FY23-ols-nab-nofo 20221021

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NATIVE AMERICAN LIBRARY SERVICES
BASIC GRANTS

FY 2023 NOTICE OF FUNDING OPPORTUNITY

Federal Awarding Agency	Institute of Museum and Library Services
Funding Opportunity Title	Native American Library Services Basic Grants
Announcement Type	Modification of FY2022 Notice of Funding Opportunity
Funding Opportunity Number	NAG-BASIC-FY23
Assistance Listing Number	45.311
Application Due Date	Submit through Grants.gov by 11:59 p.m. U.S. Eastern Time on March 1, 2023.
Anticipated Date of Notification of Award Decisions	July 2023 (subject to the availability of funds and IMLS discretion)
Beginning Date of Period of Performance	Projects must begin on August 1, 2023.

Table of Contents

A. Program Description X

B. Federal Award Information X

C. Eligibility Information X

D. Application and Submission Information X

E. Application Review Information X

F. Award Administration Information X

G. Contacts X

H. Other Information X

Appendix One–IMLS Assurances and Certifications X

Appendix Two–Guidance for Required Registrations X

Appendix Three–Guidance for Completing Forms and Other Application Components X

Appendix Four–Guidance for Creating A Digital Products Plan X

Appendix Five–Conflict of Interest Requirements X

Native American Library Services
Basic Grants

A. Program Description

A 1. Purpose

The mission of the Institute of Museum and Library Services (IMLS) is to advance, support, and empower America’s museums, libraries, and related organizations through grantmaking, research, and policy development. Guiding our grantmaking are three agency-level goals with two objectives each.

• Goal 1: Champion Lifelong Learning

• Objective 1.1: Advance shared knowledge and learning opportunities for all.

• Objective 1.2: Support the training and professional development of the museum and library workforce.

• Goal 2: Strengthen Community Engagement

• Objective 2.1: Promote inclusive engagement across diverse audiences.

• Objective 2.2: Support community collaboration and foster civic discourse.

• Goal 3: Advance Collections Stewardship and Access

• Objective 3.1: Support collections care and management.

• Objective 3.2: Promote access to museum and library collections.

The Native American Library Services Basic Grants program is designed to support the achievement of these agency-level goals and to facilitate the delivery of significant results consistent with its federal authorizing legislation (20 U.S.C. § 9101 et seq.; in particular, § 9161 (Services for Native Americans)). Each award that IMLS makes through the Native American Library Services Basic Grants program will align with one of these agency-level goals and one of its associated objectives and will contribute meaningfully to the achievement of both program and agency-level goals.

Click here to search awards made through the Native American Library Services Basic Grants program by year, state, city, or keyword.

Throughout its work, IMLS places importance on diversity, equity, and inclusion. This may be reflected in an IMLS-funded project in a wide range of ways, including efforts to serve individuals of diverse geographic, cultural, and socioeconomic backgrounds; individuals with disabilities; individuals with limited functional literacy or information skills; individuals having difficulty using a library or museum; and underserved urban and rural communities, including children from families with incomes below the poverty line.

A2. Native American Library Services Basic Grants
Goals and Objectives

This program is designed to assist Native American tribes in improving core library services for their communities. Information needs and approaches to meeting them are evolving at an unprecedented pace in all communities, and to operate within this environment effectively for the benefit of their users, libraries must be able to both strengthen existing services and move quickly to adopt new and emerging technologies. Reflecting IMLS’s agency-level goals of championing lifelong learning, strengthening community engagement, and advancing collections stewardship and access, the goals and objectives for this program are:

• Goal 1: Improve services for learning and accessing information in a variety of formats to support needs for education, workforce development, economic and business development, health information, critical thinking skills, digital literacy skills, and financial literacy and other types of literacy skills.

• Objective 1.1: Support the acquisition of library-related materials, supplies, equipment, furnishings, services, and fees for participation in networks and consortia that provide the library with direct services.

• Objective 1.2: Support the engagement of consultants and/or third-party service providers with expertise in providing library and technology assessments, tutoring, skill-building, and other relevant fields.

• Goal 2: Enhance the skills of the current library workforce and leadership through training, continuing education, and opportunities for professional development.

• Objective 2.1: Support the coverage of expenses related to courses, workshops, and other forms of training for library staff.

• Objective 2.2: Support the coverage of expenses related to staff participation at professional conferences.

A3. Performance Measurement

The Native American Library Services Basic Grants program uses two performance measures as a basis for understanding (1) how well the grant program is meeting its goals and (2) how individual projects are being managed.

• Effectiveness: The extent to which activities contribute to achieving the intended results of the project

• Timeliness: The extent to which each task/activity is completed within the timeframe proposed

Each applicant is asked to describe how they will monitor and assess their performance in carrying out their project as a whole using these two measures (see Section D2c Item 5).

A4. Authorizing Statute and Regulations

Statute: 20 U.S.C. § 9101 et seq.; in particular, § 9161 (Services for Native Americans).

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

Recipients must follow the IMLS regulations that are in effect at the time of the award.

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. part 200. With certain IMLS-specific additions, IMLS regulations at 2 C.F.R. part 3187 formally adopt the 2 C.F.R. part 200 Uniform Guidance.

A5. 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.

B. Federal Award Information

Total amount of funding IMLS expects to award through this announcement	$1,806,000
Expected performance measurements	See Section A3
Anticipated number of awards	172
Expected amount of individual awards*	$6,000-10,000
Average amount of funding per award experienced in previous years	$9,600
Anticipated start dates for new awards	Projects must begin on August 1, 2023.
Anticipated period of performance	August 1, 2023 – July 31, 2024. Project activities may be carried out for one year.
Type of assistance instrument	Grant

*The range for Native American Basic Grants for FY 2023 is $6,000 - $10,000 which may, but is not required to, include up to $3,000 for expenses related to eligible professional development and library service assessment activities. All activities should be represented in the Library Services Plan and the IMLS Budget Form.

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. Eligible Applicants

To be eligible for an award under this Native American Library Services Basic Grants Notice of Funding Opportunity, your organization must be a federally recognized Indian tribe. Entities such as libraries, schools, tribal colleges, or departments of education are not eligible, although they may be involved in the administration of this program, and their staff may serve as project directors in partnership with an eligible applicant.

For the purpose of funding under this program, “Indian tribe” means any tribe, band, nation, or other organized group or community, including any Alaska native village, regional corporation, or village corporation (as defined in, or established pursuant to, the Alaska Native Claims Settlement Act (43 U.S.C. § 1601 et seq.)), which is recognized as eligible for the special programs and services provided by the United States to Indians because of their status as Indians. A list of eligible entities is available from the Bureau of Indian Affairs.

Minimum Requirements of Library Service

To be eligible for this program, your organization must be able to document an existing library that meets, at a minimum, three basic criteria: (1) regularly scheduled hours, (2) staff, and (3) materials available for library users.

Please note that there are also funding restrictions that could affect the eligibility of a project; please consult Section D6 below for details.

C2. Cost Sharing

Cost sharing is not required in this program. Please do not include cost share in your budget.

C3. Other Eligibility Information

Eligible applicants may submit only one application under this announcement. The same population cannot be served by more than one Native American Library Services Basic Grant.

IMLS will not review applications from ineligible applicants. IMLS will notify each applicant whose application will not be reviewed because the organization is determined to be ineligible.

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

All application materials must be received through Grants.gov by the application deadline, 11:59 p.m. U.S. Eastern Time on March 1, 2023. Late, incomplete, or ineligible applications will not be considered for funding under this notice.

D. Application and Submission Information

D1. 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:

• Funding Opportunity Number: NAG-BASIC-FY23

• Assistance Listing Number 45.311

To request an audio recording of this announcement, call 202-653-4744. To request a paper copy of this announcement, call 202-653-4744 or email imls-librarygrants@imls.gov.

Persons who are deaf or hard of hearing (TTY Users) can contact IMLS at 202-207-7858 via 711 for TTY-Based Telecommunications Relay Service.

D2. Content and Form of Application Submission

The Table of Application Components below will help you prepare a complete application. The links lead to more information and instructions for each application component.

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
IMLS Supplementary Information Form (including Abstract)	Grants.gov form	n/a
IMLS Library – Discretionary Program Information Form	Grants.gov form	n/a
Library Services Plan (three pages max.)	PDF document	Plan.pdf
Performance Measurement Plan (one page max.)	PDF document	PerfMeasurement.pdf
IMLS Budget Form	IMLS PDF form	Budget.pdf
Conditionally Required Documents Please see the guidance in Section D2d for more information.
Digital Products Plan (two pages max.)	PDF document	Digitalproduct.pdf

D2b. Format, Name, and Sequence of the Application Components

Document format: Aside from the SF-424S, the IMLS Supplementary Information Form (including Abstract), and the IMLS Library – Discretionary Program Information Form, which are created in Grants.gov Workspace, all application components must be submitted as PDF documents.

Page limits: Note page limits listed in the table above. IMLS will remove any pages over the limit.

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

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 Grants.gov Workspace. Click here for instructions on completing the SF-424S.

2. IMLS Supplementary Information Form (including Abstract)

The IMLS Supplementary Information Form (including Abstract) is part of the application package that you complete in Grants.gov Workspace. Click here for instructions on completing it.

3. IMLS Library – Discretionary Program Information Form

The IMLS Library - Discretionary Program Information Form is part of the application package that you complete in Grants.gov Workspace. Click here for instructions on completing it.

4. Library Services Plan

Write a Library Services Plan consisting of a Narrative, a Budget Summary, and, if applicable, a description of any proposed professional development or library service assessment activities. Limit the plan to three (3) numbered pages and save it as a PDF. IMLS will remove any additional pages and will not consider them as part of your application.

Narrative: Address the questions below in the same order in which they are listed.

• What aspects of library operations and/or core library services will be the focus of your work this year? If you plan to carry out any professional development or library service assessment activities, describe them here.

• Why is this work important to your community?

• How will you carry out your plan?

• What results do you plan to achieve? They should be specific, measurable, and realistic.

Budget Summary: Write a Budget Summary to identify each expense included on the IMLS Budget Form and show how you determined each dollar amount. Click here for detailed instructions.

5. Performance Measurement Plan

The Performance Measurement Plan should show how you will monitor and assess your performance as a grantee from the perspectives of Effectiveness and Timeliness (see Section A3).

For each measure, identify what data you will collect from what source, the method you will use to collect it, and according to what schedule. The chart below provides sample statements for each measure and a space to record your own. Click here for a fillable version of this chart (DOCX, 29KB) which you are welcome, but not required, to use. Limit your Performance Measurement Plan to one page and save your document as a PDF.

The Performance Measurement Plan may be published online, or otherwise shared, by IMLS. As such, it must not include any sensitive, proprietary, or confidential information.

6. IMLS Budget Form

Download and complete the current IMLS Budget Form (PDF, 1.7MB). Click here for instructions on completing it.

Make sure that the total budget amount on your IMLS Budget Form matches the total amount in your Library Services Plan and the total amount on your Supplementary Information Form.

(Back to Table of Application Components)

D2d. Conditionally Required Documents

This document may be required, depending on the circumstances. Failure to provide a Conditionally Required Document will result in your application’s being considered incomplete, and it may be rejected from further consideration.

Digital Products Plan

If you are proposing to generate digital content, resources, assets, or software, then you must provide a completed Digital Products Plan. Click here for Guidance for Creating a Digital Products Plan.

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

(Back to Table of Application Components)

D3. Registration Requirements

Before submitting an application, an applicant organization must have a Unique Entity Identifier (UEI) number; a current and active System for Award Management (SAM) registration; and an active Grants.gov registration with an approved Authorized Organization Representative (AOR). Check materials and registrations well in advance of the application deadline to ensure that they are accurate, current, and active.

D3a. Unique Entity Identifier

The Unique Entity Identifier (UEI) number is a non-proprietary alphanumeric identifier assigned to all entities (public and private companies, individuals, institutions, or organizations) who register to do business with the Federal Government. The UEI has replaced the D-U-N-S® number and is requested in, and assigned by, the System for Award Management (SAM). Award recipients must inform any subrecipients that the recipient may not make a subaward unless the subrecipient has also obtained a UEI. Click here to learn more about planned UEI updates.

D3b. System for Award Management (SAM)

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. Click here to learn more about SAM registration.

D3c. Grants.gov

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

Applicants must register with Grants.gov prior to submitting an application package. The multistep registration process generally cannot be completed in a single day. If your organization is not already registered, allow several weeks before the application deadline to complete this one-time process. Do not wait until the day of the application deadline to register.

The Grants.gov user ID and password obtained during the registration process are required to submit an application when it is complete.

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

D4. Submission Dates and Times

All organizations must submit their applications for funding using Grants.gov Workspace. Do not submit through email or postal mail to IMLS.

For the Native American Library Services Basic Grants program, Grants.gov will accept applications through 11:59 p.m. U.S. Eastern Time on March 1, 2023.

Under certain circumstances, IMLS allows an extension of grant application deadlines for adversely affected applicant organizations that are located in counties listed in Emergency Declarations and/or Major Disaster Declarations. See Application Deadlines for further information.

IMLS strongly recommends that applicants obtain a UEI number, register with SAM and Grants.gov, and complete and submit the application early (see Section D3a). IMLS makes 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.

Visit Grants.gov Support, email support@grants.gov, or call Grants.gov Applicant Support at 1-800-518-4726 for technical assistance. Grants.gov Applicant Support is available 24 hours a day, seven days a week, except for federal holidays.

Grants.gov will generate a series of emails confirming the status of your application. Applicants can check the status of their application(s) in Grants.gov by using “Track My Application.” For further details, visit Check Application Status at Grants.gov.

D5. Intergovernmental Review

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

D6. Funding Restrictions

D6a. Allowable and Unallowable Costs

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

The following list includes some examples of generally allowable costs under this announcement:

• salaries, wages, and fringe benefits for library personnel and/or for temporary staff when regular staff are attending courses, workshops, or training

• travel expenses for consultants

• travel expenses for staff to attend library-related continuing education courses and training workshops; to attend or give presentations at conferences

• training, workshop, and/or conference registration fees

• supplies, materials, software, and equipment related directly to library services (e.g., books, journals, magazine subscriptions, electronic resources, library supplies, library automation software, library furnishings, computers, wi-fi devices)

• adaptive and/or assistive technologies and other resources and services to improve accessibility for persons with disabilities

• contract services (e.g., public program presenters, after-school tutoring services, library-related consultants, technology consultants, consultants with digitization expertise)

• program evaluation

• after-school tutoring services

• internet access

• fees for participation in networks and consortia that provide the library with direct services

Applicants must explain all proposed expenses in the Budget Summary section of the Library Services Plan.

The following list includes some examples of unallowable costs under this announcement:

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

• contributions to endowments

• social activities, ceremonies, receptions, or entertainment, including food, gifts, and promotional items

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

• indirect costs

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

D6b. Costs for Third Parties

When a project requires the payment of federal funds to third parties (such as partners, consultants, collaborators, vendors, and/or service providers), it is the applicant organization’s 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 made with each third party. (See 2 C.F.R. § 200.1 for definitions of contract, contractor, subaward, and subrecipient; see also 2 C.F.R. § 200.331 (Subrecipient and contractor determinations).) IMLS grant funds may not be provided to any federal agency serving as a third party.

D6c. Indirect Costs

Indirect costs are not allowed in this grant program.

E. Application Review Information

E1. Review Criteria

Basic Grants under this program are non-competitive awards available to eligible applicants who submit complete applications with Library Service Plans that align with program goals and objectives (see Section A2).

E1a. Is cost sharing considered in the review process?

Cost sharing is not considered in the review of applications.

E2. Review and Selection Process

Basic Grants are non-competitive awards available to eligible applicants to support existing library operations and to maintain core library services. IMLS makes awards to eligible applicants that submit complete applications, including attachments, through Grants.gov, on or before the deadline. The Director makes final funding decisions consistent with the purposes of the agency’s mission and programs.

E3. Designated Integrity and Performance System

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. § 200.206 (Federal awarding agency review of risk posed by applicants).

E4. Anticipated Announcement and Award Dates

IMLS will not release information about the status of an application until the applications have been processed and all deliberations are concluded. IMLS expects to notify both successful and unsuccessful applicants of the final decisions by July 2023.

F. Award Administration Information

F1. Federal Award Notices

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

F2. Administrative and National Policy Requirements

Organizations that receive IMLS grants or cooperative agreements are subject to 2 C.F.R. part 200 Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, 2 C.F.R. part 3187, the IMLS General Terms and Conditions for IMLS Discretionary Grant and Cooperative Agreement Awards (PDF, 459KB), and the IMLS Assurances and Certifications. Organizations that receive IMLS funding must be familiar with these requirements and comply with applicable law.

Applicants for federal funds must certify that they 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 IMLS Assurances and Certifications. By submitting the application, which includes the Assurances and Certifications, applicants certify that they are in compliance with these requirements and that they will maintain records and submit any reports that are necessary to ensure compliance. Failure to comply with these statutory and regulatory requirements may result in the suspension or termination of an award and require that the recipient return funds to the government. For information about award termination, please see the IMLS General Terms and Conditions for IMLS Discretionary Grant and Cooperative Agreement Awards and 2 C.F.R. § 200.340.

F3. Reporting

Grantees must comply with the following reporting requirements.

Financial and performance reports are due according to the reporting schedule that is part of your official award notification. Grantees must submit reports electronically using the IMLS electronic grants management system. In support of the agency’s commitment to open government, 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, please see Manage Your Award: Grant Administration.

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

If the federal share of the award is more than $500,000 over the period of performance, recipients should refer to the post-award reporting requirements reflected in 2 C.F.R. part 200, Appendix XII – Award Term and Condition for Recipient Integrity and Performance Matters (see also 2 C.F.R. §§ 200.113 (Mandatory disclosures) and 200.211(c)(iii) (Information contained in a Federal award)).

G. Contacts

Click here for IMLS staff contact information for this program. IMLS staff are available by phone and email to answer programmatic and administrative questions relating to this grant program. IMLS staff also host webinars to introduce potential applicants to funding opportunities. Click here for a list of webinars and instructions for accessing them from your computer.

Visit the Federal Service Desk or call 1-866-606-8220 for questions about registering or renewing your registration with login.gov or SAM.gov. Hours of operation are Monday through Friday, 8 a.m. to 8 p.m. Eastern Time.

Visit Grants.gov Support, email support@grants.gov, or call Grants.gov Applicant Support at 1-800-518-4726 for assistance with software issues, registration issues, and technical problems. Grants.gov Applicant Support is available 24 hours a day, seven days a week, except for federal holidays.

Be sure to obtain a case number when calling the Federal Service Desk or Grants.gov for support.

H. Other Information

H1. 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. Disclosure of Information in Applications

IMLS may share grant applications, products, and reports to further the mission of the agency and the development of museum, library, and information services.

As a general practice, and except for information that is privacy-protected, information contained in IMLS applications that receive funding may be made public. Please identify any information you deem confidential and/or proprietary and seek to have protected.

H3. Conflict of Interest Requirements

As non-federal entities, award recipients must follow IMLS conflict of interest policies for federal awards. Click here for more information about IMLS conflict of interest requirements.

H4. Additional Information about IMLS

Visit the IMLS website for information about IMLS and IMLS activities.

H5. IMLS Obligations to Make Awards

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

H6. Peer Review

Any individual interested in serving as a peer reviewer for other IMLS programs is welcome to enter contact information, identify their experience and expertise, and upload a resume through the IMLS online reviewer application portal. IMLS staff will notify the individuals who are identified as potential reviewers by email prior to the next review period to confirm availability.

H7. Copyright Information

Awardees may copyright any work that is subject to copyright and was developed, or for which ownership was acquired, under a federal award. IMLS reserves a royalty free, nonexclusive, and irrevocable right to reproduce, publish, or otherwise use the work for federal purposes, and to authorize others to do so. (For additional information, please see 2 C.F.R. § 200.315 (Intangible property).)

H8. Application Completion Time

Complete applications include the elements listed in the Table of Application Components in Section D2a. IMLS estimates the average amount of time needed for one applicant to complete the narrative portion of this application to be 3 hours. This includes the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and writing and reviewing the answers.

IMLS estimates that it will take an average of 15 minutes per response for the IMLS Supplementary Information Form and the IMLS Library – Discretionary Program Information Form and three hours per response for the IMLS Budget Form.

IMLS welcomes your suggestions for improving this collection of information and for making it as easy to use as possible. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to grantsadmin@imls.gov. Please note that applicants are not required to respond to any collection of information unless it displays a currently valid U.S. Office of Management and Budget (OMB) control number.

H9. PRA Clearance Number

OMB Control #: 3137-0093, Expiration date: 02/29/2024

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 submitting the application, 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. Chapter XXXI and 45 C.F.R. Chapter 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. part 1181 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. §§ 1681–1689), 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. part 3185 and 2 C.F.R. part 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, the authorized representative, on behalf of the applicant, shall attach an explanation to the application.

The applicant, as a primary tier participant, is required to comply with 2 C.F.R. part 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. part 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. part 3186 (Requirements for Drug-Free Workplace (Financial Assistance)). In particular, 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. part 3186, which adopts the Government wide implementation (2 C.F.R. part 182) of the Drug-Free Workplace Act of 1988 (41 U.S.C. §§ 8101-8106). 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 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 kept on file in the recipient’s offices) all known workplaces under 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 31 U.S.C. § 1352. 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 Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards set forth in 2 C.F.R. part 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, associated funerary objects, and/or cultural items, 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 (54 U.S.C. § 306101 et seq.), 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 Exec. Order No. 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. part 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 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 at 955 L’Enfant Plaza North, SW, Suite 4000, Washington, DC, 20024-2135.

Appendix Two–Guidance for Required Registrations

Acquiring a Unique Entity Identifier

Until April 2022, all non-federal entities were required to obtain a Dun and Bradstreet Data Universal Numbering System (D-U-N-S®) Number in order to apply for, receive, and report on federal awards. The Unique Entity Identifier (UEI) has replaced the D-U-N-S® Number and will be requested in, and assigned by, the System for Award Management (SAM). Applicants with active SAM registrations can find their assigned UEI in their SAM records. Applicants without active SAM registrations will receive a UEI when they register in SAM.

For more information about the UEI, visit gsa.gov/entityid.

Registering with SAM

The System for Award Management (SAM) is a federal repository that centralizes information about grant applicants and recipients and is free to all users. Applicants must be registered with SAM before registering with Grants.gov. Click here to learn how to check on an organization's registration status in SAM.

Representatives of organizations that must register with SAM for the first time must begin by creating a SAM user account through login.gov. Click here to access instructions and FAQs. Then proceed to the registration process.

IMLS recommends that applicants allow several weeks to complete the SAM registration.

Each applicant and recipient must maintain an active SAM registration with current information at all times during which it has an active award or an application under consideration by IMLS. IMLS may not make an award to an applicant until the applicant has complied with all applicable Unique Entity Identifier and SAM requirements and, if an applicant has not fully complied with the requirements by the time IMLS is ready to make a federal award, IMLS may determine that the applicant is not qualified to receive a federal award and use that determination as a basis for making an award to another applicant.

Applicants and recipients must renew their registrations in SAM at least every 12 months—and sooner if their information changes. An expired registration will prevent an organization from submitting applications via Grants.gov and receiving awards or payments. Grant payments will be made to the bank account that is associated with the organization’s SAM registration.

Registering with Grants.gov

Grants.gov is a website owned and operated by the Federal Government and is free to all users. Applicants must register with Grants.gov before submitting an application to IMLS. Click here to learn more about the multistep registration process. Applicants should make sure that the information associated with their SAM registration is current and active. Allow several weeks to complete the Grants.gov registration.

After an organization registers with Grants.gov and creates 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. Click here for more detailed instructions for creating a profile on Grants.gov.

Designating more than one Authorized Organization Representative (AOR) when registering in Grants.gov will help avoid last-minute crises in the event that a single AOR is unavailable when the organization is ready to submit the application. It is also important to update the contact information and password in Grants.gov whenever an AOR changes.

Visit Grants.gov Support, email support@grants.gov, or call Grants.gov Applicant Support at 1-800-518-4726 for technical assistance. Grants.gov Applicant Support is available 24 hours a day, seven days a week, except for federal holidays. Click here for Grants.gov Applicant FAQs with links to additional applicant resources.

Working with Grants.gov Workspace

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 forms within an application. For each funding opportunity, applicants can create individual copies of a workspace to complete an application. Click here for an overview of Grants.gov Workspace with links to interactive graphics, videos, and Help Articles.

Appendix Three–Guidance for Completing Forms and Other Application Components

Grants.gov SF-424S Form

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 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 Supplementary Information Form.

2. Address: Enter your legal applicant’s address as it appears in your SAM 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 UEI: Enter your organization’s Unique Entity Identifier (UEI). If your organization’s SAM registration is active, you can find your assigned UEI in your SAM record. If you cannot locate your UEI, contact the Federal Service Desk at www.fsd.gov or 1-866-606-8220.

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, click here to visit the House of Representatives website and use 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 about the purpose of the project, the activities to be performed, the deliverables and expected outcomes, and the intended beneficiaries. 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 Supplementary Information Form

This is a dynamic form, so your answers to certain questions will determine what questions you see next.

Applicant Information

Does the legal applicant identified on the SF-424S have an organizational unit that will perform the activities described in the application?

• If your organization has a parent organization, such as a university or a unit of state or local government, or cannot apply for grants on its own behalf, check YES.

• If your organization, on its own, meets the eligibility criteria for the grant program to which you are applying, check NO.

Funding Request

IMLS funds requested: Enter the amount in dollars sought from IMLS.

Cost share amount: Please do not include cost share. There are no requirements for cost sharing in this program.

Indirect Cost Rate

Indirect costs are not allowed in this program. Please do not include indirect costs in your application.

Audience(s) Served

Select the primary audience(s) to be served by the activities described in the application. Choose no more than three. If you choose General Population, do not choose any others.

Abstract

Write a one- or two-sentence summary of your Library Services Plan. 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.

IMLS Library – Discretionary Program Information Form

Sections of this form are dynamic, so your answers to certain questions will determine what questions you see next.

Section 1. Organizational Financial Information: a-d. Federally recognized tribes are not required to submit this information. However, to avoid error messages and so that your form may be successfully submitted, enter “0” under Total Revenue and under Total Expenses for each Fiscal Year.

Section 2. Agency-Level Goals and Objectives: Select one of the three IMLS Agency-Level Goals with which your project best aligns. Once you have selected a goal, then select an associated objective.

Section 3. Grant Program: Select Native American Library Services Basic Grants.

IMLS Budget Form

Make sure that JavaScript is enabled in your web browser. Download the IMLS Budget Form (PDF, 1.7MB) to your computer and work on it outside your web browser. When it is complete, save it as a PDF and upload it as part of your application through Grants.gov.

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. part 200 and 2 C.F.R. part 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. Project activities may be carried out for only one year. Years 2 and 3 should be left blank.

The budget should include the project costs that will be charged to grant funds. All the items listed 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 Summary.

1. Salaries and Wages: Include both temporary and permanent staff as well as volunteers engaged in project activities. Document the method of cost computation in your Budget Summary by including the base salary or wages for each person and the percentage of time each person is allocated to the project activities, which may be shown as a percentage of time, number of days, or number of hours.

2. Fringe Benefits: Fringe benefits can only be claimed as a direct cost for those positions included in your direct cost pool and only on the portion of salaries and wages identified for this project. Indicate your organization’s fringe benefit rate (in percent) and the base (in dollars) to which the rate is applied (e.g., 20% x $4,089.00).

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

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.

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. part 200. Use the Budget Summary to explain or describe these items in further detail.

5. Subawards and Contracts: 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 arrangement as either a subaward or a contract using the drop-down menu on each line.

6. Student Support: If your project includes Student Support costs, enter them in this section. 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. Do not use this section to list items that do not fit in the lines allotted for another section.

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

9. Indirect Costs: Indirect costs are not allowed in this program. Please leave this blank.

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

Student Support Costs in the Budget

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.

(See 2 C.F.R. § 200.466 (Scholarships and student aid costs); see also 2 C.F.R. § 200.430 (Compensation – personal services).)

Budget Summary

The Budget Summary should be included in the Library Service Plan and follow the format of the IMLS Budget Form’s section headings.

A maximum of $3,000 may be allotted for professional development or library service assessment activities. If you do not request funding for these activities, you may still request an award of $6,000 - $10,000.

1. Salaries and Wages

Identify each person whose salary or wages will be paid with IMLS funds, 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 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 (in percent) and the base (in dollars) to which the rate is applied 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 amounts.

4. Supplies, Materials, and Equipment

List each type of supply, material, and equipment you propose to purchase 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 with your application.

5. Subawards and Contracts

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, contractors, collaborators, vendors, and service providers.) Identify each third party by name, describe their role in the project, the activities they will carry out, and the cost. IMLS grant funds may generally not be provided to other U.S. government agencies. For each entry, designate the third party as either a subrecipient (who receives a subaward) or a contractor (who receives a contract). 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 subaward or a contract. 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. § 200.331 (Subrecipient and contractor determinations).)

6. Student Support

Explain your method for calculating the costs listed in this section. 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, which you are requesting from IMLS.

9. Indirect Costs

Indirect costs are not allowed in this program. Please do not include indirect costs in your budget.

10. Total Project Costs

Indicate the total project costs here.

Appendix Four–Guidance for Creating a Digital Products Plan

IMLS is committed to expanding public access to digital products that are created using federal funds. The digital products 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. IMLS also recognizes that technology is dynamic and does not want to inhibit innovation by prescribing set standards and practices that could become quickly outdated. Therefore, IMLS asks each applicant proposing to create digital products to prepare and submit a Digital Products Plan describing how they will address specific aspects of creating and managing digital products, employing practices and standards that are most appropriate for their specific project. Like all components of an IMLS application, your plan will be closely scrutinized by IMLS staff, and it will be important in determining whether your project will be funded. Organize your plan to address the following: Type, Availability, Access, and Sustainability.

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 does IMLS endorse any specific resource—applicants considering digital projects may find the information useful. Click here to access the FADGI website.

Type

What digital products will you create?

Most projects are likely to generate digital content, resources, or assets. They may be digitized or born-digital products created by individuals, project teams, or through community gatherings. Examples include, but are not limited to, still images, audio files, moving images, microfilm, object inventories, object catalogs, artworks, books, posters, curricula, field books, maps, notebooks, scientific labels, metadata schema, charts, tables, drawings, workflows, teacher resources, and software, including source code, algorithms, applications, and digital tools, plus accompanying documentation.

In your Digital Products Plan, describe the digital content, resources, or assets you will create or collect, the quantities of each type, the digital file format(s), the accompanying metadata, and any relevant standards you will use. If you are developing software, you should also specify the programming languages, platforms, frameworks, software, or other applications you will use to create your software and explain why you chose them.

Availability

How will you make your digital products openly available (as appropriate)?

IMLS encourages grant recipients to make works produced with IMLS support widely available, and to share their work products (including publications, datasets, educational resources, software, and digital content) whenever possible through free and open-access journals and repositories. Your project may involve making digital products available through public or access-controlled websites, kiosks, or live or recorded programs. IMLS expects applicants to ensure that publications produced under an award (including but not limited to 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.

In your Digital Products Plan, describe how you will make the digital content, resources, assets, software, and metadata available to the public. Include details such as the delivery strategy (e.g., openly available online, available to specified audiences) and underlying hardware/software platforms and infrastructure (e.g., specific digital repository software or leased services, accessibility via standard web browsers, requirements for special software tools to use the content, delivery enabled by IIIF specifications). Identify and explain the reasons for any limitations in your Digital Products Plan.

Access

What rights will you assert over your digital products, and what limitations, if any, will you place on their use? Will your products implicate privacy concerns or cultural sensitivities, and if so, how will you address them?

Grant recipients may copyright any work that is subject to copyright and that was developed under an award or for which ownership was purchased. However, IMLS reserves, 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.

IMLS expects applicants receiving federal funds for developing or creating digital products to release these files under open-source licenses to maximize access and promote reuse. All work products resulting from IMLS funding should be distributed for free or at cost unless IMLS has provided written approval for another arrangement.

In your Digital Products Plan, identify any licenses under which digital products will be shared (e.g., Creative Commons licenses, RightsStatements.org statements). Describe what intellectual property rights you will assert over your digital products and explain any limitations or conditions you will place on their use. If your products implicate privacy concerns or cultural sensitivities, describe these issues and how you plan to address them.

Sustainability

How will you address the sustainability of your digital products?

To the maximum extent possible, the digital products created with IMLS funding should be freely and readily available for use and reuse by libraries, archives, museums, and the public. Some digital products that are generated during a project should be long-lived, requiring permanent preservation, and others (e.g., preliminary analyses, drafts of papers, plans for future work, peer-review assessments, most social media communications, and communications with colleagues) should be retained and shared in the medium- or short-term.

In your Digital Products Plan, describe your plan for preserving and maintaining digital products during and after the period of performance and identify the appropriate length of time different digital products should be curated. Address storage systems, shared repositories, technical documentation, migration planning, and commitment of organizational funding for these purposes.

Note: You may charge the federal award before closeout for the costs of publication or sharing of results if the costs are not incurred during the period of performance of the federal award (see 2 C.F.R. § 200.461).

Appendix Five–Conflict of Interest Requirements

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 #: 3137-0093, Expiration Date 02/29/2024