Laura Bush 21st Century Librarian Program guidelines

2007
Laura Bush
21st Century
Librarian Program
Grant Program Guidelines
CFDA No. 45.313

Application Deadline: December 15, 2006
Applicants must apply through Grants.gov
(see www.imls.gov/grantsgov for more information)

FOR MORE INFORMATION, CALL OR WRITE:

Laura Bush 21st Century Librarian Program Staff
Stephanie Clark, Senior Program Officer
Phone: 202/653-4662
E-mail: [email protected]

Office of Management
and Budget Clearance
Numbers

Karmen Bisher, Program Specialist
Phone: 202/653-4664
E-mail: [email protected]

Guidelines:
OMB No. 3137-0049,
Expiration Date 04/30/2008

Office of Library Services

Except for:

General number: 202/653-4700

Institute of Museum and Library Services
1800 M Street, NW, 9th Floor
Washington, DC 20036-5802
General phone: 202/653-IMLS (4657)
General e-mail: [email protected]
Web site: www.imls.gov

Application for Federal
Domestic Assistance/
Short Organizational Form,
SF-424s:
OMB No. 4040-0003,
Expiration Date 01/31/2007

TTY (for hearing-impaired persons): 202/653-4699
IMLS will provide visually impaired or learning-disabled persons with an audio recording of this
publication or any other grant publication upon request.

IMLS programs do not discriminate on the basis of race, color, national origin, sex, disability,
or age. For further information, write to the Civil Rights Officer, Institute of Museum and Library
Services, 1800 M Street, NW, 9th Floor, Washington, DC 20036-5802.

Burden Estimate and Request for Public Comments
Public reporting burden for this collection of information is estimated to average 40 hours
per response, including the time for reviewing instructions, searching existing data sources,
gathering and maintaining the data needed, and completing and reviewing the collection of
information. 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 the address above; and to the Office of Management and Budget, Paperwork
Reduction Project (3137-0049), Washington, DC 20503.

DEAR COLLEAGUES

In 2003, with a shortage of professional librarians on the horizon, First Lady Laura Bush called
on the Institute of Museum and Library Services to help recruit “a new generation of librarians”
through a special funding initiative. Since then, the Institute has funded 1,537 master’s degree
students, 119 doctoral students, 660 preprofessional students, and 378 continuing education
students. The program also supported a major national study on the future of librarians in the
workforce.
I am pleased to present the FY2007 Laura Bush 21st Century Librarian Program. The program
continues its emphasis on recruiting and educating students at the master’s and doctoral levels,
while also supporting efforts to recruit future librarians from the ranks of promising junior high,
high school, and college students. It will help update the skills of current librarians and library
staffs through continuing education programs, help graduate schools of library and information
science build institutional capacity through curriculum development in key areas, and support
critical research to evaluate program effectiveness and to develop strategies for recruiting and
retaining librarians with the appropriate skills and characteristics to meet future users’ needs.
We are proud of the contribution of the Laura Bush 21st Century Librarian Program and its goal
to develop a new generation of highly skilled librarians who will expand the educational role
of libraries for learners of all ages, from early childhood through retirement. This program has
demonstrated an ability to spur new innovations in library service while upholding our field’s
traditional values. We are excited by its potential to deliver even greater results in the future.
Sincerely,

Anne-Imelda M. Radice, PhD
Director

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WHAT’S NEW IN FISCAL YEAR 2007

Several changes have been made to the application and guidelines for the Laura Bush 21st
Century Librarian Program. Please read these guidelines carefully.
In particular, please note the following:
• Applications will be accepted only electronically through Grants.gov. Instructions for
completing and submitting applications through Grants.gov are included within these
guidelines.
• Categories of funding have been expanded to highlight opportunities for library disaster
recovery in 2005 and 2006 certified FEMA disaster areas, and internships in conservation
practice in libraries that have suffered disaster-related collections damage.
• The category of funding for research has been expanded. See page 12 for details.

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TABLE OF CONTENTS

Section 1: General Information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
About the Institute of Museum and Library Services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
About the Laura Bush 21st Century Librarian Program . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
Institutional Eligibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
Special Conditions of Eligibility for Institutions of Higher Education . . . . . . . . . . . . . . . . . . . . . . . . 6
Data Universal Numbering System (DUNS), Taxpayer Identification Number (TIN),
and Employer Identification Number (EIN) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
Conditions of a Grant . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Duration of a Grant . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Project Start Date . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Amount of Grant . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Cost Sharing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Restrictions on Indirect Cost Rates . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Service Expectations/Recruitment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Student Placement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
Use of Funds . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
Project Evaluation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
Copyright/Work Products . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
Announcement of Award . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
Payment, Accounting, Management, and Reporting Procedures . . . . . . . . . . . . . . . . . . . . . . 11
Categories of Funding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
Application Review Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
Section 2: The Application Package . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Application Components . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Grants.gov. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Grants.gov Registration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Obtaining Application Packages . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Working On an Application Package . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Application Attachments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Grants.gov Help . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
SF-424s. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Program Information Sheet . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Narrative . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Application Evaluation Criteria . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Budget. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Partnership Statement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Text Responses Document . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Abstract . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Schedule of Completion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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TABLE OF CONTENTS

iv

Budget Justification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Organizational Profile . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Service Expectations/Recruitment Documentation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Student Placement Documentation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
List of Key Project Staff and Consultants and Resumes for Key Project Personnel . . . . . . . .
Other Attachments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Supporting Documentation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Proof of Nonprofit Status. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Points to Remember . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Submitting Grants.gov Applications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Section 3: Application Resources and Assurances . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Application Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Sample Schedule of Completion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
IMLS Assurances and Certification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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General Information

ABOUT THE INSTITUTE OF MUSEUM AND LIBRARY SERVICES

The Institute of Museum and Library Services (IMLS) is the primary source of federal support
for the nation’s 122,000 libraries and 17,500 museums. Its mission is to grow and sustain
a “Nation of Learners,” because lifelong learning is essential to a democratic society and
individual success. Through its grant making, convenings, research, and publications, the
Institute empowers museums and libraries nationwide to provide leadership and services to
enhance learning in families and communities, sustain cultural heritage, build 21st-century
skills, and increase civic participation.
Libraries and museums help create vibrant, energized learning communities. Our achievement
as individuals and our success as a democratic society depend on learning continually, adapting
to change readily, and evaluating information critically.
As stewards of cultural heritage, information, and ideas, museums and libraries have traditionally
played a vital role in helping the public experience, explore, discover, and make sense of the
world. That role is now more essential than ever. Through building technological infrastructure
and strengthening community relationships, libraries and museums can offer the public
unprecedented access and expertise in transforming information overload into knowledge.

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ABOUT THE LAURA BUSH 21ST CENTURY LIBRARIAN PROGRAM

In 2007, the Laura Bush 21st Century Librarian Program will support projects to develop faculty
and library leaders, to recruit and educate the next generation of librarians, to conduct research,
to attract high school and college students to consider careers in libraries, to build institutional
capacity in graduate schools of library and information science, and to assist in the professional
development of librarians and library staff.
This program addresses the field’s need to conduct research on the library and information
science profession, and also to advance the work of new faculty in library and information
science by supporting an early career development program for untenured, tenure-track faculty.
Research conducted under the early careers program should be in the faculty member’s
particular research area and is not restricted to research on the profession.
We invite all members of the library community to play an active role in ensuring that the
profession is prepared to meet the challenges of the 21st century by recruiting a new generation
of faculty and librarians, preparing library leaders, and strengthening our schools of library and
information science.

3

INSTITUTIONAL ELIGIBILITY

An applicant must:
• be either a unit of state or local government
or a private nonprofit organization that
has tax-exempt status under the Internal
Revenue Code;
• be located in one of the 50 states of the
United States, the District of Columbia,
the Commonwealth of Puerto Rico, Guam,
American Samoa, the Virgin Islands,
the Commonwealth of the Northern
Mariana Islands, the Republic of the
Marshall Islands, the Federated States of
Micronesia, or the Republic of Palau; and
• qualify as one of the six types of
organizations listed below:
1. A library or a parent organization, such
as a school district, a municipality,
a state agency, or an academic
institution, that is responsible for the
administration of a library. Eligible
libraries include public libraries,
elementary and secondary school
libraries, college and university libraries,
research libraries and archives that are
not an integral part of an institution of
higher education and that make publicly
available library services and materials
that are suitable for scholarly research
and not otherwise available, and private
or special libraries that have been
deemed eligible to participate in this
program by the state in which the library
is located.

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2. An academic or administrative unit,
such as a graduate school of library and
information science, that is part of an
institution of higher education through
which it would make an application.
3. A digital library, if it makes library
materials publicly available and
provides library services, including
selection, organization, description,
reference, and preservation, under the
supervision of at least one permanent
professional staff librarian.
4. A library agency that is an official
agency of a state or other unit of
government and is charged by the law
governing it with the extension and
development of public library services
within its jurisdiction.
5. A library consortium that is a local,
statewide, regional, interstate, or
international cooperative association
of library entities that provides for the
systematic and effective coordination
of the resources of eligible libraries, as
defined above, and information centers
that work to improve the services
delivered to the clientele of these
libraries.
6. A library association that exists on a
permanent basis, serves libraries or
library professionals on a national,
regional, state, or local level, and
engages in activities designed to
advance the well-being of libraries and
the library profession.

IMLS recognizes the potential for valuable
contributions to the overall goals of the
Laura Bush 21st Century Librarian Program
by public, nonprofit, non-U.S., and for-profit
entities that do not meet the eligibility
requirements above. Although such entities
may not serve as the official applicants, they
are encouraged to participate in projects as
partners. Federally operated libraries and
museums may not apply for the Laura Bush
21st Century Librarian Program grants, but

they may serve as nonessential partners to
applicants if they do not receive IMLS grant
funds as a result of the project. Contact
IMLS before submitting a proposal involving
a federal agency or federal collection. Other
nonfederal entities may serve as partners
and may receive IMLS grant funds as a result
of the project. Consult with IMLS about any
eligibility questions before submitting an
application.

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SPECIAL CONDITIONS OF ELIGIBILITY FOR
INSTITUTIONS OF HIGHER EDUCATION

In addition to all eligible applicants listed
above, institutions of higher education as
noted under Categories 1, 2, 3, and 5 (see
“Categories of Funding,” pp. 12–14) are
eligible to apply with these special conditions:

1. Doctoral Programs
• All graduate schools of library and
information science offering programs
of study at the doctoral level are eligible
to apply for funding of doctoral level
scholarships and fellowships, either
individually or in a partnership.

2. Master’s Programs
• Graduate schools of library and information
science or school library media certification
programs are eligible to apply for funds to
educate students at the master’s level, if
they apply in a partnership that includes
one or more eligible library entities. Any of
the eligible applicants in the partnership
may serve as the lead applicant.

3. Research
• For early career development projects:
• all tenure-track faculty in graduate
schools of library and information
science are eligible to apply for early
career development research funds;
• the principal investigator must hold
a doctoral degree, be untenured,
and be in a tenure-track position that
has both educational and research
responsibilities;
• projects must have a single principal
investigator with no co-investigators.
Consultants and students may be
included in the project; and
• a letter of departmental endorsement,
including verification of principal
investigator eligibility, must be included
in the application packet.
• For all other research projects, all eligible
library entities (see page 4) may apply,
either individually or in a partnership.

5. Programs to Build Institutional
Capacity
• All graduate schools of library and
information science are eligible to apply
for funding to build institutional capacity,
either individually or in a partnership.

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Partnerships
IMLS encourages partnerships that are large
enough to address the broadest possible
needs, including statewide and regional
collaborations. An application may include
one or more partners. The lead applicant in
a partnership must be eligible to apply as
an individual entity, and all members of a
partnership should be active contributors to
and beneficiaries of project activities.
The members of the partnership shall either
designate one member of the partnership
to apply for the grant, or establish a
separate, eligible legal entity consisting of
the partnership members to apply for the
grant. Any group application must contain
a Partnership Statement that details the
activities that each member of the partnership
plans to perform and binds each member
of the partnership to every statement and
all assurances made by the applicant in the
application. The applicant shall submit the
Partnership Statement with its application.

By submitting the Partnership Statement
with the application, the applicant affirms
that (1) the partner(s) is available and has
agreed to participate, and (2) the Partnership
Statement is true, complete, and accurate
to the best of the applicant’s authorized
representative’s knowledge. The applicant
will ensure that the partner(s) also provides
a signed original version of the Partnership
Statement to the applicant, which will be
available to IMLS if requested by IMLS.
If IMLS makes a grant to a partnership, the
lead applicant for the partnership is the
grantee and is legally responsible for the use
of all grant funds and for ensuring that the
project is carried out by the partnership in
accordance with the terms of the grant and
applicable federal laws, regulations, and
requirements. The lead applicant must be the
fiscal agent but may subcontract with partners
for other specific activities or services.
Each member of the partnership is legally
responsible for carrying out the activities
it agrees to perform and using the funds it
receives in accordance with the terms of the
grant and applicable federal laws, regulations,
and requirements.

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DATA UNIVERSAL NUMBERING SYSTEM (DUNS),
TAXPAYER IDENTIFICATION NUMBER (TIN), AND
EMPLOYER IDENTIFICATION NUMBER (EIN)

To improve the statistical reporting of federal
grants and cooperative agreements, the
Office of Management and Budget (OMB) has
directed all federal agencies to require all
applicants for federal grants to provide a Dun
and Bradstreet Data Universal Numbering
System (DUNS) number when applying for
Federal grants or cooperative agreements on
or after October 1, 2003. The DUNS number
is required whether an applicant is submitting
a paper application or using the governmentwide electronic portal (Grants.gov).
Organizations should verify that they have a
DUNS number or take steps to obtain one.
Organizations can receive a DUNS number
at no cost by calling the dedicated toll-free
DUNS number request line at 1-866-705-5711
or by visiting www.dnb.com/us. Individuals
who would personally receive a grant or
cooperative agreement award from the federal
government apart from any business or
nonprofit organization they may operate are
exempt from this requirement.

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The Taxpayer Identification Number (TIN) is
an identification number used by the Internal
Revenue Service (IRS) in the administration
of tax laws. It is issued either by the Social
Security Administration (SSA) or by the IRS.
A Social Security number is issued by the SSA,
whereas all other TINs are issued by the IRS.
An Employer Identification Number (EIN), also
known as a federal tax identification number,
is a nine-digit number that the IRS assigns to
business entities. The IRS uses this number
to identify taxpayers that are required to file
various business tax returns.
If an organization does not have DUNS and
TIN numbers, its application will be rejected.

CONDITIONS OF A GRANT

Duration of a Grant
Project activities may be carried out for a
period of up to 36 months, except for Doctoral
Program (Category 1) project activities, which
may be carried out for up to 48 months.

Project Start Date
Projects may begin no earlier than July 1 and
no later than December 1. Projects must begin
on the first day of the month and end on the
last day of the month.

Amount of Grant
Grants range from $50,000 to $1 million.
IMLS will review and negotiate budgets as
necessary. IMLS may award an amount less
than that requested by an applicant.

Cost Sharing
Applicants are expected to share project
expenses through the applicants’ and partner
institutions’ cost share. Applicants to this
program, other than those requesting research
funds, are REQUIRED to provide cost sharing
of at least one half of the total cost of the
project, excluding funds for student support.
All listed expenses, including all cost sharing,
must be incurred during the grant period.
Government-wide uniform administrative
rules and requirements apply. Federal funds
may not be used to meet cost-sharing
requirements.
• IMLS does not require a match for research
proposals. However, IMLS will consider
cost-sharing contributions as a competitive
factor when evaluating research proposals
(see “Evaluation Criteria,” page 28).

• Cost sharing is not required for funds to
be provided to students in the form of
scholarships, fellowships, other stipends,
and/or tuition.
• IMLS encourages applicants to contribute
as cost sharing the salaries of any
permanent staff to be employed on a
project in proportion to the amount of
time they will spend on the project. If
IMLS funding is requested for salaries
of permanent staff, the proposal should
explain how their regular duties will be
performed during the grant period.
• IMLS prefers that applicants provide
at least 50 percent of the cost of any
equipment to be purchased for the project.
Proposals that demonstrate strong
institutional support through cost sharing
are generally rated more favorably by
reviewers.

Restrictions on Indirect Cost Rates
The cost of student scholarships, fellowships,
other stipends, and/or tuition may not be
included in the amount on which indirect costs
are requested.

Service Expectations/Recruitment
IMLS expects recipients of student support
to return the investment of federal dollars
by contributing to the library profession
through employment in libraries or library
education. Applicants requesting IMLS
funds for student support should explain
how they will incorporate this expectation
into their programs and should include
sample guidelines for potential students
and agreements that will be required of
successful recipients.

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CONDITIONS OF A GRANT

Student Placement
Under Category 2, graduate schools of library
and information science may apply for funding
for master’s-level scholarship or fellowship
programs ONLY in partnership with another
eligible library entity. IMLS encourages
proposals that include offers of continued
employment to scholarship or fellowship
recipients on program completion. IMLS will not
require an applicant to match every student
position for which funds are requested with a
prospective employer. However, the proposal
should explain its plan for graduate placement
and for tracking employment information for
students who complete the program.

Use of Funds
Grant funds may not be used for construction,
acquisition of collections, contributions to
endowments, social activities, ceremonies,
entertainment, or pre-grant costs. All revenues
generated with project funds during the
grant period must be reported as program
income and should be applied to the grant
recipient’s cost sharing. All listed expenses
must be incurred during the grant period.
Government-wide cost principles apply.
Applicants should explain how any funds used
for student support and that are recovered
for nonfulfillment during and after the grant
period will be used to further the goals of
the project.

10

Funds requested for student support
may not be used to replace any funds for
scholarships, fellowships, tuition, or other
stipends that would otherwise be offered
to students enrolling in master’s, doctoral,
or preprofessional programs in library and
information science.

Project Evaluation
IMLS expects that most Laura Bush 21st
Century Librarian Program grant activities will
have measurable results, and IMLS expects
grantees to evaluate and report on these
results. IMLS supports and encourages the
use of an evaluation tool called outcomesbased evaluation (OBE) when it is appropriate
for the type of project to be conducted.
Additional information about OBE is available
on the IMLS Web site at www.imls.gov/
applicants/obe.htm or on request from IMLS.
IMLS provides a two-day course on OBE
for recipients of Laura Bush 21st Century
Librarian Program grants. Applicants are
required to request travel funds to attend this
training and other IMLS-designated meetings.
Applicants should budget $2,000 per year for
this IMLS-designated travel, or $4,000 per
year for partnership projects.

Copyright/Work Products
IMLS requires acknowledgment of IMLS
assistance in all publications and other
products resulting from the project. Products
should be distributed free or at cost unless
the recipient has received written approval
for another arrangement. The recipient
may copyright, with written permission, any
work that is subject to copyright and was
developed, or for which ownership was
purchased, under an award. IMLS reserves,
for federal government purposes, a royaltyfree, worldwide, nonexclusive, and irrevocable
license to reproduce, publish, or otherwise use
the work and authorize others to reproduce,
publish, or otherwise use the work. IMLS
requires that awardees provide three copies
of any products produced with IMLS funds to
IMLS with the final reports. Generally, a beta
version of software developed on an IMLSfunded project must be provided to IMLS as
a product of the grant. Consult with IMLS
regarding software development projects.

Announcement of Award
No information about the status of an
application will be released until all
applications have been reviewed and all
deliberations are concluded. IMLS will notify
applicants of final decisions by mid-June 2007.

Payment, Accounting, Management,
and Reporting Procedures
A federal accounting office handles the
payment of grants. Grant recipients may
request cash advances or reimbursements
as needed during the project period.
Payments are made electronically. IMLS
requires each grant recipient to maintain a
restricted account for funds received during
the project period. A recipient does not need
to maintain a separate bank account for IMLS
grant funds; however, it must establish and
maintain a separate accounting category
within an internal accounting system to
show that the funds have been used for
project costs only. This restricted accounting
record must be adequate to satisfy normal
auditing procedures. Grants are subject to
the provisions of Office of Management and
Budget audit requirements.
Grant recipients are required to submit
semiannual interim performance reports
every six months during the grant period as
well as annual financial reports. They are also
required to submit a final performance report
and a final financial report at the end of the
grant period.

11

CATEGORIES OF FUNDING

Developing a diverse workforce of professional
librarians is a goal of this recruitment and
education effort. The diversity of persons
recruited to the library profession should
reflect the diversity of the communities they
will serve. Recruitment proposals should
address ways to enhance participation in the
library profession by members of traditionally
underserved groups and communities.
Six categories of funding are featured in
FY2007. The goals of each category are
described below.

1. Doctoral Programs
• Develop faculty to educate the next
generation of library professionals. In
particular, increase the number of students
enrolled in doctoral programs that will
prepare faculty to teach master’s students
who will work in school, public, and
academic libraries.
• Develop the next generation of library
leaders. In particular, increase the number
of students enrolled in doctoral programs
that will prepare them to assume positions
as library managers and administrators.

2. Master’s Programs
• Educate the next generation of librarians.
In particular, increase the number of
students enrolled in nationally accredited
graduate library programs preparing for
careers of service in libraries.

12

3. Research
• Support the early career development
of new faculty members in library and
information science by supporting
innovative research by untenured, tenuretrack faculty. Proposed research should
be in the investigator’s own field of
inquiry and need not relate to library
education or librarianship as a career.
For more information on the early careers
development program, contact Stephanie
Clark at [email protected] and see “Special
Conditions of Eligibility for Institutions
of Higher Education” (page 6). See also
“Frequently Asked Questions about the
IMLS Early Careers Development Program”
on the IMLS Web site at www.imls.gov/
applicants/grants/21centuryLibrarian.
shtm.
• Provide the library community with
information needed to support successful
recruitment and education of the next
generation of librarians. In particular,
through funded research, establish baseline
data on professional demographics and job
availability, and evaluate current programs
in library education for their capacity to
meet the identified needs.
• Conduct research and establish ongoing
research capacity in the field of library
and information science, particularly
the evaluation of library and information
services, assessment of the value and use
of public libraries and their services by the
public, and assessment of the public value
and use of the Internet.

4. Preprofessional Programs
• Recruit future professionals in library and
information science. In particular, attract
promising junior high, high school, or
college students to consider careers in
library and information science through
statewide or regional pilot projects
employing recruitment strategies that are
cost-effective and measurable.
• Introduce high school or college students
to potential careers in library and
information science by employing them
to assist with library disaster recovery
or service operations in areas that have
suffered major disasters. Participation of
at least one library, as the applicant or as
an official partner, in a location certified
by the Federal Emergency Management
Agency as a major disaster area in 2005 or
2006, is required.

5. Programs to Build Institutional
Capacity
• Develop or enhance curricula within
graduate schools of library and information
science. In particular:
• Develop or enhance courses or
programs of study for library, museum,
and archives professionals in the
creation, management, preservation,
presentation, and use of digital assets.
• Develop or enhance courses or
programs of study related to the
development of critical thinking skills,
such as organization leadership and
research methods.

• Broaden the library and information
science curriculum by incorporating
perspectives from other disciplines and
fields of scholarship, such as public
policy, ethics, American studies, urban
planning, mass communication, and
instructional design.
• Develop projects or programs in data
curation as training programs for graduate
students in library and information science.
Data curation includes the authentication,
archiving, management, preservation,
retrieval, and representation of highquality digital data for use and reuse
over time. No limitations on topic or data
format are imposed. Successful proposals
will involve collaborations with existing
data repositories of sufficient scale and
complexity to provide a rich test bed for
education and investigation. Collaborations
with repositories or programs within the
same institution as the applicant are
permitted. One or more awards may
be made.

6. Continuing Education
• Develop or enhance programs of
continuing education and training in library
and information science, both formal and
informal, for librarians and library staff.
• Develop or enhance programs to enable
librarians and library staff to improve
services to audiences with special needs,
such as youth at risk, seniors, and those
with language, physical, or other barriers
to service.

13

CATEGORIES OF FUNDING

• Develop or enhance programs to promote
collaboration between educators and
librarians employed in educational
institutions.
• Provide internships in conservation
practice in libraries that have suffered
disaster-related collections damage.
Participation of at least one library, as
the applicant or as an official partner, in a
location certified by the Federal Emergency
Management Agency as a major disaster
area in 2005 or 2006, is required.

Determining the Appropriate
Funding Program
Proposals for research to support the
successful recruitment of new librarians and
proposals to support innovative research by
untenured library and information science
faculty (on any topic in library and information
science) should be submitted under the
Laura Bush 21st Century Librarian Program.
Proposals for other research in library and
information science should be submitted
under the Research and Demonstration
category of the 2007 National Leadership
Grants for Libraries (see guidelines on the
IMLS Web site at www.imls.gov).
The same proposal may not be submitted
to IMLS under more than one category
or program. A proposal must designate
the single priority under which it is to be
considered.

14

APPLICATION REVIEW PROCESS

IMLS staff determines whether an applicant
is eligible and whether an application is
complete. IMLS staff may contact applicants
for information needed to make an eligibility
determination. If an applicant is determined
to be ineligible as an official applicant, the
application will be rejected without evaluation
(see “Institutional Eligibility,” page 4).
Incomplete applications are subject to
rejection without evaluation. If an application
is rejected, the applicant will be notified by
IMLS. All eligible and complete applications
will be competitively reviewed.

All eligible applications for Laura Bush
21st Century Librarian Program grants will
be evaluated through panel review. Panelists
are professionals in their field who have
expertise in the various types of activities and
projects. The IMLS director will make funding
decisions on the basis of the evaluations by
reviewers, the types of projects encouraged
by IMLS, and the overall goals of the grant
program and of IMLS.
Reviewers provide their evaluation applying
the review criteria identified with the narrative
questions on pages 28–29. For examples of
funded projects, search the Awarded Grants
database at www.imls.gov/search.asp.

15

The Application
Package

APPLICATION COMPONENTS

An application requesting funding from the Laura Bush 21st Century Librarian Program should
include the following materials:
1. Face Sheet: the Application for Federal Domestic Assistance/Short Organizational Form
(SF-424s) on Grants.gov
2. Program Information Sheet: the three-page form available as a fill-in PDF form or Word
document in the Grants.gov Zip file or on the IMLS Web site
3. Narrative: not to exceed 10 pages
4. Detailed Budget: a three-page form available as a fill-in PDF form or Word document in the
Grants.gov Zip file or on the IMLS Web site, replicated for each year of the project
5. Summary Budget: a one-page form available as a fill-in PDF form or Word document in the
Grants.gov Zip file or on the IMLS Web site
6. Partnership Statement form, if applicable: the one-page form available as a fill-in PDF form
or Word document in the Grants.gov Zip file or on the IMLS Web site, replicated for each
individual partner
7. Text Responses documents, which will include the following:
a. Abstract
b. Schedule of Completion
c. Budget Justification
d. Organizational Profile
e. Service expectations/recruitment documentation
f. Student placement documentation
g. List of key project staff and consultants
h. Resumes for key project personnel
8. Other attachments:
a. Proof of nonprofit status, if applicable
b. Current, federally negotiated rate for indirect costs, if applicable
c. Planning documents, such as needs assessments or digitization plans, if applicable

18

GRANTS.GOV

Organizations that are applying under the
December 15, 2006, deadline for the Laura
Bush 21st Century Librarian Program must
submit their applications through Grants.gov,
the federal government’s online application
system. The Grants.gov system will accept
applications through 11:59 P.M. eastern time
on December 15.
The application instructions contained
within these guidelines are designed to
accommodate the online application process.
Applicants should feel free to contact program
staff at any time with questions about an
application component.
While the deadline is December 15, IMLS
recommends strongly that applicants
REGISTER EARLY (see “Grants.gov
Registration” section below) and COMPLETE
AND SUBMIT THEIR APPLICATION EARLY.
Applicants are urged to not wait until the last
day to submit their applications. Grants.gov
can slow down during periods of high usage,
which most often occur between 12:00 noon
and 5:00 P.M. eastern time, particularly on
days near a deadline. Applicants will have
a better experience if they submit their
application outside of these hours and in
advance of the deadline.

Grants.gov Registration
All applicants who are using Grants.gov must
register with Grants.gov before submitting
their application. The multistep registration
process generally cannot be completed in a
single day. Applicants who are not already
registered should allow at least two weeks
to complete this one-time process. DO NOT
WAIT UNTIL THE DAY OF THE APPLICATION
DEADLINE TO REGISTER.
Step-by-step instructions for registering are
available at www.grants.gov/GetStarted. In
addition, IMLS has created an easy-to-follow
checklist for registering at www.imls.gov/
applicants/grantsgov/checklist.shtm.
Applicants who have problems registering
should call the Grants.gov help desk at
1-800-518-4726; e-mail support@grants.
gov; or consult the information posted on the
Grants.gov Web site at www.grants.gov/
CustomerSupport. The Grants.gov customer
service hours are 7:00 A.M. to 9:00 P.M.
eastern time, Monday through Friday.
Applicants do not need to complete the
registration process to download the
application package and begin to prepare their
material (see below). However, they will need
their Grants.gov UserID and password, which
are obtained during the registration process,
to submit their completed application.

19

GRANTS.GOV

Obtaining Application Packages
Electronic application packages are obtained
directly from www.Grants.gov. Organizations
applying through Grants.gov will need to
locate the Laura Bush 21st Century Librarian
Program package on the site. To locate the
package:
1. Go to www.Grants.gov to obtain the
electronic application package for the
Laura Bush 21st Century Librarian
Program.
2. In the left-hand column, click on “Apply for
Grants,” then click on “Download a Grant
Application Package and Instructions.”
Under “Find,” click “Download Grant
Application Packages.”
3. This will take applicants to the “Download
Application Package” screen. On this
screen, enter one of the numbers found
in the box below to locate the Laura Bush
21st Century Librarian Program application
package, then click on “Download
Package.”
Applicants will need to know one of the
following to locate the package:
CFDA No: 45.313
Funding Opportunity Number: L21-FY07
4. When an applicant starts to download
an application, two items need to be
downloaded:
(1) Download Application Instructions—
This package contains the grant
application guidelines (which include
instructions for completing the

20

application) and the IMLS forms for
budget, program information, and any
others related to this specific program.
(2) Download Application Package—This
package has the face sheet (SF-424s,
“Application for Federal Domestic
Assistance/Short Organizational Form”)
and the Attachments form.
Applicants need to download both of these
packages to have all of the materials and
forms necessary to complete the application.
5. To access, complete, and submit the
application package, applicants need
to have PureEdge Viewer, a small,
free software program, installed on
their computer. Applicants who do not
already have this software can follow the
instructions on Grants.gov for installing this
program.
Please note that the PureEdge viewer is
compatible with computers running the
Windows operating system. Non-Windows
users will be able to download and
complete the PureEdge forms by taking
advantage of the free Citrix server. See
www.grants.gov/MacSupport for more
information.
The application package will download in
a Zipped file (.zip). Applicants need to have
software that un-Zips files to open them.
Numerous freeware packages are available
on the Internet. The .zip contents are also
available on the IMLS Web site at www.
imls.gov/grantsgov.

Working on an Application Package
1. When opening the application package that
is saved on the applicant’s computer, the
Grants.gov “Grant Application Package”
screen will appear. In the “Application Filing
Name” field, applicants should enter their
organization’s legal name.
2. The forms needed to complete the Laura
Bush 21st Century Librarian Program
application appear in the “Mandatory
Documents” box. To open an item, click
on it to select it, and then click on the
“Open Form” button that is beneath the
“Mandatory Documents” box. Forms
cannot be opened by double-clicking.
When a form is more than one page,
navigate between pages by using the
“Next” or “Previous” buttons at the top of
the screen.

4. When a form is completed, click on the
form name in the “Mandatory Documents”
box to select it, and then click the “=>”
button. This will move the form to the
“Mandatory Completed Documents for
Submission” box. All forms must be in the
“Mandatory Completed Documents for
Submission” box before an applicant will be
able to submit their application. Forms can
be worked on from either the “Mandatory
Documents” or “Mandatory Completed
Documents for Submission” box.

3. After working on a form, click the “Close
Form” button at the top of the screen to
capture entered information and return to
the “Grant Application Package” screen.
Before closing the “Grant Application
Package” screen, click on the “Save”
button. Until all of the required fields in all
of the mandatory forms are completed,
clicking on the “Save” button will generate
an invalid values message. Click “Yes” to
proceed. Grants.gov will also ask: “File
Already Exists. OVERWRITE?” Clicking “Yes”
will save the most recent changes to the
existing file.

21

GRANTS.GOV

There are two forms in the “Mandatory
Documents” box that every applicant must fill
out before submitting their application:
1. Application for Federal Domestic
Assistance/Short Organizational Form
(SF-424s): This form asks for basic
information on the applicant’s organization
and project. It is equivalent to the IMLS
Face Sheet in the application package of
previous years.
2. Attachments Form: This is not a form
in the conventional sense, but rather
a place to attach the other forms and
additional items that must be included for
a Grants.gov application package to be
considered complete.
Note: The Program Information Sheet, the
Detailed Budget form, and the Summary
Budget form are also mandatory components
of the application. They are included in the
downloaded Zip file in both Adobe PDF and
Microsoft Word formats, and are also available
on the IMLS Web site. They can be saved in
either PDF or Word format, then attached to
the application using the Attachments Form.
Before completing the required forms,
applicants may want to activate the Help tool
by clicking on the help button (looks like a
question mark) in the tool bar. Applicants can
then find instructions by positioning the cursor
over each item or, where relevant, over the
radio button for an item. Detailed instructions
for certain items are provided in the next
section.

22

Application Attachments
The Attachments Form is not a form in the
conventional sense. Rather, it is a place to
attach documents/files that are completed
and saved elsewhere on the applicant’s
computer. The forms and documents that
must be attached to the Attachments Form
are listed in their correct sequence below:
1.
2.
3.
4.
5.
6.
7.

Program Information Sheet
Narrative
Detailed Budget form
Summary Budget form
Partnership Statement
Text Responses documents
Any remaining attachments

Several important points about the forms and
documents to attach:
1. On the Attachments Form, there are 15
attachment buttons, labeled “Attachment
1” through “Attachment 15.” By clicking
on a button, applicants will be able to
choose the file from their computer that
they wish to attach. Applicants should
attach only one copy of each item.
Applicants are encouraged to create
multipaged documents that consolidate
multiple attachments into one document, if
possible.

2. Applicants must submit all attachments
in one of the following formats: Microsoft
Word (.doc), Adobe Portable Document
Format (.pdf), Microsoft Excel (.xls), JPEG
(.jpg), rich text (.rtf), or plain text (.txt).
To save the PDF versions of the Program
Information Sheet or Budget forms as
PDFs, applicants must use Adobe Acrobat
Approval or the full Acrobat Standard or
Professional Programs. (Acrobat Approval
is no longer available for purchase, but
existing versions will work.) Caution:
Applicants using the free version of the
Reader software cannot save the filled-out
forms.
Nonform documents, such as the narrative
and Text Responses document(s), can be
created with any software, but must be
saved and submitted in one of the formats
listed above. Applicants who do not have
the software needed to convert files to PDF
can use one of the many low-cost or free
software packages available. To learn more,
go to www.imls.gov/pdf/PDFConversion.pdf.
Documents not available in an electronic
format should be scanned and submitted
as a PDF or JPEG file.
3. For documents that are not forms,
applicants should make sure that pages
are clearly labeled with the organization’s
legal name and the name of the item
(e.g., application narrative) and numbered
sequentially.

4. Forms and document files should be
labeled clearly and attached in the proper
order so that IMLS can correctly identify
attachments.
5. Applicants do not have to fill in all 15
Attachments Form buttons.
6. If unable to view an attachment by clicking
the “View Attachment” button on the
Attachments Form, applicants should
check the bottom of the screen for the
message “Pop-ups were blocked on this
page.” If this message is present, pressing
“Ctrl” and “View Attachment” will enable
the applicant to see the attachment.
Grants.gov Help
For help on how to use Grants.gov, please
see the help material on the Grants.gov Web
site at www.grants.gov/CustomerSupport.
Applicants can also e-mail the Grants.gov
helpdesk at [email protected] or call them
at 1-800-518-4726 from 7:00 A.M. to 9:00
P.M. eastern time, Monday through Friday.
The Grants.gov help desk will assign a case
number to each inquiry. This number only
documents the inquiry to the help desk, and is
in no way related to the tracking number that
Grants.gov will assign an application once it
has been successfully submitted.

23

SF-424s

Note: Questions 1 through 4 will auto-fill in
Grants.gov.

applicants are not eligible to receive Laura
Bush 21st Century Librarian Program grants:

5. Applicant Information

•
•
•
•
•

a. Legal Name: Enter the legal name of the
organization that is making the application.
Please see page 4 (Institutional Eligibility) for
eligibility details. If the eligible entity does not
have the authority to apply directly to IMLS
for funding, enter the name of the parent
organization that is submitting the application
on behalf of the eligible entity. Enter the name
of the eligible entity in the space provided
for “Organizational Unit” on the Program
Information Form, Item 1b.
b. Address: Use Street1 for the organization’s
street address or post office box number,
whichever is used for its U.S. Postal Service
mailing address. Street2 is not a required field
and should be used only when a suite or room
number or other similar information is part of
the address.
In the Zip+4/Postal Code box, enter the full
nine-digit Zip code assigned by the U.S. Postal
Service. An organization’s full Zip code can be
retrieved at www.usps.com/zip4.
c. Web Address: Enter the Web address of the
legal applicant.
d. Type of Applicant: Select the one code that
best characterizes the applicant organization
from the menu in the first drop-down box. Leave
the other boxes blank. The following types of

24

Public/Indian Housing Authority
Individual
For-profit organization
Small business
Nondomestic (non-U.S.) entity

e. EIN/TIN: Enter the nine-digit number
assigned by the IRS; do not use a Social
Security number.
f. Organizational DUNS: All organizational
applicants for federal funds must have a
DUNS number. Ensure that the number
entered here agrees with the number (either
9 or 13 digits) that was used with the Central
Contractor Registry (CCR) as part of the
Grants.gov registration.
g. Congressional District: Enter the number
of the congressional district in which the
applicant organization is located. Use the
following format: two-letter state abbreviation,
followed by a hyphen, followed by the
three-digit district number. For example,
if the organization is located in the 5th
Congressional District of California, enter
“CA-005.” For the 12th district of North
Carolina, enter “NC-012.” If an applicant
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
an institution’s district, visit the House of
Representatives Web site at www.house.gov
and use the “Find Your Representative” tool.

6. Project Information
a. Project Title: Provide a brief descriptive title.
b. Project Description: Briefly describe the
specific project, not the applicant organization.
Use clear language that can be understood
readily by readers who may not be familiar
with the discipline or subject area.
c. Proposed Project Start Date/End Date:
Enter the beginning and ending dates for
the requested period of support—that is, the
span of time necessary to plan, execute, and
close out the proposed project. Projects must
begin between July 1, 2007 and December 1,
2007. Start dates must be the first day of a
month and end dates must be the last day of
a month.

7. Project Director
Provide the requested information for the
project director, who will be responsible for
carrying out the project and who will serve as
the key contact person with IMLS regarding
the progress achieved under the grant. Leave
the Social Security number blank. Select a
prefix (even though this field is not required on
Grants.gov).

8. Primary Contact/Grants Administrator
Provide the requested information for the
individual who should be contacted on all
matters involving this application and the
administration of any grant that may be
awarded. For colleges and universities,
this person is often a sponsored research,
sponsored programs, or contracts and grants
officer. Leave the Social Security number

blank. Select the appropriate prefix (even
though this field is not required on Grants.gov).
In some organizations, particularly smaller
ones, this individual may be the same as the
project director. If this is the case, check the
“Same as Project Director” box. (If the primary
contact/grants administrator is the same as
the authorizing official, please complete all
items under both 8 and 9 even though there
will be some repetition.)

9. Authorized Representative
Enter the name and contact information
of the person who has the authority to
apply for federal support of the applicant’s
activities and enter into legal agreements in
the name of the applicant. The Authorized
Representative should not be the same
person as the Project Director. By checking
the “I Agree” box at the top of Item 9 and
signing the application, this individual certifies
the applicant’s compliance with relevant
federal requirements (the “IMLS Assurances
and Certification” section, pages 42–47). All
written correspondence will be addressed to
the Authorized Representative.
The “Signature of Authorized Representative”
and “Date Signed” boxes will be populated
on submission of the application. Submission
of the application by the authorized
representative certifies compliance with
relevant federal requirements, and that the
statements in the applicatioin (including, but
not limited to, the Partnership Statement) are
true, complete, and accurate to the best of
the applicant’s authorized representative’s
knowledge.

25

PROGRAM INFORMATION SHEET

1. Applicant Information
a. Legal Name: Enter the legal name of the
applicant.
b. and c. Organizational Unit and Address:
If the eligible entity cannot apply for grants
on its own behalf, then enter the name and
address of the entity in these spaces. For
example, if a museum or library that is part
of a parent organization, such as a university,
is applying, the university would be the legal
applicant, and the museum or library would
be entered as the organizational unit. Be
sure to include the four-digit extension on the
Zip code.
d. Web Address: If an organizational unit is
listed, enter its Web address here. If not, enter
the Web site of the entity listed at Legal Name.
e. Type of Institution: Select the one that
most accurately describes the applicant.

26

2. Grant Program or Grant Program
Category
Select one of the categories listed under “c.
Laura Bush 21st Century Librarian Program.”

3. Request Information
a. IMLS Funds Requested: Enter the amount
sought from IMLS.
b. Cost Share Amount: Enter the amount
here. Applicants must provide cost sharing
of at least one half of the total project cost,
excluding funds for student support. Proposals
in Category 3, Research, are exempt from this
requirement. See “Conditions of a Grant” on
page 9 for further information.

4–8
Applicants to the Laura Bush 21st Century
Librarian Program should skip these sections.

NARRATIVE

The following section, “Application Evaluation
Criteria,” describes the items to be addressed
in the Laura Bush 21st Century Librarian
Program grant application narrative. The
narrative should explain what need the project
will meet, and it should provide sufficient
information for reviewers to evaluate all
criteria. A thorough, succinct narrative of no
more than 10 single-spaced pages should
address all of the criteria. These criteria
should be addressed in the order presented
and must be labeled with the criteria section
titles to guide reviewers in their evaluation.
Do not exceed the 10-page limit. Detailed
budget discussion should not be included
here, but in a separate budget justification.
Planning documents that informed the
project design, such as needs assessments
or digitization plans, should be included as
“other attachments.”

The application narrative must:
• include the applicant organization’s name
at the top of each page,
• not exceed the space limits,
• be printable on 8.5- by 11-inch paper,
• have a margin of at least 0.5 inch on all
sides,
• use a typeface that contains no more than
six lines per vertical inch,
• use a typeface with standard spacing
between letters (i.e., do not use a
condensed typeface), and
• have each page numbered.
Grants.gov applicants should use the
Attachments Form to attach the narrative to
the application. Attachments will be accepted
in one of the following formats only: Microsoft
Word (.doc), Adobe Portable Document Format
(.pdf), Microsoft Excel (.xls), JPEG (.jpg), rich
text (.rtf), or plain text (.txt).

27

APPLICATION EVALUATION CRITERIA

Assessment of Need

Diversity

Evidence should be provided that shows
the applicant identified an audience,
performed a formal or informal assessment
of the audience’s needs, is aware of similar
projects completed by other institutions,
and developed the project goals as the best
solution to answer the specified needs.

Project proposals will be evaluated on the
degree to which the project identifies the
diversity of the communities within its scope
and explains how the project will address the
library service needs of those communities,
particularly the needs of traditionally
underserved groups and/or communities.

Research proposals should frame the project
in the context of current research and explain
the need for the research findings.

Project Methodology and
Evaluation Plan

Impact
Project proposals will be evaluated on their
anticipated impact, to the degree to which
the project has one or more of the following
characteristics:
• The project will increase the number of
qualified professionals for employment as
librarians throughout the country.
• The project is likely to contribute to results
or products that will benefit multiple
institutions and diverse constituencies.
• The project reflects an understanding of
library service needs in the communities
served by the applicant(s) and addresses
issues facing libraries of similar size and
type.
• The project reflects a vision of potential
change in the field that could result from
the project. Innovative approaches to these
issues will be given high consideration.
• For research, the project will support the
purposes and priorities of this program.

28

Project proposals will be evaluated on the
extent to which the project proposes efficient,
effective, and successful approaches to
accomplish clear goals and objectives.
They will be evaluated on evidence that
(1) the scope, methodology, and design
are appropriate for the project proposed,
(2) the project uses appropriate standards
or best practices, (3) the evaluation plan ties
directly to project goals through measurable
project outcomes, findings, or products, and
(4) evaluation will provide reliable information
on which to judge impact or base actions.
All proposals should explain how information
on the demographic characteristics of the
target populations, including persons to be
recruited, educated, or employed in libraries or
in library education, will be tracked over time.
Research proposals should pose the research
questions clearly and explain through the plan
of work how the questions will be investigated,
how data will be gathered and analyzed, and
how results will be evaluated. The proposal
should provide evidence that care has been
taken to ensure that results will be valid,
reliable, and generalizable.

For projects involving distance education,
proposals should include information about
the synchronous and asynchronous elements
of any courses designed (e.g., face-to-face,
streaming audio or video, Web-based course
content, etc.). Proposals should explain the
technical requirements for the institution
and the students, as well as describe the
course management system that will be used
to offer or support the course. The proposal
should describe who will be able to take
the course both during and after the grant
period; how the course and course content
would be made available to other entities
that might wish to use or adapt the course,
the conditions of use, and what assistance
would be provided to users; what costs would
be charged to students, both during and after
the grant period; and how potential students
and/or providers will be made aware of the
course (e.g., through a searchable portal or
clearinghouse).

Project Resources: Budget, Personnel,
and Management Plan
Project proposals should provide evidence
that the applicant will effectively complete the
project activities through the deployment and
management of resources including money,
facilities, equipment, and supplies. Evidence
should show also that project personnel
demonstrate appropriate experience and
expertise and will commit adequate time to
accomplish project goals and activities. If the
project includes partnerships, give evidence
that all partners are active contributors to
and beneficiaries of the partnership activities.
Proposals also should describe the extent
to which the project budget is cost-effective,

reasonable, and uses appropriate resources,
including cost sharing as appropriate.

Dissemination
Project proposals should indicate the extent
to which the results, products, models,
findings, processes, and/or benefits will
be made transparent and accessible
through effective communication channels
in the library and information fields and,
where appropriate, in other professional
organizations and communities. Examples
include, but are not limited to, conference
presentations, publications, Web sites, and
community outlets.

Sustainability
Project proposals should indicate the extent
to which the project’s benefits will continue
beyond the grant period through ongoing
institutional support of project activities
or products, including Web sites; through
development of institutional expertise and
capacity; or through continuing access to
project findings or products. They should also
show the extent to which the project will lead
to systemic change within the institution as
well as within the library field.
For projects involving distance education,
proposals should identify who will own
copyright on the course content and describe
any restrictions placed on use of the course
and course content during and after the
grant period. Plans for preservation and
maintenance of the course and course
content during and after the expiration of the
grant period also should be described.

29

BUDGET

The application requires three elements to
describe the costs of a proposed project.
The Detailed Budget for each year of the
project and the Summary Budget that
describes costs for the entire project are
both available as fill-in PDF forms or Word
documents in the Grants.gov Zip file or on
the IMLS Web site. The third element is the
Budget Justification, which is referenced below
and further explained in the “Text Responses
Document” section (pages 34–36).
Applicants for funding from the Laura Bush
21st Century Librarian Program must provide
cost sharing of at least one half of the total
project cost, excluding funds for student
support (e.g., scholarships, fellowships,
stipends). Research proposals (Category 3)
are exempt from this requirement.

Section A: Detailed Budget
Applicants need to fill out a copy of the
Detailed Budget Form for each year of the
project. The first copy of the Budget Form
should begin on the project start date and
end 12 months later. Applicants using the
PDF or Word fill-in forms can fill out the form
for one year, save it, then fill it out again for
the remaining years. Applicants using the PDF
fill-in forms will notice that the columns total
automatically, whereas applicants using the
Word forms will have to total their columns
manually.
The budget should include the project
costs that will be charged to grant funds as
well as those that will be supported by the
applicant or third-party in-kind contributions
(cost sharing). In-kind contributions include

30

the value of services or equipment that is
donated to the project free of charge. All of
the items listed, whether supported by grant
funds or cost-sharing contributions, must be
reasonably necessary to accomplish project
objectives, allowable in terms of the applicable
federal cost principles, auditable, and incurred
during the grant period. 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 the applicant organization. When
indirect costs are charged to the project, care
should be taken to ensure that expenses
included in the organization’s indirect cost
pool (see “Indirect Costs” below) are not
charged to the project as direct costs.
“Method of Cost Computation” can refer to a
percentage of a person’s time devoted to the
project, a number of days, a quantity of items,
and so on. This column should clarify how the
applicant arrived at the costs indicated.
1. Salaries and Wages: Indicate both
temporary and permanent staff by noting
“temp” or “perm” in parentheses after each
staff member listed.
2. Fringe Benefits: Fringe benefits may
include contributions for Social Security,
employee insurance, pension plans, and so
on. Only those benefits not included in an
organization’s indirect cost pool may be shown
as direct costs.
3. Consultant Fees: List any consultants
hired for this project. Identify the costs for
each consultant’s services by the daily fees
charged.

4. Travel: Applicants must include $2,000
per year for travel to attend IMLS-designated
meetings. For partnership projects, include
$4,000 per year for such travel. The lowest
available commercial fares for coach or
equivalent accommodations must be used,
and foreign travel must be undertaken on U.S.
flag carriers when such services are available.
5. Supplies and Materials: In general, list the
costs of material purchased specifically for the
proposed project. Permanent equipment is
defined as nonexpendable personal property
having a useful life of more than one year and
an acquisition cost of $5,000 or more.
6. Services: List the costs of project activities
to be undertaken by a third-party contractor,
including a partner, under this budget category
as a single line item that shows the amount
that will be charged to IMLS grant funds and
the cost sharing that will be contributed by the
third party. Attach a complete itemization of
these costs to the IMLS Budget Form. If there
is more than one contractor, list the cost of
each contract separately on the IMLS Budget
Form and include an attached itemization.
7. Student Support: Include any costs
associated with funds provided to students in
the form of scholarships, fellowships, other
stipends, and/or tuition.

8. Other Costs: Please do not use the “Other
Costs” section to list items that did not fit
in the number of lines allotted for another
section. If more lines are needed, the
information should be summarized in the
Detailed Budget Form and further explained in
the Budget Justification.
10. Indirect Costs: Indirect costs are project
costs that an organization incurs that
cannot be easily assigned to an individual
project. They are also called “overhead” or
“administrative costs.” Examples of indirectcost type items are charges for utilities,
insurance, use of office space and equipment
owned by the applicant, local telephone
service, and the salaries of the management
and administrative personnel of the
organization.
Organizations that do not have a federally
negotiated indirect cost rate and do not wish
to negotiate one may charge an administrative
fee to the project of up to 15 percent. IMLS
will pay this administrative fee only on
that portion of direct project costs that are
supported by IMLS funds. This fee may also be
applied to the direct project costs that will be
supported by the applicant and may therefore
be counted as part of the applicant’s cost
sharing. If an applicant chooses this option,
it must be careful to exclude all indirect-cost
type items from the budget and the fee may
not be applied to more than the first $5,000 of
distorting costs such as equipment purchases
or subcontracts.

31

BUDGET

If an organization has a federally negotiated
indirect cost rate that will be current on
the date of award, as cited on the award
notification, this rate may be used to determine
total project costs, as long as the rate is
applied in accordance with the negotiated
agreement and a copy of the negotiation
is forwarded to IMLS with the application.
However, IMLS will pay indirect costs only
on the portion of the direct costs that are
supported by IMLS funds. Indirect costs that
are related to the direct project costs that
will be supported by the applicant may be
included in the budget only as a part of the
applicant’s cost sharing. IMLS will not accept
an indirect cost rate that is scheduled to expire
before the award is issued. Institutions must
use a federally negotiated indirect cost rate
appropriate to the type of project proposed. For
example, a rate for research may be used only
for research projects.
An organization that is in the process of
negotiating an indirect cost rate with a
federal agency may apply the proposed rate
to estimate total project costs as long as
it follows the instructions in the previous
paragraph in applying the rate and includes
the indirect cost proposal in the application
material. IMLS will not pay any indirect costs
until a rate is negotiated and a copy of the
final agreement is submitted to the IMLS
Office of Grants Administration. It is possible
that the amount of the award will be reduced
if the final negotiated rate is less than the
rate that was used in the application budget.
However, the amount of the award will not
be increased if the negotiated indirect cost
rate is higher than the rate proposed in the
application.

32

Once an indirect cost rate is accepted by
IMLS, the rate shall be considered fixed for
the duration of the award even if, during the
course of the award, the grantee negotiates a
new indirect cost rate.
If a grantee has one or more predetermined
rates negotiated at the time of the award,
e.g., 30 percent the first year and 32 percent
the second year, these rates may be used in
the project budget. However, in the example
given above, if the grant period ran more than
two years, the last predetermined rate would
apply not only to the second year of the grant
but also to any subsequent years.
The cost of student scholarships, fellowships,
other stipends, and/or tuition may not be
included in the amount on which indirect
costs are requested.
These instructions also apply to an
organization that will function as a partner in
undertaking grant activities.

Section B: Summary Budget
The Summary Budget should clearly identify
the amount requested from IMLS and the
amount provided as in-kind contributions by
the applicant, by any partners, and from any
other sources.

PARTNERSHIP STATEMENT

Complete a Partnership Statement for each
formal partner involved in the proposed
project.

that the applicant will make this form available
to IMLS if requested by IMLS.

Applicants should save each Partnership
Statement with a distinct file name that
includes the word “Partner” and a short form
of the partner’s name—e.g., Partner Cornell or
Partner NOMA. Then add each document to
the Attachments form, following the sequence
in the Application Checklist.
At the top of the Partnership Statement, enter
the legal name of the applicant organization.
This information should match that provided
on the SF-424s and the Program Information
Sheet.

1–5
Provide all of the information requested
for the partner organization. If the partner
organization does not have a DUNS number,
refer the partner to page 8 within these
guidelines for information and instructions
on how to secure one. To obtain a full Zip+4
postal code, visit www.usps.com/zip4.

6. Governing Control of Partner
Check one box to indicate the partner’s
governing control.

7–9
Provide the information requested for each of
these items. The limits on the amount of text
allowed are given in the item statement on the
form.
The applicant must ensure that each partner
also provides a signed original version of the
Partnership Statement to the applicant, and

33

TEXT RESPONSES DOCUMENT

For the following application items, create a
single document that includes all of the items
below, in the order listed. When it is finished,
please run spell check (if available) and make
corrections. Text Responses documents must
• supply information in the order requested.
• include the title (e.g., Abstract) for each
item.
• have the applicant organization’s name at
the top of each page.
• have a margin of at least 0.5 inch on all
sides.
• have each page numbered.
• use no smaller than a 12-point typeface
with no more than six lines per vertical
inch and standard spacing between letters.
Condensed fonts are not acceptable.
Handwritten text responses are not
acceptable.
Applicants should save the document with the
file name “TextResponses.” Applicants will use
the Attachments Form to add this document
to their applications. Attachments will be
accepted in one of the following formats
only: Microsoft Word (.doc), Adobe Portable
Document Format (.pdf), Microsoft Excel (.xls),
JPEG (.jpg), rich text (.rtf), or plain text (.txt).

34

Abstract
A project abstract not exceeding one singlespaced page (660-word maximum) must be
provided. Information in the abstract should
cover the following areas as related to the
proposed project:
• Who is the lead applicant and who are the
formal partners, if applicable?
• What is the time frame for the project?
• What community need(s) will the project
address?
• Who is the intended audience for the
activities?
• What will be the project’s activities,
outcomes, and tangible products?
• What are the intended outcomes
for audience members, in terms of
measurable changes in knowledge,
attitudes, or behavior?
This abstract may be used by IMLS for
public information purposes, so it should be
informative to other persons working in the
same or related fields and insofar as possible
understandable to a technically literate lay
reader. The abstract must not include any
proprietary or confidential information.

Schedule of Completion
The applicant must provide a Schedule of
Completion that shows when each major
project task will be undertaken, marks
the milestones for each grant activity, and
designates how grant funds are to be spent
throughout the project. The Schedule of
Completion must also correspond to the
activities described in the narrative and the
project dates on the SF-424s and budget
pages. One way to plot this information is in
a graph or chart that lists project activities
and the corresponding months when these
activities will take place during the project.
This document may be created as a narrative
or spreadsheet, and should be no longer
than one page per year. See page 41 for an
example.

Budget Justification
The Budget Justification should explain all
elements of the Detailed Budget. For example,
the Budget Justification should explain the
role that each person listed in the project
budget will play. It should also provide
justification for all proposed equipment,
supplies, travel, services, and other expenses.
The application should provide specifications
for all hardware and software for which IMLS
funding is requested.

IMLS encourages applicants to contribute as
cost share the salaries of permanent staff to
be employed on a project in proportion to the
amount of time they will spend on the project.
If IMLS funding is requested for salaries of
permanent staff, the proposal should explain
why funds are requested for this purpose and
how the regular duties of these individuals
will be performed during the grant period. The
Budget Justification should explain the role
of any outside consultants and third-party
vendors to be employed on the project and
how each was identified and selected. Costs
for third-party service providers should be
documented by bids or otherwise justified.
The cost of project activities to be undertaken
by a third-party contractor, or a partner,
should be listed under “Services” on the
Detailed Budget as a single line item that
shows the amount that will be charged to
IMLS grant funds and the cost sharing that
will be provided by the third party. A complete
itemization of these costs should be included
as part of the Budget Justification. If there is
more than one contractor, the cost of each
contract must be listed separately on the
IMLS Budget Form and an itemization must be
included as part of the Budget Justification.

35

TEXT RESPONSES DOCUMENT

Organizational Profile
Provide an organizational profile of no
more than one page. Include the following
information: (1) the organization’s mission
and (2) the organization’s service area
(audience served, including size, demographic
characteristics, and geographic area).
This information will give the reviewers an
understanding of the applicant organization.

Service Expectations/
Recruitment Documentation
If applicable, applicants requesting IMLS
funds for student support must explain how
they will incorporate a service expectation into
their programs. Include sample guidelines for
potential students and agreements that will
be required of successful recipients. Please
limit this explanation to no more than two
single-spaced pages.

Student Placement Documentation
If applicable, institutions that offer continued
employment should explain how they will
incorporate employment opportunities into
their programs. IMLS will not require an
applicant to match every student position for
which funds are requested with a prospective
employer. However, the proposal should
explain its plan for graduate placement and
for tracking employment information for
students who complete the program. Please
limit this explanation to no more than two
single-spaced pages.

36

List of Key Project Staff and Consultants
and Resumes for Key Project Personnel
1. Provide a list of the key project staff
and the consultants who will be directly
involved in the program.
2. Add resumes or curriculum vitae of no
more than two pages each for all key
personnel (both staff and consultants).
Add a page break at the end of the list of
personnel, then add page breaks at the
end of each of the resumes/curriculum
vitae.
3. If the key project personnel have not been
selected by the application deadline date,
then submit position descriptions instead
of resumes. Because application reviewers
rely on resumes to determine the project’s
potential for success, if the personnel have
not been chosen, the application may be at
a competitive disadvantage.

OTHER ATTACHMENTS

Supporting Documentation

Points to Remember

Applicants may include documents that
specifically relate to the justification for
the project. Web links within the proposal
narrative to relevant online materials are
preferred to attachments.

• The number of attachments that may
be included is not limited. However, all
attachments must relate specifically to the
applicant’s project. Grants.gov applicants
are provided with two Attachments Forms,
each allowing up to 15 attachments.
Applicants are encouraged to create
multipage documents that include multiple
attachments, when possible.

Proof of Nonprofit Status
If the applicant’s organization is a private,
nonprofit organization (for those who
answered “Private Nonprofit” or “Other” on
question 5d of the SF-424s):
• The applicant must submit a copy of the
IRS letter indicating the organization’s
eligibility for nonprofit status under the
applicable provisions of the Internal
Revenue Code of 1954, as amended.
• IMLS will not accept a letter of state sales
tax exemption as proof of nonprofit status.

• Do not overburden the reviewers with
unnecessary materials.
• All attachments should include dates of
creation and authorship.

37

SUBMITTING GRANTS.GOV APPLICATIONS

1. In the top left corner of the Grants.gov menu
screen, applicants will see “Submit,” “Save,”
“Print,” “Cancel,” and “Check Package for
Errors” buttons.
2. Once applicants have completed the
application (i.e., all of the Mandatory
Documents have been completed and
moved to the “Completed Documents” box),
they should click the “Check Package for
Errors” button to double-check that they
have provided all required information.
3. Applicants should then click the “Save”
button one last time to make sure that all
of the most current information is saved.
(At this point, the invalid values message
should not pop up.)
4. Applicants should print out a hard copy of
the completed application for their files.
Clicking the “Print” button will print out all
of the forms in the “Mandatory Completed
Documents for Submission” box. Applicants
who desire a hard copy of the items
attached to the Attachments Form will
have to print those out on their own.
5. The authorized official will click the “Submit”
button. The “Submit” button will not become
active until the application is saved with all
required fields completed. Clicking this
button will reconnect the user to Grants.gov
and the Internet. The authorized official will
be prompted to provide the Grants.gov
UserID and password that were obtained
during the Grants.gov registration process.
Applicants should be certain that they are
satisfied with their application before
clicking the “Submit” button. No changes or
revisions are possible once the application
is submitted.

38

Grants.gov will put a date/time stamp
on each application after it is fully
uploaded. The time it takes to upload
an application will vary depending on
a number of factors, including the size
of the application, the speed of the
applicant’s Internet connection, and
the number of other applications (for
grants from a variety of federal
agencies) being sent to Grants.gov at
the same time.
Applications can be submitted until
11:59 P.M. (Eastern time) on December 15.
However, applicants are strongly
encouraged to submit applications early,
in case of delays resulting from heavy
online traffic or to deal with any lastminute problems that may be
encountered.
6. Upon submission of the application to
Grants.gov, the Grants.gov tracking number
assigned to the application will display on
the screen. Applicants should print out a
copy of this notification number for their
records. The tracking number also will be
e-mailed to the authorized organization
representative.
7. After the program deadline, applicants
will receive a notification via e-mail from
Grants.gov when IMLS retrieves their
applications from Grants.gov.
8. Within 30 working days after the
application deadline, IMLS will e-mail
applicants an acknowledgment form with
an application log number. Applicants who
do not receive this form in the stated time
should contact IMLS to ensure that their
application was successfully logged.

Application
Resources and
Assurances

APPLICATION CHECKLIST

An application requesting Laura Bush 21st Century Librarian Program funding should include the
following materials:
‰ Face Sheet: the Application for Federal Domestic Assistance/Short Organizational Form
(SF-424s) on Grants.gov.
‰ Program Information Sheet: the three-page form available as a fill-in PDF form or Word
document in the Grants.gov Zip file or on the IMLS Web site.
‰ Narrative (not to exceed 10 pages).
‰ Detailed Budget: a three-page form available as a fill-in PDF form or Word document in the
Grants.gov Zip file or on the IMLS Web site, replicated for each year of the project.
‰ Summary Budget: a one-page form available as a fill-in PDF form or Word document in the
Grants.gov Zip file or on the IMLS Web site.
‰ Partnership Statement, if applicable.
‰ Text Responses document(s), which will include the following:
‰ Abstract
‰ Schedule of Completion
‰ Budget Justification
‰ Organizational Profile
‰ Service expectations/recruitment documentation
‰ Student placement documentation
‰ List of key project staff and consultants
‰ Resumes for key project personnel
‰ Other attachments:
‰ Proof of Nonprofit Status, if applicable
‰ Current, federally negotiated rate for indirect costs, if applicable
‰ Planning documents, such as needs assessments or digitization plans, if applicable

40

Activity Eleven

Activity Ten

Activity Nine

Activity Eight

Activity Seven

Activity Six

Activity Five

Activity Four

Activity Three

Activity Two

Activity One

May

Jun
Jul

Aug

Sep

Oct

Nov

Dec

Jan

Feb

Mar

Apr

This is a sample format for a Schedule of Completion (see page 35). Applicants may prepare theirs in a
similar manner, but this format is not required. Whatever format is selected, be sure to list each major project
activity addressed in the application narrative and the date each activity begins and ends. It is critical that the
dates on the Schedule of Completion correspond to the project dates on the Application for Federal Domestic
Assistance/Short Organizational Form (SF-424s; also known as the Face Sheet). If the proposed activity is
part of a larger project, make sure the IMLS-funded portion is clearly identified.

SAMPLE SCHEDULE OF COMPLETION

41

IMLS ASSURANCES AND CERTIFICATION

IMLS is required to obtain from all
applicants certifications regarding federal
debt status, debarment and suspension,
nondiscrimination, and a 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”
(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 Application
for Federal Domestic Assistance/Short
Organizational Form (SF-424s).

42

Assurances Statement
By signing the application form, the authorized
representative, on behalf of the applicant,
assures and certifies that, should a grant be
awarded, the applicant will comply with the
statutes outlined below and all related IMLS
regulations, which are found in 45 C.F.R.
Chapter XI, Subchapter E (Institute of Museum
and Library Services). 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 official whose signature appears
on the application form.

Certifications Required of All Applicants
The authorized representative understands
that all financial assistance under this
program is awarded by the Institute of
Museum and Library Services. The authorized
representative further understands that
First Lady Laura Bush is not involved in the
review and approval of any application, and
if awarded a grant under this program, the
authorized representative agrees that he
or she will make no statement suggesting
that First Lady Laura Bush has personally
endorsed him or her or his or her institution in
any capacity.
The authorized representative agrees that his
or her institution shall refer to any financial
assistance awarded under this program
as a “Laura Bush 21st Century Librarian
Program grant from the Institute of Museum
and Library Services.” The authorized
representative further agrees that his or her
institution will not otherwise associate the
name Laura Bush with any fundraising or
solicitation in connection with this program.
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 nonfederal share of project costs) to
ensure proper planning, management, 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
the Single Audit Act Amendments of 1996
(31 U.S.C. § 7501 et seq.) and OMB
Circular No. A-133, “Audits of States, Local
Governments, and Non-Profit Organizations.”
The authorized representative, on behalf
of the applicant, certifies that the applicant
will comply with the provisions of OMB
Circular No. A-110, “Uniform Administrative
Requirements for Grants and Agreements with
Institutions of Higher Education, Hospitals,
and Other Non-Profit Organizations.”
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.
Suspension, Debarment, and Other
Responsibility Matters
1. The authorized representative, on behalf
of the applicant, certifies to the best of
his or her knowledge and belief that the
applicant and its principals:
(a) are not presently excluded or
disqualified;
(b) have not been convicted within
the preceding three years of any
of the offenses listed in 45 C.F.R.
1185.800(a) or had a civil judgment
rendered against the applicant or its
principals for one of those offenses
within that time period;

43

IMLS ASSURANCES AND CERTIFICATION

(c) are not 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 45 C.F.R.
1185.800(a); and
(d) have not had one or more public
transactions (federal, state, or local)
terminated within the preceding three
years for cause or default.
2. The authorized representative, on behalf
of the applicant, further certifies that the
applicant and its principals will comply
with 45 C.F.R. Part 1185 Subpart C
(Responsibilities of Participants Regarding
Transactions) and will require similar
compliance with Subpart C by persons
at the next lower tier with whom the
primary tier participant enters into covered
transactions.
Nondiscrimination
The authorized representative, on behalf of
the applicant, certifies that the applicant will
comply with the following nondiscrimination
statutes and their implementing regulations:
(a) 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;
(b) Section 504 of the Rehabilitation Act of
1973, as amended (29 U.S.C. § 701 et
seq.), which prohibits discrimination on
the basis of disability;

44

(c) Title IX of the Education Amendments
of 1972, as amended (20 U.S.C. §§
1681–83, 1685–86), which prohibits
discrimination on the basis of sex in
education programs; and
(d) 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.
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 Subpart B of 45
C.F.R. Part 1186.
This includes: 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 its employees; taking actions
concerning employees who are convicted of
violating drug statutes in the workplace; and
identifying (either with this application or upon
award, or in documents kept on file in the
applicant’s office) all known workplaces under
the award.

Certification Regarding Lobbying Activities
(Applies to Applicants Requesting Funds in
Excess of $100,000)
The authorized representative certifies, to the
best of his or her knowledge and belief, that:
(a) 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 any 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 a federal contract,
the making of a federal grant, the making
of a federal loan, the entering into of a
cooperative agreement, or the extension,
continuation, renewal, amendment, or
modification of a federal contract, grant,
loan, or cooperative agreement;
(b) if any funds other than appropriated
federal funds have been paid or will be
paid to any person (other than a regularly
employed officer or employee of the
applicant) 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 request,
complete, and submit Standard Form LLL,
“Disclosure of Lobbying Activities,” in
accordance with its instructions; and

(c) 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, subgrants, and contracts
under grants, loans, and cooperative
agreements) and that all subrecipients
shall certify and disclose accordingly.
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. IMLS grant regulations may be found
at 45 C.F.R. Chapter XI, Subchapter E (Institute
of Museum and Library Services).

45

IMLS ASSURANCES AND CERTIFICATION

Certifications Required of Some
Applicants
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.
Subcontracts
A grantee may not make a subgrant (for more
details, see 45 C.F.R. Chapter XI, Subchapter
E [Institute of Museum and Library Services]).
Applicants who plan to use awards to fund
contracts and subcontracts should be
aware that they must receive the following
certifications from those who bid on contracts:
1. certification of compliance with the
nondiscrimination statutes from
institutional applicants and contractors,
and
2. certification regarding debarment and
suspension from potential contractors and
subcontractors who will receive $100,000
or more in grant funds. Applicants are also
required to include without modification
the following wording in solicitations for
contracts that are expected to equal or
exceed $100,000:
(a) The prospective lower tier participant
certifies, by submission of this
proposal, that neither it nor its
principals are presently debarred,
suspended, proposed for debarment,
declared ineligible, or voluntarily
excluded from participation in this
transaction by any federal department
or agency.

46

(b) Where the prospective lower tier
participant is unable to certify to any
of the statements in this certification,
such prospective participant shall
attach an explanation to this proposal.
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), Executive Order
(E.O.) 11593, and the Archaeological and
Historic Preservation Act of 1974 (16 U.S.C.
§ 469 et seq.).

Environmental Protections
The authorized representative, on behalf
of the applicant, certifies that the project
will comply with environmental standards,
including the following:
(a) institution of environmental quality
control measures under the National
Environmental Policy Act of 1969, as
amended (42 U.S.C. § 4321 et seq.) and
E.O. 11514;
(b) notification of violating facilities pursuant
to E.O. 11738;
(c) protection of wetlands pursuant to E.O.
11990, as amended by E.O. 12608;
(d) evaluation of flood hazards in floodplains
in accordance with E.O. 11988, as
amended;
(e) 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.);
(f ) 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.);
(g) 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
(h) 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 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.
Research on Human and Animal 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.
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, 1800 M Street, NW, 9th Floor,
Washington, DC 20036. Or call 202/653-IMLS
(4657).

47

APPLICATION TIPS

To Make Your Application More Competitive…
• Start with a good idea! Identify the problem you are trying to solve and a potential solution
that grant funding would support. Remember that competitive programs are often very
competitive. In general, projects that benefit more than one institution and reach a broad
audience will be the most competitive.
• Match your idea with the appropriate funder and program—contact the program officer to find
out if your idea matches the goals of the program.
• Read the program guidelines carefully and note all instructions and deadlines. It takes time to
develop a good proposal and a good project, so give yourself plenty of it.
• Assemble your project team, including external partners—your team will be your most
important asset.
• Meet to discuss all aspects of the project and all of the program evaluation criteria—identify
assets, weaknesses, and potential allies. Ask questions: Who is the target audience? What
are the anticipated outcomes (who will benefit and how)? How can the benefits be measured
(how will you know if you succeed)? Who will know about it? Generally, projects involving two
or more institutions will require time and ongoing discussions to develop a strong relationship,
but projects based on these kinds of collaborative relationships will be more competitive for
funding and more successful in execution. Involve potential allies as partners, members of
advisory boards, or writers of support letters. They will help to disseminate results and extend
the benefit.
• Develop a draft proposal—follow the recommended format and all instructions, and address
all of the evaluation criteria in the order prescribed. Be sure to highlight your assets and try to
resolve potential weaknesses (e.g., arrange to hire a consultant if your team lacks expertise in
a specific area). Write in plain, understandable language.
• Contact your program officer for clarification of questions.
• Ask others who have not been involved in the project to read your draft—they may notice an
important omission or weakness.
• Revise your proposal and submit it on time.
• If your proposal is not successful, do not be discouraged. Read the reviewers’ comments
carefully—they can provide important suggestions for improving your project. Ask your program
officer to help clarify any comments that you do not understand.
IMLS has available for review on its Web site (www.imls.gov) examples of successful application
narratives for the Laura Bush 21st Century Librarian Program. You may view them on or
download them from the Web site to use as guides in the preparation of your own narrative.
Contact the Office of Library Services at 202/653-4700 if you have questions.

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