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OPEN IMMEDIATELY
2010
Statewide
Planning and
Implementation
Grants
Grant Program Guidelines
and Application Forms
CFDA No. 45.312
Application Deadline: December 15, 2009
Applicants must apply through Grants.gov
(see www.imls.gov/grantsgov for more information).
FOR MORE INFORMATION, CALL OR WRITE:
Statewide Planning and Implementation Grants Staff
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
TTY (for hearing-impaired persons)
202/653-4614
Christine Henry, Senior Program Officer
Phone: 202/653-4674
E-mail: [email protected]
Mark Feitl, Program Specialist
Phone: 202/653-4635
E-mail: [email protected]
Office of Museum Services
General phone: 202/653-4789
IMLS will provide visually-impaired or learning-disabled persons with an audio recording
of this publication or any other grant publication on request.
Office of Management and Budget Clearance Numbers
Guidelines: OMB No. 3137-0029 Expiration Date 7/31/2010
Forms: OMB No. 3137-0071; Expiration Date: 7/31/2010.
Burden Estimates and Request for Public Comments
Public reporting burden for the collection of information per the guidelines’ instruction 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 (3137-0029), Washington, DC 20503.
Public reporting burden is estimated to average 15 minutes per response for the Program
Information Sheet, 10 minutes per response for the Partnership form, and 3 hours per response
for the Detailed Budget and Summary Budget, 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 comment regarding this burden estimate or
any other aspect of this collection of information, including suggestion for reducing this burden,
to the Institute of Museum and Library Services, Chief Information Officer, 1800 M Street, NW,
9th Floor, Washington, DC 20036-5802, and to the Office of Management and Budget,
Paperwork Reduction Project (3137-0071), Washington, DC 20503.
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.
1
DEAR COLLEAGUES
I am pleased to present the 2010 guidelines for the Connecting to Collections: Statewide
Planning and Implementation Grants. These grants support projects that foster collaborations
among institutions dedicated to safeguarding our most cherished collections for the education
and enjoyment of future generations.
For the past three years, IMLS and its partners have been drawing attention to the findings and
recommendations of A Public Trust at Risk: The Heritage Health Index Report on the State of
America’s Collections (HHI), a landmark study conducted by Heritage Preservation in
partnership with IMLS. Our Connecting to Collections: A Call to Action initiative has already
resulted in a successful national summit on conservation and preservation, three rounds of
awards to small museums and libraries for the IMLS Connecting to Collections Bookshelf, and
four convenings of Connecting to Collections: The National Tour.
In FY 2008, we added the Statewide Planning Grants to our initiative in an effort to foster
effective partnerships among organizations that have a strong commitment to the collections
stewardship goals of a given state, commonwealth, or territory. A highly successful program,
only 17 states have yet to apply, and we encourage their applications during this grants cycle.
With the new fiscal year comes the latest and final component of the Connecting to Collections
initiative: the Statewide Implementation Grants for improvements in collections care. Using the
procedures and goals set out in their planning grants as a blue print for their work, applicants
must demonstrate how their planning process evolved and developed, and how the proposed
project will address findings of that planning process. Awards of up to $250,000 will be made to
projects that can serve as models for states that have begun their own planning process,
helping other institutions achieve the recommendations of the HHI through an appropriate and
achievable plan for action.
I encourage you to visit the Connecting to Collections Web site at www.imls.gov/collections, and
to take this opportunity to apply for a 2010 Connecting to Collections: Statewide Planning or
Implementation Grant.
Sincerely,
Anne-Imelda M. Radice, Ph.D
Director
2
TABLE OF CONTENTS
General Information
About the Institute of Museum and Library Services .............................................................. 6
Connecting to Collections: A Call to Action............................................................................. 7
About Connecting to Collections: Collaborative Statewide Grants ....................................... 8
Planning Grants ........................................................................................................................................ 8
Implementation Grants .............................................................................................................................. 9
Institutional Eligibility............................................................................................................... 10
Data Universal Numbering System (D-U-N-S®), Taxpayer Identification Number (TIN),
and Employer Identification Number (EIN) ............................................................................. 11
Award Information .................................................................................................................... 12
Cost sharing ............................................................................................................................................ 12
Project Start Date .................................................................................................................................... 12
Use of Funds ........................................................................................................................................... 12
Announcement of Awards ....................................................................................................................... 13
Reporting Instructions ............................................................................................................................. 13
Application Review Process .................................................................................................... 14
Preparing and Submitting an Application
Grants.Gov information and instructions ............................................................................... 16
Find Grant Opportunities ......................................................................................................................... 16
Get Registered ........................................................................................................................................ 16
Apply for Grants ...................................................................................................................................... 17
Grants.gov Help ...................................................................................................................................... 18
Preparing an application .......................................................................................................... 19
Application Components ......................................................................................................................... 20
Naming the Files and Their Sequence .................................................................................................... 20
SF-424s ................................................................................................................................................... 21
Abstract ................................................................................................................................................... 23
Program Information Sheet ..................................................................................................................... 24
Narrative .................................................................................................................................................. 25
Budget ..................................................................................................................................................... 27
Detailed Budget ................................................................................................................................... 27
Summary Budget ................................................................................................................................ 29
Budget Justification ............................................................................................................................. 29
Partnership Statement ............................................................................................................................ 30
Schedule of Completion .......................................................................................................................... 30
Organizational Profile .............................................................................................................................. 32
Project Staff and Resumes ..................................................................................................................... 32
3
IMLS Assurances and Certification
Assurances Statement ............................................................................................................................ 34
Certifications Required of All Applicants ................................................................................................. 34
Certifications Required of Some Applicants............................................................................................ 36
Ten Tips to Work Successfully with Grants.gov .................................................................... 38
4
SECTION 1:
GENERAL INFORMATION
5
ABOUT THE INSTITUTE OF MUSEUM AND LIBRARY
SERVICES
The Institute of Museum and Library Services is the primary source of federal support for the
nation’s 123,000 libraries and 17,500 museums. The Institute's mission is to create strong
libraries and museums that connect people to information and ideas. The Institute works at the
national level and in coordination with state and local organizations to sustain heritage, culture,
and knowledge; enhance learning and innovation; and support professional development. To
learn more about the Institute, please visit www.imls.gov.
The Institute supports the full range of museums, including art, history, science and technology,
children’s, natural history, historic houses, nature centers, botanical gardens, and zoos; and all
types of libraries, including public, school, academic, research, and archival. Our robust
capacity for research, evaluation, policy analysis, grantmaking, and partnerships help make it
possible for libraries and museums to be leaders in their communities.
Museums and libraries are America’s leading public institutions, making knowledge available to
millions at little or no cost. As public institutions they must meet a very high threshold of mission
accountability and use resources wisely for public good.
Through grants and information resources, we annually reach thousands of museums and
libraries in myriad ways—from providing much needed technical assistance for small institutions
to establishing national and replicable models, strengthening state networks, and supporting
professional development. To aid institutions in program design, we also provide tools for
strategic planning and evaluation. Funding from the Institute helps museums and libraries
operate effectively and give value to their communities. It also leverages additional public and
private support.
Collecting and disseminating results from funded projects, engaging in research, and publishing
reports enables the Institute of Museum and Library Services to make a significant contribution
to library, museum, and information policy and practice in the United States.
6
CONNECTING TO COLLECTIONS: A CALL TO ACTION
The Institute of Museum and Library Services has an extensive track record in supporting
projects in conservation/preservation in the nation’s collecting institutions and is dedicated to
increasing support in this crucial area. In 2006 the Institute launched Connecting to Collections:
A Call to Action in response to the sobering statistics of the landmark 2005 Heritage Health
Index report (HHI), supported by the IMLS and major private foundations. This comprehensive
survey of the condition and preservation needs of the collections housed in the public trust in
museums, libraries, and archives articulates the need to raise awareness nationwide about
collections care. Connecting to Collections: A Call to Action was designed to assist small and
mid-sized collecting institutions – those with comparatively few resources – in caring for their
valuable collections.
This initiative comprises many components, in addition to the collaborative Statewide Planning
and Implementation Grants:
•
•
•
•
•
•
Connecting to Collections: The National Summit, held in Washington, DC, in June 2007;
The IMLS Connecting to Collections Bookshelf, a compendium of core texts on
collections care being distributed to 3,000 small and mid-sized museums and libraries;
Connecting to Collections: The National Tour, a series of four forums in cities across the
country, each examining a different issue in the care of collections;
A major website, containing webcasts of each of the four forums, the User’s Guide for
the Bookshelf, A Guide to Online Resources on collections care, and many other
resources (www.imls.gov/collections);
The Connecting to Collections Video, produced to underscore the importance of
collections and to inspire communities to take action to save them for future generations;
and
A revised, updated version of Capitalize on Collections Care (available from Heritage
Preservation), containing case studies of how small and mid-sized collecting institutions
can increase support for collections care.
American Heritage Preservation Grants, a three-year partnership with the Bank of America
Foundation to fund conservation or environmental improvement of collections objects held in
small to mid-sized museums, libraries, and archives. All of these activities are designed to shine
a spotlight on collections care and to give museums, libraries, and archives the information and
tools they need to provide optimal care for their collections.
7
ABOUT CONNECTING TO COLLECTIONS: COLLABORATIVE
STATEWIDE GRANTS
Planning Grants
The agency invites proposals for statewide, collaborative planning grants to address the
recommendations of the Heritage Health Index (HHI), which found the collections held in the
public trust by libraries, museums, and archives to be at great risk. The report offered four
recommendations for collecting institutions:
•
•
•
•
that they provide safe conditions for their collections;
that they develop an emergency plan;
that they assign responsibility for collections care; and
that they marshal public and private support for and raise public awareness
about collections care.
These planning grants are intended to engage institutions with responsibility for collections
stewardship within a state in consultation and planning for ways to address the HHI
recommendations most relevant for their state. It is not necessary for all four recommendations
to be addressed, but all four may, indeed, be pertinent. These grants are aimed at fostering
effective partnerships among organizations that have a strong commitment to shared collections
stewardship goals. This program will fund ongoing or new collaborations. Projects may build on
previous or nascent statewide planning efforts. Projects should demonstrate how the
participating organizations (representing libraries, museums, archives, and other relevant
statewide organizations) will work together in a planning process that moves the state closer to
achieving the recommendations of HHI through an appropriate and achievable plan for action.
These planning grants are a central component of the Connecting to Collections: A Call to
Action initiative and will result in a series of models and best practices for institutions
nationwide.
In the first two years of this initiative, IMLS made 42 awards to states in every region. There are
seventeen states that have not yet received a Statewide Planning Grant and are eligible to
apply for these funds: Arizona, Hawaii, Idaho, Louisiana, Missouri, Montana, Nebraska, Nevada,
Washington, DC, West Virginia, Wisconsin, American Samoa, the Commonwealth of the
Northern Mariana Islands, the Federated States of Micronesia, Puerto Rico, the Republic of
Palau, and the Republic of the Marshall Islands.
The best proposals, in addition to meeting the review criteria, shared the following
characteristics:
Project goals were tied directly to the findings of the Heritage Health Index.
The application engaged a broad array of partners across the state, including museums
and libraries of many disciplines, archives, representatives from the philanthropic
community, and state government officials with relevant collections oversight or disaster
preparedness responsibility.
The proposed partnership coalition included the “major players” within the state and will
reach out to institutions of many sizes in an inclusive planning process.
8
IMLS has posted copies of all funded project narratives as examples of excellent statewide
plans and best practices on the agency’s website at
www.imls.gov/collections/grants/planning.htm.
Implementation Grants
The agency invites proposals for statewide projects that build on the collaborations and
partnerships developed in one of the 42 previously funded Connecting to Collections Statewide
Planning grants. Applicants should show how the planning process evolved and developed, and
how the proposed project will address findings of that planning process. Emphasis is placed on
the collaborative nature of the projects across the museum, library, and archive fields.
Projects should describe both short-term and long-term impacts of the project activities for
collections stewardship across the state. Assessment of the results will be an integral part of the
project, and awardees will be expected to measure and report widely on outputs, outcomes,
findings, and products. Awards will be made to projects that can serve as models for other
states that have begun their own planning process.
Note: For purposes of these guidelines, “state” and “statewide” refers, respectively, to each of
the 50 U.S. States, the District of Columbia, the Commonwealth of Puerto Rico, the U.S. Virgin
Islands, Guam, American Samoa, the Commonwealth of the Northern Mariana Islands, the
Republic of the Marshall Islands, the Federated States of Micronesia, and the Republic of
Palau.
9
INSTITUTIONAL ELIGIBILITY
All applications are required to reflect multiple partnerships, including representatives of
libraries, museums, archives, statewide service organizations and state agencies. Any U.S.
nonprofit library or museum is eligible (please see IMLS eligibility criteria at
www.imls.gov/applicants/criteria.shtm a full definition of these kinds of institutions). In addition, a
library or museum consortium or association is eligible to apply. Any single organization need
not have statewide stewardship; this statewide perspective can be achieved through
partnerships. More than one application may be submitted from an individual state but only one
application per state will be funded. Individuals are not eligible to apply.
10
DATA UNIVERSAL NUMBERING SYSTEM (D-U-N-S®),
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 (D-U-N-S®)
Number when applying for federal grants or cooperative agreements on or after October 1,
2003.
Organizations should verify that they have a D-U-N-S® Number or take steps to obtain one.
Organizations can receive a D-U-N-S® Number at no cost by calling the dedicated toll-free
D-U-N-S® 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.
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 D-U-N-S® and TIN numbers, its application will be rejected.
11
AWARD INFORMATION
Planning grants are for up to $40,000 and Implementation grants will be made for up to
$250,000. If needed, project activities supported by the grants may be carried out for up to two
years. In the course of this initiative, IMLS hopes to make one planning award in each state and
to fund several model projects across the Nation for implementation of the planning project
results.
Cost sharing
Encouraged but not required for these grants. For Implementation projects, applicants are
encouraged to provide at least one third of the total project costs from nonfederal sources.
Project Start Date
Projects may begin no earlier than April 1, 2010 and no later than June 1, 2010. Projects must
begin on the first day of the month and end on the last day of the month.
Use of Funds
Grant funds may not be used for
• Construction
• Acquisition of collections
• Contributions to endowments
• Social activities, ceremonies, or entertainment
• Pre-grant costs
• Collection conservation activities, including the purchase of storage equipment, HVAC
systems, storage facilities, object treatment, or historic structure renovation. (For these
activities, please see IMLS Conservation Project Support guidelines for possible
eligibility.)
Allowable Expenses include such items as
• Costs for collaborative planning meetings
• Databases
• Supplies and postage
• Travel/mileage expenses
• Staffing of the project
• Consultants’ fees
• Needs assessments
All proposed expenses must be justified in the application budget.
12
Announcement of Awards
No information about the status of an application will be released until the applications have
been reviewed and all deliberations are concluded. IMLS will notify applicants of final decisions
by mid-March, with projects to begin no earlier than April 1, 2010
Reporting Instructions
Grant recipients are required to submit 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. The final narrative
performance report should document project goals and project achievements, summarize
lessons learned, and analyze results. See report forms at www.imls.gov/docs/rptInstructions.doc
13
APPLICATION REVIEW PROCESS
IMLS staff determines whether an applicant is eligible and whether an application is complete. If
an applicant is determined to be ineligible as an official applicant, the applicant will be rejected
without evaluation (see “Institutional Eligibility”), and notified by IMLS. Applicants are
encouraged to call IMLS Senior Program Officer Christine Henry prior to submission of their
proposals to discuss their application.
All eligible and complete applications for Statewide Planning and Implementation Grants will be
evaluated by a peer review panel. Panelists will have professional experience in or relating to
conservation/ preservation; collections care and management; general museum or library
operations; or statewide collaborative projects. The IMLS Director will make the final funding
decisions on the basis of the peer evaluations, the appropriateness of the projects to the goals
of the Connecting to Collections: A Call to Action initiative, and the overall goals of IMLS.
14
PREPARING AND SUBMITTING
AN APPLICATION
15
GRANTS.GOV INFORMATION AND INSTRUCTIONS
Organizations that are applying under the December 15, 2009, deadline for the Statewide
Planning Grants 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, 2009.
Applications must be submitted by an authorized representative of the eligible entity.
While the deadline is December 15, 2009, IMLS recommends strongly that applicants
REGISTER EARLY and COMPLETE AND SUBMIT THEIR APPLICATION EARLY. 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 onetime process. DO NOT WAIT UNTIL THE WEEK OF THE APPLICATION DEADLINE TO
REGISTER.
Find Grant Opportunities
www.grants.gov/applicants/find_grant_opportunities.jsp
•
Search opportunities
o Basic search
o Browse by category
o Browse by agency
o Advanced search
•
Email subscription
o All grants
o Advanced criteria
o Specific Funding Opportunity Number (FON)
o Unsubscribe
Get Registered
www.grants.gov/applicants/get_registered.jsp
•
Step 1: Register your organization
o Request a D-U-N-S® Number
o Register with CCR
o Organization registration checklist
•
Step 2: Register yourself as an Authorized Organization Representative (AOR)
•
Step 3: Get authorized as an AOR by your organization
16
Apply for Grants
www.grants.gov/applicants/apply_for_grants.jsp
Step 1: Download a grant application package
Use one of the following identifiers to locate the
Connecting to Collections: Statewide Planning Grants package:
CFDA No: 45.312
Funding Opportunity Number: CTC-FY10
IMLS applicants must download two packages to get all of the necessary forms and instructions:
1. Download Application Instructions: This package contains the grant application
guidelines (which include instructions for completing the 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”), Abstract, and the
Attachments form.
Step 2: Complete the grant application package
Step 3: Submit the completed grant application package
Important deadline information: Applications must be received by 11:59 p.m. on December 15,
2009 in the Grants.gov system. Within 48 hours of submitting a grant application, applicants will
receive two email messages from Grants.gov:
• The first will confirm receipt of the application by the Grants.gov system.
• The second will indicate that the application has either been successfully validated by the
system prior to transmission to the grantor agency OR has been rejected due to errors.
Only applications validated by the Grants.gov system will be available to IMLS for the grant
review process.
Applicants are encouraged to not wait until the final hours prior to the deadline to submit their
applications. Submitting early may enable an applicant to deal with unexpected problems.
Step 4: Track the status of a submitted grant application package
17
Grants.gov Help
For direct assistance with Grants.gov, contact the Grants.gov Help Desk via e-mail 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.
Help is also available on the Grants.gov Website: www.grants.gov/help/help.jsp
•
User manual for applicants: www.grants.gov/assets/GDG_AppUserGuide_0207.pdf
•
Frequently asked questions (FAQs): www.grants.gov/help/faq.jsp
o General FAQs
o Applicant FAQs
o Submit application FAQs
o Adobe® Reader® Viewer FAQs
•
How to convert documents to PDF: www.imls.gov/pdf/PDFConversion.pdf
•
Download Adobe® software: Step 3 in www.grants.gov/applicants/apply_for_grants.jsp
•
Glossary: www.grants.gov/help/glossary.jsp
•
D-U-N-S® Help: http://fedgov.dnb.com/webform
•
D-U-N-S® FAQs: http://fedgov.dnb.com/webform/displayFAQPage.do
•
CCR help:
o Central Contractor Registration Handbook: www.ccr.gov/doc/CCR_Handbook.pdf
o CCR FAQs: www.ccr.gov/FAQ.aspx
NOTE: Once an organization has registered with the CCR, the registration must be renewed
each year. Go to: www.ccr.gov/Renew.aspx.
For For
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18
PREPARING AN APPLICATION
Application Components
An application requesting funding from the Connecting to Collections Statewide Planning and
Implementation grant program must include the materials listed below. Each component is in
one of the following formats:
•
•
•
Grants.gov form: These forms are available only in the package downloaded from
Grants.gov. Applicants will need the Adobe® Reader® to fill out these forms.
IMLS form: These forms are available in both Microsoft® Word document and Fill-in
PDF formats, and are located in both the downloaded Grants.gov file and the IMLS Web
site.
o While the Word versions of the forms are provided for convenience, please note
that completed forms must be submitted as PDF’s. For assistance in
converting documents to PDF, visit www.imls.gov/pdf/PDFConversion.pdf.
Text document: Applicants should create these documents using their own word
processing or other software. Again, they must be attached to the application as
PDF’s.
Component:
1. Face sheet: the Application for Federal Domestic Assistance/Short
Organizational Form (SF-424S)
2. Abstract
3. Program Information Sheet
4. Narrative (not to exceed 5 pages)
5. Detailed Budget, replicated for each year of the project
6. Summary Budget
7. Budget Justification, a narrative of up to 2 pages to
describe expenses as listed in the budget forms
Format:
Grants.gov form
Grants.gov form
IMLS form
Text document
IMLS form
IMLS form
Text document
8. Partnership Statement (one for each partner entity)
IMLS form
9. Organizational profile for each partner entity
Text document
10. Planning Documents (if applicable)
11. Schedule of Completion
12. List of key project staff and consultants and brief (no
more than 2 pages per person) résumés for key project personnel
Text document
Text document
Text document
19
Naming the Files and Their Sequence
The IMLS forms, text documents and other documents that are part of the application must each
be saved as a PDF that is named according to the list below. Note: IMLS will not convert files
for applicants and will not accept file formats other than PDF. For assistance in converting
documents to PDF, visit www.imls.gov/pdf/PDFConversion.pdf. Also, please do not send
secured PDFs because IMLS cannot process these files.
Append all of the documents to the Attachments Form in the prescribed sequence. If you have
more attachments than will fit on one Attachments Form, please use the Optional Attachments
Form for the remaining ones, following the same naming convention.
The Face Sheet (SF 424S) and the Abstract are Grants.gov forms that will automatically
be saved as PDFs. The table below is for all of the other application components that are
appended to the Attachment form.
Document
File name to use
Attach in this order
Program Information Sheet
Programinfo.pdf
1
Narrative
Narrative.pdf
2
Detailed budget form [by year,
as appropriate]
Detailedbudget year 1.pdf
Detailedbudget year 2.pdf
Detailedbudget year 3.pdf
3a
3b
3c
Summary budget form
Summarybudget.pdf
4
Budget justification
Budgetjustification.pdf
5
Partnershipstatement.pdf
6a
6b
Etc.
Partnership Statement form
(one for each partner entity)
Appendices:
Organizational profile for each
partner entity [numbered, as
appropriate]
Organizationalprofile 1.pdf
Planning Documents
[numbered, as appropriate]
Supportingdocument 1.pdf
Supportingdocument 2.pdf
Supportingdocument 3.pdf
Etc.
7a
7b
Etc.
8a
8b
8c
Etc.
Work Plan or Schedule of
completion
Scheduleofcompletion.pdf
9
Project staff and resumes
Projectstaff.pdf
10
20
SF-424s
The IMLS Face Sheet is the equivalent of the “Application for Federal Domestic
Assistance/Short Organizational Form (SF-424S)” on Grants.gov.
Items 1 – 4 are automatically filled in by Grants.gov.
5. Applicant Information
a. Legal Name: Enter the legal name of the organization that is making the application. Please
see page 10 (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 Sheet, Question 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.
d. Type of Applicant: Select the one code that best characterizes the applicant organization from
the menu in the first dropdown box. Leave the other boxes blank. The following types of
applicants are not eligible to receive Statewide Planning Grants.
• Individuals
• Public/Indian Housing Authority
• 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 D-U-N-S®: All organizational applicants for federal funds must have a
D-U-N-S® Number. If applying through Grants.gov, ensure that the number entered here agrees
with the number (either 9 or 13 digits) that was used with the CCR (Central Contractor Registry)
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 institution 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.
21
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. Statewide Planning and Implementation Grants projects must begin
between April 1, 2010 and June 1, 2010. 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. In some museums, the person could be the development director. 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 Authorized Representative, 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, this individual certifies the applicant’s
compliance with relevant federal requirements (the “IMLS Assurances and Certification”
section). All written correspondence will be addressed to the authorized representative.
For Grants.gov applications, the “Signature of Authorized Representative” and “Date Signed”
boxes will be populated upon submission of the application. Submission of the application by
the Authorized Representative certifies compliance with relevant federal requirements to the
same extent as the signature does on a paper application.
22
Abstract
A Project Abstract not exceeding one single-spaced (660-word maximum) page. Insert the text
into the Abstract form provided in the package downloaded from Grants.gov.
Information in the abstract should cover the following areas as related to the proposed project:
•
•
•
What will be the project’s activities, outcomes, and tangible products?
Who is the lead applicant and who are the formal partners?
What is the time frame for the project?
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.
23
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 that is part of a parent organization,
such as a university, is applying, the university would be the legal applicant, and the museum
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.
2. Grant Program or Grant Program Category
Select the category Connecting to Collections: Statewide Planning Grants or Connecting to
Collections: Statewide Implementation Grants as appropriate.
3. Request Information
a. IMLS Funds Requested: Enter the amount sought from IMLS.
b. Cost Share Amount: Enter the amount here. Applicants are not required to provide cost
sharing.
4. Museum Profile (Museum Applicants only)
Museum applicants must answer all questions in this section.
5–8.
Applicants for Statewide Planning and Implementation Grants should skip these sections.
24
Narrative
Planning Grants
Limit the narrative to five single-sided, single-spaced, numbered pages. All pages should have
at least 0.5 inch margins on all sides, and the font size should be no smaller than twelve point.
Use the appendices to provide supplementary material.
Statewide Planning Grants will support projects that bring multiple collections-holding
organizations together to address conservation needs in a collaborative manner. Successful
proposals will include discussion of any previous statewide planning efforts, previous needs
assessments, and results of past or nascent planning efforts at the state level.
Provide a detailed project description with supporting evidence that addresses the following
topics:
1. Need and Rationale
Applicants should summarize the broad conservation needs within their state and provide a brief
explanation of how these needs were determined. If your state has not conducted such needs
assessments, the project may include such efforts. List those recommendations of the Heritage
Health Index (HHI, see page 7) that are germane for your state and explain why. What
conditions in your state must be taken into account in statewide conservation planning?
2. The Planning Process
Describe the scope of the planning process, who will be included as partners, the expected
results, and any prioritization of efforts for the future. Outline any preliminary data-gathering
efforts in your state, or describe any such efforts that may take place during or before the
planning period. Describe institutional responsibilities for the project’s implementation. Explain
how information will be shared and decisions made. Describe any products that you anticipate
as a result of the planning process.
3. Project Resources: Budget and Personnel
Describe personnel who will carry out the project activities. Discuss the budget allocated to
accomplish the planning process. Describe the plan for sustaining this planning effort through
partnerships, collaboration, and commitment of resources and any anticipated long-term
benefits or impacts to the state beyond the grant period.
Evaluation Criteria: Reviewers will be asked to apply the following criteria in assessing the
applications:
•
•
•
•
•
•
the degree to which the applicant has provided a clear assessment of the needs within a
particular state or has articulated the strategy for conducting such needs assessment(s)
the degree to which the project will help to create a workable, concrete plan, on a
statewide basis, to address one or more of the recommendations of the HHI
the readiness of the applicant to undertake the planning process
evidence that the process reflects strong collaboration involving appropriate
representatives of libraries, museums, archives, and statewide organizations
the degree to which the budget and personnel are sufficient to accomplish the specified
planning tasks and
evidence that the planning efforts will have long-term results and benefits beyond the
grant period.
25
Implementation Grants
Limit the narrative to seven single-sided, single-spaced, numbered pages. All pages should
have at least 0.5 inch margins on all sides, and the font size should be no smaller than twelve
point. Use the appendices to provide supplementary material.
Statewide Implementation Grants will support projects that bring multiple collections-holding
organizations together to address conservation needs in a collaborative manner. Successful
proposals will include discussion of any previous statewide planning efforts; including
Connecting to Collections Statewide Planning Grants and the results of those efforts.
Provide a detailed project description with supporting evidence that addresses the following
topics:
1. Need and Rationale
Applicants should summarize the broad conservation needs within their state, commonwealth,
or territory and provide a brief explanation of how these needs were determined. Describe the
planning grant process, how the project and partnerships evolved throughout the process, and
how results of the planning grants were prioritized.
2. Project Design
Describe the scope of the project, what organizations will be included as partners, project goals
and activities, and the expected results for both individual institutions and the state. Describe
any products that will result from the project. Describe partner institution responsibilities for the
project’s implementation. Describe the design, integration, and implementation of an
assessment method that will measure project outputs, outcomes, findings, and products.
3. Project Resources: Budget and Personnel
Describe personnel who will carry out the project activities. Discuss the budget allocated to
accomplish the project activities. Describe the plan for sustaining the results of the project
activities through partnerships, collaboration, and commitment of resources and any anticipated
long-term benefits or impacts to the state beyond the grant period.
Evaluation Criteria: Reviewers will be asked to apply the following criteria in assessing the
applications:
•
•
•
•
•
the degree to which the project builds on previous planning efforts and will help the
collecting institutions in the state to take steps that address one or more of the
recommendations of the HHI
evidence that the process reflects strong collaboration involving appropriate
representatives of libraries, museums, archives, and statewide organizations
the degree to which the budget and personnel are sufficient to accomplish the specified
tasks
evidence that the project activities will have long-term results and benefits beyond the
grant period
extent to which this project could serve as a model to other states for collaborative
collections stewardship activities.
26
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 in the Grants.gov Zip file or on the IMLS
Web site. The third element is the Budget Justification.
Applicants for funding from the Statewide Planning Grants program are encouraged but not
required to provide cost sharing of the total project cost. Applicants for funding for from the
Statewide Implementation Grants program are encouraged to provide at least one third of the
total project costs from nonfederal sources.
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 can fill out the form for one year, save it, then fill it out again for the
remaining years. Applicants will notice that the columns total automatically.
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 the value of services or equipment that is donated to the project free of
charge. Remember to include costs for evaluation, which, like many costs, may fall under any or
all of these categories. 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: 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
27
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: Ignore this section. It does not apply to the Statewide Planning and
Implementation Grants programs.
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.
9. Total Direct Costs: Add up the subtotal amounts from the previous sections.
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 indirect cost 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.
11. Total Project Costs: Complete the first line; ignore the second line, which is specific to
another IMLS grant program.
Use of Indirect Cost Rates
If an organization applying for an IMLS grant already has an existing negotiated indirect cost
rate in effect with another federal agency, this rate may be used to calculate total project costs,
as long as the rate is applied in accordance with the terms of the negotiated agreement, and a
copy of the negotiated agreement is included as supporting documentation with the IMLS
application. IMLS will not accept an indirect cost rate that is scheduled to expire before an
award is issued.
If an organization is in the process of negotiating an indirect cost rate with another federal
agency, the proposed indirect cost rate may be used to estimate total project costs, as long as
the proposed rate is applied in accordance with the terms of the proposed agreement, and a
copy of the indirect cost proposal is included as supporting documentation with the IMLS
application. In such situations, if a grant is awarded, IMLS will not pay any indirect costs until a
final indirect cost rate is negotiated with another agency, and a copy of the final agreement is
submitted to the IMLS Office of Grants Administration. It is possible that the amount of the IMLS
award will be reduced if the final negotiated rate is less than the rate that was used for budget
estimates in the application budget. However, the amount of the IMLS award will not be
increased if the final negotiated indirect cost rate is higher than the rate that was used for
budget estimates in the application budget.
28
Organizations that do not have a negotiated indirect cost rate in effect with any federal agency,
and do not wish to negotiate one, may use an indirect cost rate of up to 15 percent to calculate
total project costs. If an applicant chooses to use this rate, it must be careful to exclude from the
budget all indirect-cost type items (administrative) such as but not limited to general telephone,
postage, office supplies, and office space expenses. The 15 percent rate may not be applied
to more than the first $5,000 of distorting costs such as equipment purchases and contracts.
An organization with an existing negotiated agreement or an organization currently in the
process of negotiating a rate agreement with another federal agency must calculate total project
costs using an indirect cost rate appropriate to the type of proposed project activity. For
example, an organization may only calculate total project costs using an existing negotiated rate
for research activity if the activity proposed to IMLS is a research project. Once an indirect cost
rate is accepted by IMLS, this 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.
IMLS will pay indirect cost rates only on that portion of Total Direct Costs that the applicant is
requesting to be supported by IMLS funds. However, an applicant may also apply an
appropriate indirect cost rate to the Cost Share portion of a project’s Total Direct Costs, and use
this as part of the calculated cost sharing in the project budget.
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.
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.
Budget Justification
The Budget Justification is a text document that explains all elements of the Detailed Budget
and the “Other cost” listed for the education component, if requested. 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
29
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.
Explanation of Budget Surplus or Deficit
If an applicant indicates a budget surplus or deficit for the two previous fiscal years on the
Program Information Sheet, they must include a one-page explanation.
Partnership Statement
Complete a Partnership Statement for each formal partner involved in the proposed project.
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 Form.
1–5
Provide all of the information requested for the partner organization. If the partner organization
does not have a D-U-N-S® Number, refer the partner to page 11 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 that the applicant will make this form available to
IMLS if requested by IMLS.
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 Face Sheet 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 sample schedule below. 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
30
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.
31
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.
Project Staff and Resumes
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). Resumes that exceed the two page limit will have the
remaining pages removed by IMLS staff. Add a page break at the end of the list of
personnel, and then add page breaks at the end of each of the resumes/vitae.
Note: If the key project personnel have not been selected by the application deadline date, then
submit position descriptions instead of resumes.
32
IMLS ASSURANCES
AND CERTIFICATION
33
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” form (Standard Form LLL).
Some applicants will be required to certify that they will comply with other federal statutes that
pertain to their particular situation. These requirements are incorporated in the Assurances
Statement below. The authorized representative must review the statement and provide the
certification in item 9 on the Application for Federal Domestic Assistance/Short Organizational
Form (SF-424s).
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 CFR Chapter XI. These
assurances are given in connection with any and all financial assistance from IMLS after the
date this form is signed, but may include payments after this date for financial assistance
approved prior to this date. These assurances shall obligate the applicant for the period during
which the federal financial assistance is extended. The applicant recognizes and agrees that
any such assistance will be extended in reliance on the representations and agreements made
in these assurances, and that the United States government has the right to seek judicial
enforcement of these assurances, which are binding on the applicant, its successors,
transferees, and assignees, and on the authorized official whose signature appears on the
application form.
Certifications Required of All Applicants
Financial, Administrative, and Legal Accountability
The authorized representative, on behalf of the applicant, certifies that the applicant has legal
authority to apply for federal assistance and the institutional, managerial, and financial capability
(including funds sufficient to pay the 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 applicable OMB Circulars.
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.
Debarment and Suspension
The applicant shall comply with 2 CFR Part 3185. The authorized representative, on behalf of
the applicant, certifies to the best of his or her knowledge and belief that neither the applicant
nor any of its principals:
(a) are presently excluded or disqualified;
34
(b) have been convicted within the preceding three years of any of the offenses listed in 2
CFR § 180.800(a) or had a civil judgment rendered against it or them for one of those
offenses within that time period;
(c) are presently indicted for or otherwise criminally or civilly charged by a governmental
entity (federal, state, or local) with commission of any of the offenses listed in 2 CFR §
180.800(a); or
(d) have had one or more public transactions (federal, state, or local) terminated within the
preceding three years for cause or default.
Where the applicant is unable to certify to any of the statements in this certification, he or she
shall attach an explanation to this application.
The applicant, as a primary tier participant, is required to comply with 2 CFR Part 180 Subpart C
(Responsibilities of Participants Regarding Transactions Doing Business with Other Persons) as
a condition of participation in the award. The applicant is also required to communicate the
requirement to comply with 2 CFR Part 180 Subpart C (Responsibilities of Participants
Regarding Transactions Doing Business with Other Persons) to persons at the next lower tier
with whom the applicant enters into covered transactions.
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;
(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.
[Note: IMLS Drug-Free Workplace regulations will shortly be relocated from 45 CFR Part 1186
to 2 CFR.]
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:
35
(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.
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 comply with the communication and
verification requirements set forth in the above Debarment and Suspension provisions.
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.).
36
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).
37
TEN TIPS TO WORK SUCCESSFULLY WITH GRANTS.GOV
1. Register early! Go to www.grants.gov/applicants/get_registered.jsp. This process may
take up to two weeks to complete, and may take longer if your organization does not
have a D-U-N-S® Number. You must have a D-U-N-S® Number to register with
Grants.gov. If you registered last year, please note that you must renew each year. Go
to www.ccr.gov/Renew.aspx.
2. You may wish to designate more than one Authorized Organization Representative
(AOR) for your organization when you register. This will help to avoid last minute crises
in the event that a single AOR is unavailable when you are ready to submit your
application. This person might not be the same person that you list as the Authorized
Representative for IMLS.
3. Log onto Grants.gov and start working on your grant application NOW. Do not wait
until the last week before the application deadline to begin the submission process,
particularly if you are not familiar with Grants.gov. It may take up to 48 hours to receive
notification that your application has been both received and validated after submission.
Give yourself enough time to make corrections, if necessary, and resubmit before the
grant deadline.
4. Download the most recent version of Adobe® Acrobat® Reader® onto your computer for
best results. Currently, Grants.gov only supports versions 7.0.9 and later. If you are
working with a “track changes” tool while writing your application, be sure to accept all
changes and save the document before submission to Grants.gov.
5. All documents must be submitted in PDF format. Follow the instructions in the IMLS
Grant Guidelines to convert your MS Office® documents like Word and Excel® to PDF:
www.imls.gov/pdf/PDFConversion.pdf. Start practicing the conversion of Word, Excel®
and other types of documents into the PDF format. If you are new to this process, you
may need time to learn how to do this smoothly and avoid frustration as the deadline
nears.
6. Avoid scanning your documents when possible—this creates a very large file that makes
your application more cumbersome to manage, and the large files may not be processed
properly. Whenever possible, use the “conversion to PDF” instructions noted above.
7. Use Internet Explorer® for your browser when submitting the application to Grants.gov.
Mozilla® Firefox® is not currently compatible with this process.
8. Do not email, fax, or mail applications or any part of an application to IMLS. We can only
accept application documents that are submitted and successfully validated by
Grants.gov.
9. The IMLS Grant Program Guidelines contain extensive instructions and hints to help you
with this entire process. Please make time to read through these materials as well as the
information provided at www.grants.gov. You will be more likely to receive the
38
assistance you need, if you begin by taking the time to familiarize yourself with the basic
instructions and guidance provided through these sources.
10. Contact Grants.gov help (www.grants.gov/help/help.jsp or 1-800-518-4726 ) during
business hours) for assistance with the following:
•
•
•
Hardware and software issues
Registration issues
Technical problems with attachments
Contact your IMLS Senior Program Officer (Christine Henry: [email protected] or (202)
653-4674) or Program Specialist (Mark Feitl: [email protected] or (202) 653-4635) for
assistance with the following:
•
•
•
Guidelines
Eligibility questions
Content, budget, timeline (schedule of completion) questions
NOTE: IMLS Program staff assistance is not available on weekends or Federal holidays.
39
1800 M Street, NW, 9th Floor
Washington, DC 20036-5802
Official Business
Penalty for Private Use, $300
Dated Material
OPEN IMMEDIATELY
2010
Statewide
Planning and
Implementation
Grants
Grant Program Guidelines
and Application Forms
CFDA No. 45.312
Application Deadline: December 15, 2009
Applicants must apply through Grants.gov
(see www.imls.gov/grantsgov for more information).
| File Type | application/pdf |
| File Title | FOR MORE INFORMATION, CALL OR WRITE: |
| Author | EArnold |
| File Modified | 2009-10-05 |
| File Created | 2009-10-05 |