowable according to the applicable federal cost principles, auditable, and incurred during the award period of performance. Charges to the project for items such as salaries, fringe benefits, travel, and contractual services must conform to the written policies and established practices of your organization. You must report all revenues generated with project funds during the award period of performance as program income.

If you need more lines for a specific section, summarize the information in the IMLS Budget Form and explain it further in the Budget Justification.

1. Salaries and Wages: Include both temporary and permanent staff as well as volunteers engaged in project activities. Document the method of cost computation (e.g., as percentage of a person’s time devoted to the project, number of days, number of hours) in your Budget Justification.

2. Fringe Benefits: Fringe benefits can only be claimed as a direct cost for those positions included in your direct cost pool. Fringe benefits may be claimed only on the portion of salaries and wages identified for this project.

3. Travel: Explain the method of cost computation for each travel cost, including subsistence, lodging, and transportation, in your Budget Justification.

You must use the lowest available commercial fares for coach or equivalent accommodations, and you must use U.S. flagged air carriers for foreign travel when such services are available, in accordance with applicable U.S. legal requirements.

Please refer to the narrative section of this Notice of Funding Opportunity for information about special travel requirements, if any.

4. Supplies, Materials, and Equipment: List the costs of supplies, materials, and equipment purchased specifically for the proposed project. For definitions and other information, please see 2 C.F.R. pt. 200. Use the Budget Justification to explain or describe these items in further detail.

5. Contracts and Subawards: List each third party that will undertake project activities and their associated costs as an individual line item on your IMLS Budget Form. Designate each third party as either a contract or subaward using the drop-down menu on each line.

To explain or describe these items in further detail, you may either

• itemize these third-party costs in your Budget Justification or

• include a separate IMLS Budget Form as a Supporting Document and refer to it in the Budget Justification, for more complex projects.

1. Student Support: If your project includes student support costs, enter them in this section. Please click here for a definition and examples of student support.

2. Other Costs: Use this section for costs that cannot be assigned to other categories. Do not use this section to list items that do not fit in the lines allotted for another section.

3. Total Direct Costs: These amounts will total automatically.

4. Indirect Costs: Indirect costs are expenses that are incurred for common or joint objectives that cannot be easily identified with a particular project. Click here for more information about indirect costs.

5. Total Project Costs: These amounts will total automatically.

Cost Share

Cost share is that portion of the project costs that is not paid by IMLS funds. Common examples of cost share include cash outlays; contribution of property and services; and in-kind contributions, such as staff or volunteer time that support project activities.

All expenses, including cost sharing, must be incurred during the award period of performance unless otherwise specified and allowed by law. Federal funds from other federal awards may not be used for cost sharing. All federal, IMLS, and program requirements regarding the use of funds apply to both requested IMLS funds and to cost sharing. See 2 C.F.R. §§ 200.29 and 200.306 for more information on cost share.

Budget Justification

To write your budget justification, follow the format of the IMLS Budget Form’s section headings and save it as a PDF. Address both grant funds and cost share.

1. Salaries and Wages

Identify each person whose salary or wages will be paid with IMLS funds or by cost share, provide their names, describe their role in the project, the percent of time to be devoted to the project, and their rate of pay. If cost share is being provided by unpaid volunteers, explain how you arrived at the dollar amount used to represent the value of their services.

If you are requesting IMLS funding for salaries of permanent staff, explain the reason for the request and how the regular duties of these individuals will be performed during the award period of performance.

2. Fringe Benefits

Identify your organization’s fringe benefit rate and explain the base for the calculation for each person. If you have consolidated several persons’ fringe benefits into a single line on the IMLS Budget Form, break out the detail here.

3. Travel

For each trip, explain the purpose of the trip and specify the points of origin and destination, the name of the traveler, and break out the costs of transportation, lodging, per diem, and any other expenses associated with the travel. Explain how you arrived at the dollar amount.

4. Supplies, Materials, and Equipment

List each type of supply, material, and equipment you propose to purchase or provide as cost share for the project. Detail the number and unit cost for each item, and explain how you arrived at the dollar amounts. Provide vendor quotes or price lists as Supporting Documents with your application.

5. Contracts and Subawards

List the costs of project activities to be undertaken by third parties for the project. (Familiar terms for third parties can include partners, consultants, subgrantees, collaborators, vendors, or service providers.) Identify each third party by name, describe their role in the project, the activities they will carry out, and the cost. For each entry, designate the third party as either a subrecipient or a contractor. Explain costs for third parties and provide relevant Supporting Documents with your application. IMLS grant funds may generally not be provided to other U.S. government agencies.

You are responsible for making a case-by-case determination as to whether the agreement you make with a third party should be a contract or a subaward. That determination will depend upon the nature of your relationship with the third party with respect to the activities to be carried out. (See 2 C.F.R. § 200.330 (Subrecipient and contractor determinations).)

6. Student Support

Explain your method for calculating the costs listed in this section. Please click here for a definition and examples of student support.

7. Other Costs

Use this section for costs that cannot be assigned to other categories.

8. Total Direct Costs

Indicate the total direct costs, and specify how much you are asking from IMLS and how much you intend to provide as cost share.

9. Indirect Costs

If you include indirect costs in your project budget, identify the rate(s) and explain the base(s) on which you are calculating the costs. Click here for more information about indirect costs.

10. Total Project Costs

Indicate the total project costs here, and specify how much you are asking from IMLS and how much you intend to provide as cost share.

Indirect Costs

What are indirect costs?

Indirect costs are expenses that are incurred for common or joint objectives that cannot be easily identified with a particular project. Some examples include utilities, general insurance, use of office space and equipment that you own, local telephone service, and the salaries of the management and administrative personnel of the organization. See 2 C.F.R. pt. 200 for additional guidance.

What are our options for calculating and including indirect costs in our project budget?

You can choose to:

• Use a rate not to exceed your current indirect cost rate already negotiated with a federal agency;

• Use an indirect cost rate proposed to a federal agency but not yet finalized (if the rate is not finalized by the time of award, it will not be allowed);

• Use a rate not to exceed 10% of modified total direct costs if you have never had a federally negotiated indirect cost rate and you are not subject to other requirements (e.g., for States and local governments and Indian tribes); or

• Not include any indirect costs.

What is a federally negotiated indirect cost rate, and how do we use one?

Federally negotiated indirect cost rates are negotiated agreements between federal agencies and non-federal entities. If your organization already has an existing negotiated indirect cost rate in effect with another federal agency, you may use this rate to calculate total project costs, as long as you apply the rate in accordance with the terms of the negotiated agreement and include a copy of the current negotiated agreement with your grant application. You may also choose to use a rate lower than your current federally negotiated indirect cost rate. We will only accept federally negotiated indirect cost rates that are current by the award date.

What if we use an indirect cost rate that we proposed to a federal agency but is not yet finalized?

If your organization is in the process of negotiating an indirect cost rate with a federal agency, you may use the indirect cost rate that was proposed to the federal agency to estimate total project costs. In such situations, if we award a grant, we will accept the rate only if the negotiations are final by the award date and a copy of the final agreement is submitted to us. IMLS staff will work with you to adjust your budget prior to awarding the grant.

How do we use the 10% indirect cost rate?

Except for those non-federal entities described in Appendix VII to 2 C.F.R. pt. 200, you may choose to charge a rate not to exceed 10% of modified total direct costs (MTDC), as long you have never had a federally negotiated indirect cost rate and you meet the applicable requirements. See 2 C.F.R. part 200, including 2 CFR sections 200.68, 200.414(f), and 200.510(b)(6), for additional guidance.

Modified total direct costs are direct salaries and wages, applicable fringe benefits, materials and supplies, services, travel, and up to the first $25,000 of each sub-award. MTDC excludes several cost categories, including equipment, rental costs, tuition remission, scholarships and fellowships, participant support costs, and the portion of each subaward in excess of $25,000. See 2 C.F.R. § 200.68 for additional information.

If you are using the 10% indirect cost rate, check the box indicated on the IMLS Budget Form. No additional documentation is required.

Can we apply our indirect cost rate to the cost share portion on our IMLS Budget Form?

Yes. You may, consistent with 2 CFR part 200 (Uniform Guidance), apply your indirect cost rate to your total direct costs covered by cost share, but any costs you claim as cost share must be accounted for in the cost share column on the Budget Form. IMLS funds can be used for indirect costs, but only for the portion of the total direct costs for which you are requesting IMLS funds (the Grant Funds column).

Are there any other project costs that cannot be included in our indirect cost calculations?

If you have a federally negotiated indirect cost rate agreement, you must follow its conditions and requirements.

If you are eligible for and using a rate not to exceed 10%, you may include up to 10% of the modified total direct costs (MTDC) in your indirect cost calculations. (Please see above section on this 10% rate as well as 2 C.F.R. § 200.414(f) and § 200.68.)

Student Support Costs

• Students are understood to be:

• Students enrolled in a community college, undergraduate, or graduate program of study.

• Individuals participating in post-master’s or post-doctoral programs which are focused on supporting their career or professional development.

• Library, archive, and museum staff participating in education and training activities focused on their career or professional development.

Examples of student support include:

• Tuition support for students participating in the project.

• Salaries or stipends for graduate assistant work, so long as their work is focused on research and teaching activities (therefore contributing to their education).

• Pay and benefits for a resident or fellow to work in a position that is intended to support their learning outcomes or professional development.

• Costs for travel and conference registration provided to support a student or participant’s learning outcomes or professional development.

• Costs of supplies and equipment provided to students to support a student’s learning outcomes or professional development.

Activities not considered student support include:

• Students employed in roles that are primarily administrative or clerical, doing work that is not primarily focused on their career or professional development. These costs should be listed in the salaries and wages section of the budget, and tuition paid on behalf of these students would not be considered student support.

Proof of Private, Nonprofit Status

If your organization is applying as a private, nonprofit institution, you must submit a copy of the letter from the Internal Revenue Service indicating your eligibility for nonprofit status under the applicable provision of the Internal Revenue Code of 1954, as amended. (See 2 C.F.R. §3187.7(b)). We will not accept a letter of state sales tax exemption as proof of nonprofit status.

Appendix Five – IMLS Products Guidance

Guidance for Projects that Develop Digital Products

What are digital products?

IMLS broadly defines digital products as any digital content, resources, assets, software, or datasets that you may create, collect, or develop during the course of your project.

What are the IMLS requirements for projects that create, collect, or develop digital products?

IMLS is committed to expanding public access to federally funded research, data, and other digital products. The assets you create with IMLS funding require careful stewardship to protect and enhance their value, and they should be freely and readily available for use and re-use by libraries, archives, museums, and the public. However, applying these principles to the development and management of digital products is not always straightforward. We require that you follow the directions addressing specific aspects of creating and managing digital products in the Digital Product Form. Download the Click here to access the Digital Product Form (PDF, 45KB; Word, 27.1 KB).

Additionally, IMLS participates in the Federal Agencies Digital Guidelines Initiative (FADGI), a collaborative effort by federal agencies to define common standards, guidelines, methods, and best practices for creating digital collections. The FADGI website includes a growing list of links to relevant standards, recommendations, and other resources. While this list is not exhaustive—nor do we endorse any specific resource—applicants considering digital projects may find the information useful. Click here to access the FADGI website.

Access to Work Products and Documents from IMLS Supported Projects

How should we share our work products from IMLS-supported projects?

All work products resulting from IMLS funding should be distributed for free or at cost unless we have given you written approval for another arrangement. We encourage IMLS grant recipients to share their work products (including publications, datasets, educational resources, software, and digital content) whenever possible through free and open-access journals and repositories. We expect you to ensure that final peer-reviewed manuscripts resulting from research conducted under an award are made available in a manner that permits the public to access, read, download, and analyze the work without charge. Wide dissemination of the results of IMLS-funded projects advances the body of knowledge and professional practice in museum, library, and information services.

What project documents might IMLS make openly accessible?

We may share grant applications, work products, and reports with grantees, potential grantees, and the general public to further the mission of the agency and the development of museum, library, and information services. We require that your final report include one copy of each written product you create, unless otherwise instructed. These materials may be disseminated broadly and made available in a variety of ways and formats.

What do we need to know about copyright and works produced with IMLS support?

You may copyright any work that is subject to copyright and was developed under an award or for which ownership was purchased. However, we reserve, for federal government purposes, a royalty free, nonexclusive, and irrevocable right to reproduce, publish, or otherwise use the work and authorize others to reproduce, publish, or otherwise use the work. We encourage you to make your works produced with IMLS support widely available, including through the use of open licenses.

What do we need to know about digital products produced with IMLS support?

IMLS is committed to expanding public access to federally funded digital products (i.e., digital content, resources, assets, software, and datasets). We require that you follow the directions addressing specific aspects of creating and managing digital products in the Digital Product Form. The form provides additional instructions and guidance. Click here to access the Digital Product Form (PDF, 45KB; Word, 27.1 KB).

Appendix Six – Conflict of Interest

Requirements

Conflict of Interest Requirements

What conflict of interest requirements must we follow?

As a non-federal entity, you must follow IMLS conflict of interest policies for federal awards. You must disclose in writing any potential conflict of interest to an IMLS Program Officer, or to the pass-through entity if you are a subrecipient or contractor. This disclosure must take place immediately whether you are an applicant or have an active IMLS award.

The IMLS conflict of interest policies apply to subawards as well as contracts, and are as follows:

• As a non-federal entity, you must maintain written standards of conduct covering conflicts of interest and governing the performance of your employees engaged in the selection, award, and administration of subawards and contracts.

• None of your employees may participate in the selection, award, or administration of a subaward or contract supported by a federal award if he or she has a real or apparent conflict of interest. Such a conflict of interest would arise when the employee, officer, or agent, any member of his or her immediate family, his or her partner, or an organization which employs or is about to employ any of the parties indicated herein, has a financial or other interest in or a tangible personal benefit from an organization considered for a subaward or contract. The officers, employees, and agents of the non-federal entity must neither solicit nor accept gratuities, favors, or anything of monetary value from subrecipients or contractors or parties to subawards or contracts.

• If you have a parent, affiliate, or subsidiary organization that is not a state, local government, or Indian tribe, you must also maintain written standards of conduct covering organizational conflicts of interest. Organizational conflicts of interest means that because of relationships with a parent company, affiliate, or subsidiary organization, you are unable or appear to be unable to be impartial in conducting a subaward or procurement action involving a related organization.

OMB Control #: 3137-0107, Expiration Date: 2/29/2020 IMLS-CLR-F-0036