General Terms and Conditions for Native American Library Services Basic Grants; and Basic Grants with Education/Assessment Option

General Terms and Conditions
For IMLS Native American Library
Services Basic Awards
The General Terms and Conditions for IMLS Native American Library Services
Basic Awards are based on the administrative requirements in 45 CFR § 1183, the
IMLS administrative requirements for grants and cooperative agreements to State,
local, and Indian tribal governments. The above administrative requirements
apply to the majority of IMLS Native American Library Services Basic Awards.
Tribes that receive grants are subject to these General Terms and Conditions must
be familiar with this document and comply with its requirements.

May 2010

Table of Contents
Table of Contents........................................................................................................................................ ii
Glossary of Terms ...................................................................................................................................... iii
1. Applicability of General Terms and Conditions ..................................................................................... 1
2. Grantee Responsibilities ........................................................................................................................ 1
3. Uniform Administrative Requirements .................................................................................................. 1
4. Allowable Costs ...................................................................................................................................... 1
5. Grant Period and Extensions ................................................................................................................. 2
6. Changes in Project Scope ....................................................................................................................... 2
7. Changes in Key Project Personnel.......................................................................................................... 2
8. Budget Revisions .................................................................................................................................... 2
9. Payments and Interest ........................................................................................................................... 3
10. Reporting Requirements ...................................................................................................................... 5
11. Financial Management Standards ....................................................................................................... 5
12. Audit Requirements ............................................................................................................................. 7
13. Record Retention ................................................................................................................................. 7
14. Equipment ........................................................................................................................................... 7
15. Title to Equipment ............................................................................................................................... 8
16. Supplies ................................................................................................................................................ 8
17. Travel Costs .......................................................................................................................................... 8
18. Foreign Travel ...................................................................................................................................... 8
19. Dissemination of Project Results ......................................................................................................... 9
20. Acknowledgment of Support and Disclaimer ...................................................................................... 9
21. Intangible Property ............................................................................................................................ 10
22. Data Collection................................................................................................................................... 10
23. Program Income ................................................................................................................................ 11
24. Nondiscrimination ............................................................................................................................. 11
25. Debarment, Suspension, and Other Responsibility Matters ............................................................. 12
26. Drug-Free Workplace Requirements ................................................................................................. 12
27. Lobbying Activities ............................................................................................................................. 12
28. Indebtedness to the Federal Government......................................................................................... 13
29. Research Misconduct ......................................................................................................................... 13
30. Trafficking in Persons ......................................................................................................................... 14
31. Termination ....................................................................................................................................... 16
32. Termination Review Procedures ........................................................................................................ 17
33. Resolution of Conflicting Conditions ................................................................................................. 17
Appendix .................................................................................................................................................. 18
1. Procurement Standards .................................................................................................................. 18
2. Contract Provisions ......................................................................................................................... 19
3. Use of Foreign-Flag Air Carriers ...................................................................................................... 20

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Glossary of Terms
Authorizing Official – The authorizing official of the applicant institution has the
authority to apply for federal support of the institution’s activities and to enter into legal
agreements in the name of the institution.
Cash Contributions - The grantee's cash outlay for budgeted project activities, including
the outlay of money contributed to the grantee by third parties.
Cost Sharing - The portion of the costs of a project not charged to IMLS funds. This
would include cash contributions (as defined above) as well as the value of grantee
contributions of services and property that are valued in accordance with the applicable
cost principles and the value of third-party in-kind contributions.
Debarment - The ineligibility of a grantee to receive any assistance or benefits from the
federal government, either indefinitely or for a specified period of time, based on legal
proceedings taken pursuant to agency regulations implementing Executive Order 12549.
Equipment - Tangible, non-expendable personal property having a useful life of more
than one year and an acquisition cost which equals or exceeds per unit the lesser of (a)
the capitalization level established by the organization for the financial statement
purposes, or (b) $5,000.
Grant - A legal instrument that provides financial assistance in the form of money or
property to an eligible recipient. The term includes cooperative agreements but it does not
apply to technical assistance which provides services instead of money, or other
assistance in the form of revenue sharing, loans, loan guarantees, interest subsidies,
insurance, or direct appropriations. The term does not include fellowships or other lump
sum awards, for which the recipient is not required to provide a financial accounting.
Grant Period - The period established in the grant award during which IMLS sponsored
activities and project expenditures are to occur.
Grantee - The organization to which a grant is awarded and which is accountable for the
use of the funds provided.
Indian Tribe - The term means any tribe, band, nation, or other organized group or
community, including any Alaska native village, regional corporation, or village
corporation [as defined in, or established pursuant to, the Alaska native Claims
Settlement Act (43 U.S.C. 1601 et. seq.)], which is recognized by the Secretary of the
Interior as eligible for the special programs and services provided by the Unites States to
Indians because of their status as Indians.

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In-Kind Contributions - The value of non-cash contributions provided by third parties.
In-kind contributions may be in the form of charges for real property and equipment or
the value of goods and services directly benefiting and specifically identifiable to the
project.
Intangible Property - Includes, but is not limited to, trademarks; copyrights; patents and
patent applications.
Local Government - A county, municipality, city, town, township, local public
authority, school district, special district, intrastate district, council of government, any
other regional or interstate government entity, or any agency or instrumentality of a local
government.
Obligation - The amounts of orders placed, contracts and grants awarded, goods and
services received, and similar transactions during the grant period that will require
payment.
Program Officer - The IMLS program staff member designated in the cover letter to the
official grant award notice as the IMLS staff member who is responsible for the oversight
of the programmatic aspects of the grant.
Program Income - Money that is earned or received by a grantee or a subrecipient from
the activities supported by grant funds or from products resulting from grant activities. It
includes, but is not limited to, income from fees for services performed and from the sale
of items fabricated under a grant; usage or rental fees for equipment or property acquired
under a grant; admission fees; broadcast or distribution rights; and royalties on patents
and copyrights.
Project Funds - Both the federal and non-federal funds that are used to cover the cost of
budgeted project activities.
Simplified Acquisition Threshold - This term replaces "small purchase threshold," and
the threshold is currently set at $100,000 [41 U.S.C. 403 (11)]. (See “Contract
Provisions” in the Appendix to these terms and conditions.)
State – Each of the fifty states of the United States, the District of Columbia, the
Commonwealth of Puerto Rico, the United States Virgin Islands, Guam, American
Samoa, the Commonwealth of the Northern Marianna Islands, the Republic of the
Marshall Islands, the Federated States of Micronesia, the Republic of Palau, or any
agency or instrumentality of a state exclusive of local governments, institutions of higher
education, and hospitals.
Subgrant - An award of financial assistance in the form of money or property, made
under a grant by a grantee to an eligible subrecipient or by a subrecipient to a lower-tier
subrecipient. The term does not include the procurement of goods and services.

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Supplies - All personal property excluding equipment and intangible property, as defined
in this glossary.
Suspension – This term applies to an action on the part of a federal funding agency that
either affects a grant agreement or the eligibility of an individual or organization to apply
for funding from the Federal Government.
The suspension of a grant is the temporary withdrawal of federal sponsorship. This
includes the withdrawal of authority to incur expenditures against grant funds, pending
corrective action or a decision to terminate the grant.
The suspension of an individual or organization causes that party to be temporarily
ineligible to receive any assistance and benefits from the federal government pending
completion of investigation and legal proceedings as prescribed under agency regulations
implementing Executive Order 12549. Such actions may lead to debarment of the
grantee.
Termination - Cancellation of federal sponsorship of a project, including the withdrawal
of authority to incur expenditures against previously awarded grant funds before that
authority would otherwise expire.

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1. Applicability of General Terms and Conditions
The General Terms and Conditions for IMLS Native American Library Services Basic
Awards apply to grants that the Office of Library Services issue to Federally recognized
Indian tribal governments.

2. Grantee Responsibilities
The grantee has full responsibility for the conduct of project activities under an IMLS
award, for adherence to the award conditions, and for informing the appropriate IMLS
program office and the Grants Administration Office during the course of the grant of any
significant programmatic, administrative, or financial problems that have arisen.
The requirements that apply to a grant award are contained in these General Terms and
Conditions for IMLS Native American Library Services Basic Awards, the special
conditions that may be included in the grant award, and the applicable federal uniform
administrative requirements (see Article 3). Should there be any inconsistency between
the special conditions of an award and the General Terms and Conditions or the federal
uniform administrative requirements, the special conditions will govern.
In accepting a grant, the grantee assumes the legal responsibility of administering the
grant in accordance with these requirements and of maintaining documentation, which is
subject to audit, of all actions/expenditures affecting the grant. Failure to comply with the
requirements of this award could result in suspension or termination of the grant and
IMLS recovery of grant funds.

3. Uniform Administrative Requirements
Grants issued to state, local, and federally recognized Indian tribal governments are
subject to 45 CFR § 1183, the Uniform Administrative Requirements for Grants and
Cooperative Agreements to State and Local Governments. The standards set forth herein
and in the instructions for the submission of performance and financial reports are
consistent with these administrative requirements.

4. Allowable Costs
Allowable costs and cost allocation methods for work performed under an IMLS Native
American Library Services Basic Award shall be determined in accordance with OMB
Circular A-87 (relocated to 2 CFR, Part 225), which applies to State, Local, and Indian
Tribal Governments. Grant funds may not be used for indirect costs, construction,
contributions to endowments, social activities, ceremonies, entertainment, or pregrant costs.
Copies of the cost principles may be obtained from www.omb.gov or the IMLS website
www.imls.gov/recipients/references.shtm or by writing to the IMLS Grants
Administration.

5. Grant Period and Extensions
The grant period is the span of time designated in the grant award, or an amendment
thereto, during which the grantee has the authority to obligate grant funds and undertake
project activities. The grant period of one year for IMLS Native American Library
Services Basic Awards will not be extended. Funds must be obligated by the end of the
grant period and expended within 90 days following the grant period. Any remaining
funds must be returned to IMLS.

6. Changes in Project Scope
Any project that is carried out under a grant must be consistent with the scope of the
proposal that is approved for funding by IMLS. The scope of a project encompasses the
purpose for which the grant is undertaken, the subject matter, the treatment of the subject
matter, the historical time frame of the project, the volume of material that will be
studied/treated, and the products that are expected to result from grant activities. No
changes may be made in the scope of a project without written approval from IMLS.
All requests for a change in the scope of a grant shall be signed by the authorizing official
and submitted to the appropriate IMLS program officer.

7. Changes in Key Project Personnel
The replacement of the project director or the co-director or a substantial reduction in the
level of their effort, e.g., their unanticipated absence for more than three months, or a 25
percent reduction in the time devoted to the project, requires prior written approval from
IMLS. When it is specifically required as a condition of a grant, written approval will
also be needed for the replacement or the substantial reduction in the level of effort of
other personnel whose work is deemed by IMLS to be critical to the project's successful
completion.
All requests for approval of changes in key project personnel shall be signed by the
authorizing official and submitted to the appropriate IMLS program officer. Evidence of
the qualifications for replacement personnel (such as a résumé) shall be included.

8. Budget Revisions
The project budget is the schedule of anticipated project expenditures that is approved by
IMLS for carrying out the purposes of the grant. To meet unanticipated needs, funds may
be reallocated among existing cost categories without prior IMLS approval as long as
funds are used for activities listed in the spending plan approved by IMLS.
The grantee shall obtain prior written approval from the IMLS program officer whenever
a budget revision is necessary because of
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a. a change in the scope or objectives of the project (see Article 6)
b. the transfer to a third party (by contracting, or other means) of any work under a
grant; 1
c. the addition of costs that are specifically disallowed by the terms and conditions
of the grant award or for which the applicable cost principles require prior
approval, e.g. the purchase of equipment, participant support costs, publication
and printing costs, foreign travel;
d. the transfer of funds among direct costs categories, or, if applicable, among
separately budgeted programs, projects, functions or activities, when the federal
share of project costs exceeds $100,000 and the cumulative amount transferred
exceeds 10 percent of the current approved budget; or
e. the transfer of funds from stipends or training allowances to other budget
categories.
All requests for budget revisions shall be signed by the authorizing official and submitted
to the IMLS program officer.
Within 30 calendar days from the date of receipt of the request for budget revision, IMLS
will review the request and notify the grantee whether or not the budget revision has been
approved. If the budget revision is still under consideration at the end of 30 calendar
days, IMLS will inform the grantee in writing of the date by which the grantee may
expect a decision.

9. Payments and Interest
Funds will be deposited electronically by direct deposit into the applicant tribe’s bank
account. The tribe must submit an ACH Payment Enrollment Form (SF 3881) to set-up
the deposit process. Payments are requested using the Request for Advance or
Reimbursement Form (SF 270). Both forms are available on IMLS’ website at
http://www.imls.gov/recipients/administration.shtm.
The SF 3881 ACH form should be emailed in PDF format to IMLS Grants
Administration at [email protected]. If the grantee does not have the capability to
email PDF documents, the ACH form may be mailed to:
Institute of Museum and Library Services
Attn. Grants Administration
1800 M Street, NW / 9th Floor
Washington, DC 20036-5802
The ACH form should not be faxed to IMLS.

1

IMLS approval is not required for third-party transfers that were described in the approved project plan, or
for the purchase of supplies, materials, or general support services

3

To expedite payment, grantees should email the SF 270 form in PDF format to IMLS
Grants Administration at [email protected]. If the grantee does not have the
capability to email PDF documents, the SF 270 form may be faxed to 202-653-4604 or
mailed to:
Institute of Museum and Library Services
Attn. Grants Administration
1800 M Street, NW / 9th Floor
Washington, DC 20036-5802
Unless it is stated otherwise in the special terms and conditions of an award notification,
grantees will be authorized to be paid on an advance basis and payment will be effected
through electronic funds transfer provided that the following conditions exist:
1.
2.

3.

Funds for the project period have been obligated in the form of a signed
Award Notification;
The grantee maintains or demonstrates the willingness to maintain written
procedures that will minimize the time elapsing between the transfer of
funds from the U.S. Treasury and their disbursement by the grantee; and
The grantee’s financial management system meets the standards for fund
control and accountability prescribed in 45 CFR Part 1183.20.

Grant funds that have been paid to the grantee but are unspent at the end of the grant
period must be returned to IMLS Grants Administration.
Grantees are also encouraged to use women-owned and minority-owned banks (banks
that are owned at least 50 percent by women or minority group members).
Frequency of Requests. Grantees may submit payment request whenever grant funds are
needed. Requests for advance payment should be submitted no earlier than fifteen
working days prior to the beginning of the period for which the funds are requested.
Grantees that email payment request to IMLS can expect payment via electronic transfer
within ten workdays. Faxed and mailed payment requests may take longer to process.
Interest on Advances. All grantees, except states (see definition in Glossary of Terms),
are required to maintain advances of federal funds in interest-bearing accounts unless the
grantee receives less than $120,000 per year in advances of grant funds or the most
reasonably available interest-bearing account would not earn more than $100 per year on
the federal cash balance, or would entail bank services charges in excess of the interest
earned.
Excess interest in excess of $100 a year that is earned on advanced payments shall be
remitted annually to the Institute of Museum and Library Services. Grantees shall send a
check identified as interest earned on advances of IMLS funds, and mail it to the Institute
of Museum and Library Services, Attn. Grants Administration, 1800 M Street, NW, 9th
Floor, Washington, DC 20036-5802.

4

10. Reporting Requirements
The grantee is responsible for submitting final performance and financial reports. The
final performance and financial reports shall be submitted to IMLS Grants
Administration within 90 days after the completion date of the grant period. The due date
final reports will be found on the last page of the grant award.
Reporting forms and instructions are available on IMLS’ website
www.imls.gov/recipients/administration.shtm.
Failure to submit reports on a timely basis may result in delayed payments and the
suspension of action on pending applications from the grantee organization.
It should be noted that when a signed report is faxed or emailed to IMLS, the grantee is
required to retain the original report in accordance with the standards set forth in Article
13 (Record Retention) of these General Terms and Conditions for IMLS Discretionary
Awards.

11. Financial Management Standards
The financial management systems of grantee organizations and their subrecipients must
meet the following standards:
Accounting System. Grantee organizations and their subrecipients must have an
accounting system that provides accurate, current, and complete disclosure of all
financial transactions related to each federally sponsored project. Accounting records
must contain information pertaining to federal awards, authorizations, obligations,
unobligated balances, assets, outlays, and income. These records must be maintained on a
current basis and balanced at least quarterly.
Cash contributions to the project from third parties must be accounted for in the general
ledger with other grant funds. Third party in-kind (non-cash) contributions are not
required to be recorded in the general ledger, but must be under accounting control,
possibly through the use of a memorandum ledger.
Source Documentation. Accounting records must be supported by such source
documentation as canceled checks, bank statements, invoices, paid bills, donor letters,
time and attendance records, activity reports, travel reports, contractual and consultant
agreements, and subaward documentation. All supporting documentation should be
clearly identified with the grant and general ledger accounts which are to be charged or
credited.
The documentation required for salary charges to grants is prescribed by the cost
principles applicable to the grantee organization (see Article 4).

5

For grantees subject to OMB Circular A-87 (relocated to 2 CFR, Part 225), “Cost
Principles for State, Local, and Indian Tribal Governments,” documentation for salary
charges shall be based on a system of personnel activity reports unless an employee is
working solely on a single federal award. In this case, the charge for salary will be
supported by a certification signed by the employee or the supervisor.
Personnel activity reports shall account on an after-the-fact basis for one hundred percent
of the employee's actual time, separately indicating the time spent on the IMLS grant,
other grants or projects, vacation or sick leave, and administrative time, if applicable. The
reports must be signed by the employee, approved by the appropriate official, and
coincide with a pay period. These time records should be used to record the distribution
of salary costs to the appropriate accounts no less frequently than quarterly.
Formal agreements with independent contractors, such as consultants, must include a
description of the services to be performed, the period of performance, the fee and
method of payment, an itemization of travel and other costs which are chargeable to the
agreement, and the signatures of both the contractor and an appropriate official of the
grantee organization.
Internal Control. Effective control and accountability must be maintained for all cash,
real and personal property, and other assets. Grantees must adequately safeguard all such
property and must provide assurance that it is used solely for authorized purposes.
Grantees must also have systems in place that ensure compliance with the terms and
conditions of each grant award.
Budget Control. Records of expenditures must be maintained for each grant project by
the cost categories of the approved budget (including indirect costs that are charged to the
project), and actual expenditures are to be compared with budgeted amounts no less
frequently than quarterly. IMLS approval is required for certain budget revisions (see
Article 8)
Allowable Costs. The applicable OMB cost principles, the General Terms and
Conditions for IMLS Native American Library Services Basic Awards, and any special
conditions of the grant award shall govern the determination of the reasonableness,
allowability, and allocability of project costs.
Cash Management. Grantees must also have written procedures to minimize the time
elapsing between the receipt and the disbursement of grant funds to avoid having
excessive federal funds on hand. Requests for advance payment shall follow the
guidelines set forth in Article 10.
Grantees must insure that all grant funds are obligated during the grant period and paid
no later than 90 days after the end of the grant period.

6

12. Audit Requirements
A grantee or a subrecipient must obtain an audit, as required by the Single Audit Act
Amendments of 1996 (31 U.S.C. 7501-7507), and comply with the requirements of OMB
Circular A-133, “Audits of States, Local Governments, and Non-Profit Organizations,” if
it expends in the aggregate of $500,000 or more in federal funds on financial assistance
awards or cost-reimbursement contracts in any fiscal year ending after December 31,
2003 2 . Copies of A-133 may be obtained from www.omb.gov or the IMLS website
(www.imls.gov/recipients/references.shtm) or by contacting IMLS Grants
Administration.

13. Record Retention
Financial records, supporting documentation, statistical records, and all other records
pertinent to the grant shall be retained by the grantee for three years from the date of
submission of the final Financial Status Report. When the conditions of a grant award
require the grantee to report program income, records relating to program income shall be
retained for three years from the date of submission of the last required income report.
If the three-year retention period is extended because of audits, appeals, litigation, or the
settlement of claims arising out of the performance of the project, the records shall be
retained until such audits, appeals, litigation, or claims are resolved. Unless court action
or audit proceedings have been initiated, the grantee may substitute microfilm copies of
original records.
IMLS, the Comptroller General of the United States, and any of their duly authorized
representatives, shall have access to any pertinent books, documents, papers, and records
of the grantee and its subrecipients to make audits, examinations, excerpts, transcripts,
and copies. Further, any contract in excess of the simplified acquisition threshold
(currently $100,000) that is negotiated by the grantee for the purposes of carrying out the
grant project shall include a provision to the effect that the grantee, IMLS, the
Comptroller General, or any of their duly authorized representatives shall have access for
similar purposes to any records of the contractor that are directly pertinent to the project.

14. Equipment
For the purpose of this Article, equipment is defined as tangible, nonexpendable personal
property having a useful life of more than one year and an acquisition cost of $5,000 or
more per unit. The purchase of equipment not included in the approved project budget is
allowable only if it is specifically approved by IMLS and there is documentation to
support that the purchase is necessary and reasonable to carry out project activities.

2

For fiscal years ending before December 31, 2003, the requirements of OMB Circular A-133 applied
whenever the grantee expended $300,000 or more in federal funds within a fiscal year.

7

Equipment records must be maintained that include the description of the equipment, the
serial number or other identification number, the source of equipment, the title holder, the
acquisition date, the cost of the equipment, the location, use, and condition of the
equipment, and any ultimate disposition data including the date of disposal and the sale
price of the equipment. A physical inventory of the equipment must be taken and the
results reconciled with the equipment records at least once every two years.

15. Title to Equipment
Title to equipment purchased or fabricated with IMLS funds shall be vested in the grantee
organization with the understanding that the equipment will be used for the project for
which it was obtained. IMLS may reserve the right to request the transfer of title to the
federal government or to a third party when the current per unit fair market value of the
equipment is $5,000 or more and the equipment is no longer needed to carry out the
purposes of the project or other projects funded by government agencies.

16. Supplies
Title to supplies and other expendable property shall vest in the grantee upon acquisition.
If there is a residual inventory of unused supplies exceeding $5,000 in total aggregate
value upon termination or completion of the project and the supplies are not needed for
any other federally-sponsored project or program, the grantee shall retain the supplies for
use on non-federal sponsored activities or sell them, but shall in either case compensate
the federal government for its share.

17. Travel Costs
Travel costs are the expenses for transportation, lodging, subsistence, and related items
incurred by those who are on official business attributable to work under a grant.
Such costs may be charged on an actual basis, on a per diem or mileage basis in lieu of
actual costs, or on a combination of the two, provided the method used results in charges
consistent with those normally allowed by the grantee in its regular operation, as set forth
in its written travel policy.
Airfare costs in excess of the lowest available commercial discount or customary
standard (coach) airfare are unallowable unless such accommodations are not reasonably
available to accomplish the purpose of travel.

18. Foreign Travel
For the purposes of these provisions, foreign travel is defined as any travel outside the
United States, its territories and possessions, and Canada. Each separate foreign trip must
be itemized in the budget approved by IMLS. Foreign travel that is not included in the

8

approved project budget must be specifically approved in writing by the appropriate
IMLS program officer.
All air transportation of persons or property that is paid in whole or in part with
IMLS funds must be performed on a U.S. flag air carrier or under a code sharing
arrangement with a U.S. flag carrier. The airline tickets (or the documentation for
electronic tickets) must identify the U.S. flag air carrier’s designator code and flight
number.
(See Item 3 in the Appendix for an explanation of when the use of a foreign-flag air
carrier would be justified.)

19. Dissemination of Project Results
Grantees are expected to publish or otherwise make publicly available the results of work
conducted under a grant. Unless otherwise specified in the award documents, three (3)
copies of any published material resulting from grant activities should be forwarded to
the appropriate IMLS program officer as soon as it becomes available. This material
should be labeled with the identifying IMLS grant number.
All publication and distribution agreements shall include provisions giving the
government a royalty-free, worldwide, nonexclusive and irrevocable right to reproduce,
publish or otherwise use the material for Federal purposes and requiring the
acknowledgment of IMLS support. The publication shall also include the disclaimer
contained in Article 21 of these General Grant Provisions for Organizations.

20. Acknowledgment of Support and Disclaimer
Grantees must prominently acknowledge support from IMLS in all materials and
announcements of the grant activities. This includes printed items such as invitations,
brochures, and signage; audio/video programming for radio, television, or Web
broadcast; and electronic items such as Web sites and E-mail announcements.
Unless advised to the contrary, all materials publicizing or resulting from grant activities
should contain an acknowledgement of IMLS support. The acknowledgment shall also
include the following statement: “Any views, findings, conclusions or recommendations
expressed in this (publication) (program) (exhibition) (website) do not necessarily
represent those of the Institute of Museum and Library Services.”
The type of recognition will vary according to the type of activity. Grantees should use
the following guidelines for acknowledgement:
•

Include a credit line indicating IMLS as a source of support, such as “This project
was supported in part by a grant from the Institute of Museum and Library
Services.”

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•

•
•

Graphic items such as posters or brochures should include the IMLS logo
(available at www.imls.gov/recipients/logos.shtm), displayed in accordance with
the Logo Standards Guide.
Electronic items should link to the IMLS Web site, www.imls.gov.
Audio/video broadcasts should include the tagline, “This project was supported in
part by a grant from the Institute of Museum and Library Services, creating strong
libraries and museums that connect people to information and ideas.” Video
broadcasts should display the IMLS logo.

21. Intangible Property
a. The grantee may copyright any work that is subject to copyright and was
developed, or for which ownership was purchased, under the grant. IMLS
reserves a royalty-free, worldwide, nonexclusive, and irrevocable right to
reproduce, publish or otherwise use these materials for Federal purposes and to
authorize others to do so (see 45 CFR § 1183.34 Copyrights).
b. Grantees that are awarded funds for experimental, developmental, or research
work are subject to the regulations governing patents and inventions, including
government-wide regulations issued by the Department of Commerce at 37 CFR
part 401, "Rights to Inventions made by Nonprofit Organizations and Small
Business Firms Under Government Grants, Contracts and Cooperative
Agreements."
c. In addition, in response to a Freedom of Information Act (FOIA) request for
research data relating to published research findings produced under a grant that
were used by the Federal Government in developing an agency action that has the
force and effect of law, IMLS shall request, and the grantee shall provide, within
a reasonable time, the research data so that they can be made available to the
public through the procedures established under the FOIA.

22. Data Collection
Data collection activities performed under a grant are the responsibility of the grantee,
and IMLS support of the project does not constitute approval of the survey design,
questionnaire content, or data collection procedures. The grantee shall not represent to
respondents that such data are being collected for, or in association with, IMLS or any
other government agency without the specific written approval of the data collection plan
or device by IMLS. However, this requirement is not intended to preclude mention of
IMLS support of the project in response to an inquiry or acknowledgment of such support
in any publication of this data.
IMLS has the right to (1) obtain, reproduce, publish or otherwise use the data first
produced under a grant; and (2) authorize others to receive, reproduce, publish, or
otherwise use such data for Federal purposes.

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23. Program Income
Program income is money that is earned or received by a grantee or a subrecipient from
the activities supported by grant funds or from products resulting from grant activities. It
includes, but is not limited to, income from fees for services performed and from the sale
of items fabricated under a grant; usage or rental fees for equipment or property acquired
under a grant; admission fees; broadcast or distribution rights; and license fees and
royalties on patents and copyrights. The federal share of program income is determined
by the percentage of total project costs that are supported by IMLS.
a. Income Earned During the Grant Period
The federal share of program income earned during the grant period shall be retained by
the grantee and, unless the grant award specifies how such income will be used, the
grantee must use it in one or more of the following ways:
(1) It may be added to the existing project funds and used to further eligible project
objectives;
(2) It may be used to meet the grantee’s cost-sharing requirement; or
(3) It may be deducted from the total allowable costs to determine the net allowable
project costs that may be charged to the IMLS grant.
A report of program income earned during the grant period must be submitted with the
final Financial Status Report whenever program income is actually earned during the
grant period or when the special conditions of the grant award specifically require such a
report. The report shall indicate the total amount of program income that was earned and
how it was used. As long as the costs that are incidental to the generation of program
income are not charged to the grant or included in the grantee’s cost sharing, they may be
deducted from gross program income to determine the amount of program income that is
subject to the requirements of this Article.
b. Income Earned After the Grant Period
Unless otherwise stated in the grant award, the grantee shall have no obligation to the
federal government regarding program income earned after the end of the grant period.

24. Nondiscrimination
IMLS grants and cooperative agreements are subject to the provisions of:
(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.
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25. Debarment, Suspension, and Other Responsibility Matters
At the time of application, the authorizing official is to certify, on behalf of the applicant,
that 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 CFR 1185.800(a) or had a civil judgment rendered against the applicant or its
principals for one of those offenses within that time period;
(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 CFR 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.
Note: IMLS Debarment and Suspension (Nonprocurement) regulations will shortly be
relocated from 45 CFR Part 1185 to 2 CFR Part 180.

26. Drug-Free Workplace Requirements
When an application is submitted to IMLS, the authorizing official is to certify, on behalf
of the applicant,that the applicant will or will continue to provide a drug-free workplace
by complying with the requirements in Subpart B of 45 CFR 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 the
application or upon award, or in documents kept on file in the applicant’s office) all
known workplaces under the award.

27. Lobbying Activities
When applying for more than $100,000 in federal funding, the authorizing official must
certify, 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
authorizing official, 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;

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(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 the federal contract, grant, loan or cooperative agreement,
the authorizing official shall request, complete, and submit Standard Form LLL,
“Disclosure of Lobbying Activities,” in accordance with its instructions; and
(c) the authorizing official shall require that the language of this certification be included
in the award documents for all subawards at all tiers (including subcontracts and
contracts under grants, loans, and cooperative agreements) and that all subrecipients shall
certify and disclose accordingly.
IMLS is required by the provisions of its appropriations act to include the following text
in all of its grant and contract documents.
No part of the money appropriated by any enactment of Congress shall, in the
absence of express authorization by Congress, be used directly or indirectly to pay for
any personal service, advertisement, telegram, telephone, letter, printed or written
matter, or other device, intended or designated to influence in any manner a Member
of Congress, to favor or oppose, by vote or otherwise, any legislation or appropriation
by Congress, whether before or after the introduction of any bill or resolution
proposing such legislation or appropriation; but this shall not prevent officers or
employees of the United States or its departments or agencies from communicating to
Members of Congress on the request of any Member or to Congress, through the
proper official channels, requests for legislation or appropriations which they deem
necessary for the efficient conduct of the public business.

28. Indebtedness to the Federal Government
The authorizing official, on behalf of the applicant, is to certify to the best of his or her
knowledge and belief that the applicant is not delinquent in the repayment of any federal
debt.

29. Research Misconduct
Research misconduct is defined as the fabrication, falsification, or plagiarism in
proposing, performing, or reviewing research, or in reporting research results. The
grantee institution bears primary responsibility for prevention and detection of research
misconduct and for the inquiry, investigation, and adjudication of research misconduct
alleged to have occurred in association with its own institution.

13

If an allegation of research misconduct is first made to the grantee institution, the grantee
institution will notify IMLS Grants Administration Office if the allegation meets the
definition of research misconduct given above and the grantee institution’s inquiry into
the allegation determines there is sufficient evidence to proceed to an investigation. At
any time during an inquiry or investigation, the grantee will immediately notify the
Institute if
•
•
•
•
•
•
•

IMLS resources or interests are threatened,
public health or safety is at risk;
research activities should be suspended;
there is a reasonable indication of possible violations of civil or criminal law;
Federal action is required to protect the interests of those involved in the
investigation;
the grantee believes the inquiry or investigation may be made public prematurely
so that appropriate steps can be taken to safeguard evidence and protect the rights
of those involved; or
the research community or public should be informed.

IMLS will make a finding of misconduct or take action on such a finding only after
careful inquiry and investigation by a grantee institution, by another Federal agency, or
by IMLS. In the event of a finding of research misconduct, IMLS will determine what
administrative actions are appropriate.
The IMLS Research Misconduct Policy is available upon request from the IMLS program
staff or the Grants Administration Office and is also available on the IMLS website.
Possible misconduct in activities funded by IMLS should be reported to the IMLS Grants
Administration Office.

30. Trafficking in Persons
1) Provisions applicable to a recipient that is a private entity
a) You as the recipient, your employees, subrecipients under this award, and
subrecipients’ employees may not—
i) Engage in severe forms of trafficking in persons during the period of time that the
award is in effect;
ii) Procure a commercial sex act during the period of time that the award is in effect;
or
iii) Use forced labor in the performance of the award or subawards under the award.
b) We as the Federal awarding agency may unilaterally terminate this award, without
penalty, if you or a subrecipient that is a private entity –
i) Is determined to have violated a prohibition in paragraph a.1 of this award term;
or
ii) Has an employee who is determined by the agency official authorized to
terminate the award to have violated a prohibition in paragraph a.1 of this award
term through conduct that is either—
(1) Associated with performance under this award; or

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(2) Imputed to you or the subrecipient using the standards and due process for
imputing the conduct of an individual to an organization that are provided in
2 CFR part 180, “OMB Guidelines to Agencies on Governmentwide
Debarment and Suspension (Nonprocurement),” as implemented by our
agency at 45 CFR Part 1145 (to be relocated shortly to 2 CFR Part 180).
2) Provision applicable to a recipient other than a private entity. We as the Federal awarding
agency may unilaterally terminate this award, without penalty, if a subrecipient that is a
private entity-a) Is determined to have violated an applicable prohibition in paragraph a.1 of this
award term; or
b) Has an employee who is determined by the agency official authorized to terminate
the award to have violated an applicable prohibition in paragraph a.1 of this award
term through conduct that is either-i) Associated with performance under this award; or
ii) Imputed to the subrecipient using the standards and due process for imputing the
conduct of an individual to an organization that are provided in 2 CFR part 180,
“OMB Guidelines to Agencies on Governmentwide Debarment and Suspension
(Nonprocurement),” as implemented by our agency at 45 CFR Part 1185 (to be
relocated shortly to 2 CFR Part 180).
3) Provisions applicable to any recipient.
a) You must inform us immediately of any information you receive from any source
alleging a violation of a prohibition in paragraph a.1 of this award term.
b) Our right to terminate unilaterally that is described in paragraph a.2 or b of this
section:
i) Implements section 106(g) of the Trafficking Victims Protection Act of 2000
(TVPA), as amended (22 U.S.C. 7104(g)), and
ii) Is in addition to all other remedies for noncompliance that are available to us
under this award.
c) You must include the requirements of paragraph a.1 of this award term in any
subaward you make to a private entity.
4) Definitions. For purposes of this award term:
a) “Employee” means either:
i) An individual employed by you or a subrecipient who is engaged in the
performance of the project or program under this award; or
ii) Another person engaged in the performance of the project or program under this
award and not compensated by you including, but not limited to, a volunteer or
individual whose services are contributed by a third party as an in-kind
contribution toward cost sharing or matching requirements.
b) “Forced labor” means labor obtained by any of the following methods: the
recruitment, harboring, transportation, provision, or obtaining of a person for labor or
services, through the use of force, fraud, or coercion for the purpose of subjection to
involuntary servitude, peonage, debt bondage, or slavery.
c) “Private entity”:
i) Means any entity other than a State, local government, Indian tribe, or foreign
public entity, as those terms are defined in 2 CFR 175.25.
ii) Includes:
(1) A nonprofit organization, including any nonprofit institution of higher
education, hospital, or tribal organization other than one included in the
definition of Indian tribe at 2 CFR 175.25(b).

15

(2) A for-profit organization.
d) “Severe forms of trafficking in persons,” “commercial sex act,” and “coercion”
have the meanings given at section 103 of the TVPA, as amended (22 U.S.C.
7102).

31. Termination
Grants may be terminated in whole or in part
a. by IMLS, if a grantee materially fails to comply with the terms and conditions of an
award;
b. by the IMLS with the consent of the grantee, in which case the two parties shall agree
upon the termination conditions, including the effective date and, in the case of partial
termination, the portion of the project to be terminated; or
c. by the grantee upon sending to IMLS written notification setting forth the reasons for
such termination, the effective date, and, in the case of partial termination, the portion
of the project to be terminated. However, if IMLS determines that the reduced or
modified portion of the grant will not accomplish the purposes for which the grant
was made, it may terminate the grant in its entirety either unilaterally or with the
consent of the grantee.
When IMLS determines that a grantee has failed to comply with the terms of the grant
award, IMLS may suspend or terminate the grant for cause. Normally, this action will be
taken only after the grantee has been notified of the deficiency and given sufficient time
to correct it, but this does not preclude immediate suspension or termination when such
action is required to protect the interests of the government.
In the event that a grant is suspended and corrective action is not taken within 90 days of
the effective date, IMLS may issue a notice of termination. No costs that are incurred
during the suspension period or after the effective date of termination will be allowable
except those that are specifically authorized by the suspension or termination notice or
those that, in the opinion of IMLS, could not have been reasonably avoided.
Within 30 days of the termination date, the grantee shall furnish to IMLS a summary of
progress achieved under the grant, an itemized accounting of charges incurred against
grant funds and cost sharing prior to the effective date of the suspension or termination,
and a separate accounting and justification for any costs that may have been incurred
after this date.

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32. Termination Review Procedures
A grantee who has received a notice of termination may request IMLS review of the
termination action. The request must be postmarked no later than 30 days after the date of
the termination notice and should be addressed to the Director, Institute of Museum and
Library Services, 1800 M Street, NW., 9th Floor, Washington, D.C. 20036-5802.
The request for review must contain a full statement of the grantee's position and the
pertinent facts and reasons that support such a position. The Director will promptly
acknowledge the request for review and appoint a review committee of at least three staff
members. Pending the resolution of the review, the notice of termination will remain in
effect.
None of the review committee members may be from the IMLS program or
administrative staff that recommended termination or was responsible for monitoring the
programmatic or administrative aspects of the grant. The committee will have full access
to all relevant IMLS background materials. The committee may also request the
submission of additional information from the grantee or IMLS staff and, at its discretion,
may meet with representatives of both groups to discuss the pertinent issues. All review
activities will be fully documented by the committee. Based on its review, the committee
will present its written recommendation to the Director, who will advise the parties
concerned of the final decision.

33. Resolution of Conflicting Conditions
Should there be any inconsistency between these general terms and conditions and the
special terms of the grant or cooperative agreement, the latter shall govern.

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Appendix
1. Procurement Standards
NOTE: The standards contained in this section do not relieve the grantee of the
contractual responsibilities arising under its contracts. The grantee is the responsible
authority, without recourse to IMLS, regarding the settlement and satisfaction of all
contractual and administrative issues arising out of procurements entered into in support
of a grant or other agreement. Matters concerning the violation of a statute are to be
referred to such federal, state, or local authority as may have proper jurisdiction.
When procuring property or services under a grant, the grantee's procurement policies
must adhere to the standards set forth below. Subrecipients of grant funds are subject to
the same policies and procedures as the grantee.
a. The grantee will maintain a system for contract administration that ensures that
contractors perform in accordance with the terms, conditions, and specifications of their
contracts or purchase orders. Grantees shall evaluate contractor performance and
document, as appropriate, whether or not contractors have met the terms, conditions, and
specifications of the contract.
b. A written standard of conduct for awarding and administrating contracts shall be
maintained by the grantee. No employee, officer, or agent of the grantee shall participate
in the selection, or in the awarding or administration of a contract supported by federal
funds if a real or apparent conflict of interest would be involved. Such a conflict would
arise when any of the following has a financial or other interest in the firm selected for a
contract: the employee, officer, or agent; any member of his or her immediate family; his
or her partner; or an organization which employs or is about to employ any of the
preceding.
The officers, employees, and agents of the grantee will neither solicit nor accept
gratuities, favors, or anything of monetary value from contractors, or parties to
subagreements. However, the grantee may set standards governing when the financial
interest is not substantial or the gift is an unsolicited item of nominal value. The standards
of conduct shall provide for disciplinary actions to be applied for violations of such
standards by officers, employees, or agents of the grantee.
c. All procurement transactions will be conducted in a manner to provide, to the
maximum extent practical, open and free competition. The grantee should be alert to
organizational conflicts of interest or noncompetitive practices among contractors that
may restrict or eliminate competition or otherwise restrain trade. In order to insure
objective contractor performance and eliminate unfair competitive advantage, contractors
that develop or draft specifications, requirements, statements of work, invitations for bids
and/or requests for proposals should be excluded from competing for such procurements.
Awards shall be made to the bidder/offeror whose bid/offer is responsive to the
solicitation and is most advantageous to the grantee, price, quality, and other factors
considered. Solicitations shall clearly set forth all requirements that the bidder/offeror
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must fulfill in order for the bid/offer to be evaluated by the grantee. When it is in the
grantee's interest to do so, any bid/offer may be rejected.
d. All grantees shall establish written procurement procedures that meet the requirements
set forth in the Appendix to these general grant provisions.
The following section also contains the provisions that must be included in
procurement contracts when applicable.
2. Contract Provisions
a. Grantee contracts in excess of the simplified acquisition threshold (currently $100,000)
must provide for:
(1) Administrative, contractual, or legal remedies in instances where contractors violate
or breach contract terms, and such remedial actions as may be appropriate.
(2) Termination for cause and for convenience by the grantee, including the manner by
which it will be effected and the basis for settlement. In addition, these contracts shall
also contain a description of the conditions under which the contract may be terminated
for default as well as conditions where the contract may be terminated because of
circumstances beyond the control of the contractor.
(3) Access by the grantee, IMLS, the Comptroller General of the United States, or any
other duly authorized representatives to any books, documents, papers, and records of the
contractor which are directly pertinent to that specific contract for the purpose of making
audit, examination, excerpts, and transcriptions.
b. All contracts, including small purchases, shall contain the following provisions as
applicable:
(1) Equal Employment Opportunity
All contracts awarded by grantees and their contractors and subrecipients having a value
of more than $10,000 must contain a provision requiring compliance with Executive
Order 11246, entitled "Equal Employment Opportunity" as amended by Executive Order
11375, and as supplemented in Department of Labor regulations (41 CFR, Part 60).
(2) Rights to Inventions and Materials Generated Under a Contract or Agreement
Contracts or agreements for the performance of experimental, developmental, or research
work shall provide for the rights of the Government and the recipient in any resulting
invention in accordance with 37 CFR Part 401 and any implementing regulations issued
by the awarding agency.
(3) Clean Air Act of 1970 (42 U.S.C. 7401 et seq.) and the Federal Water Pollution
Control Act (33 U.S.C. 1251 et seq.) as Amended

19

Contracts of amounts in excess of $100,000 shall contain a provision that requires the
recipient to agree to comply with all applicable standards, orders or regulations issued
pursuant to the Clean Air Act of 1970 (42 U.S.C. 7401 et seq.) and the Federal Water
Pollution Control Act as amended (33 U.S.C. 1251 et seq.). Violations shall be reported
to the Federal sponsoring agency and the Regional Office of the Environmental
Protection Agency (EPA).
(4) Byrd Anti-Lobbying Amendment (31 U.S.C. 1352)
Contractors who apply or bid for an award of $100,000 or more must file a certification
with the grantee stating that they will not and have not used Federal appropriated funds to
pay any person or organization for influencing or attempting to influence an officer or
employee of any agency, a member of Congress, officer or employee of Congress, or an
employee of a member of Congress in connection with obtaining any Federal contract,
grant, cooperative agreement, loan, or any other award covered by 31 U.S.C. 1352. Such
contractors must also disclose to the grantee any lobbying that takes place in connection
with obtaining any Federal award.
(5) Debarment and Suspension (E.O. 12549 and 12689)
No contracts shall be made to parties listed on the General Services Administration's
Lists of Parties Excluded From Federal Procurement or Nonprocurement Programs in
accordance with Executive Orders 12549 and 12689. These lists contain the names of
contractors debarred, suspended, or proposed for debarment by agencies, and contractors
declared ineligible under other statutory or regulatory authority other than Executive
Order 12549.
Grantees are required to obtain a certification regarding debarment and suspension from
all subrecipients and from all parties with whom they contract for goods or services when
(1) the amount of the contract is $100,000 or more, or (2) when, regardless of the amount
of the contract, the contractor will have a critical influence or substantive control over the
covered transaction. Such persons would be project directors and providers of federallyrequired audit services.
3. Use of Foreign-Flag Air Carriers
The fact that comparable service provided by a foreign-flag carrier is less expensive,
more convenient, or can be paid for with excess foreign currency is not sufficient
justification for using a foreign flag carrier that does not have a code-sharing arrangement
with a U.S. flag air carrier.
The following general rules apply unless their application would result in the first or last
leg of travel from or to the U.S. being performed by a foreign-flag air carrier:
(a) a U.S.-flag air carrier shall be used to destination or, in the absence of direct or
through service, to the farthest interchange point on a usually traveled route.
(b) if a U.S.-flag air carrier does not serve an origin or interchange point, a foreign-flag
air carrier shall be used only to the nearest interchange point on a usually traveled route
to connect with a U.S. flag air carrier.
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(c) a U.S.-flag air carrier involuntarily reroutes the traveler via a foreign-flag air carrier,
the foreign-flag air carrier may be used notwithstanding the availability of alternative
U.S.-flag air carrier service.
Use of Foreign-Flag Air Carriers.
1. Travel To and From the U.S.
Use of a foreign-flag air carrier is permissible if:
(a) the airport abroad is the traveler's origin or destination airport, and use of U.S.-flag air
carrier service would extend the time in a travel status by at least 24 hours more than
travel by a foreign-flag air carrier; or
(b) the airport abroad is an interchange point, and use of U.S.-flag air carrier service
would increase the number of aircraft changes the traveler must make outside of the U.S.
by 2 or more, would require the traveler to wait four hours or more to make connections
at that point, or would extend the time in a travel status by at least six hours more than
travel by a foreign-flag air carrier.
2. Travel Between Points Outside the U.S.
Use of a foreign-flag air carrier is permissible if:
(a) travel by a foreign-flag air carrier would eliminate two or more aircraft changes en
route;
(b) travel by a U.S.-flag air carrier would require a connecting time of four hours or more
at an overseas interchange point; or
(c) the travel is not part of the trip to or from the U.S., and use of a U.S.-flag air carrier
would extend the time in a travel status by at least six hours more than travel by a
foreign-flag air carrier.
3. Short Distance Travel.
For all short distance travel, regardless of origin and destination, use of a foreign-flag air
carrier is permissible if the elapsed travel time on a scheduled flight from origin to
destination airport by a foreign-flag air carrier is three hours or less and service by a U.S.flag air carrier would double the travel time.

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