Five-Year State Plan Guidelines for State Library Administrative Agencies 2013-2017

FIVE-YEAR PLAN DEADLINE:
________________
For more information, call
IMLS: 202-653-4678 or visit
http://www.imls.gov

FIVE-YEAR STATE PLAN GUIDELINES
FOR

STATE LIBRARY ADMINISTRATIVE AGENCIES
2013-2017
INSTITUTE OF MUSEUM AND LIBRARY SERVICES
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FIVE-YEAR STATE PLAN GUIDELINES
For State Library Administrative Agencies
Fiscal Years 2013-2017
FIVE-YEAR DEADLINE: ____________
What is IMLS?

The Institute of Museum and Library Services (IMLS) is the primary
source of federal support for the nation's 123,000 libraries and
35,000 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.

What is the State
Grant Program?

The Grants to States Program is the largest grant program
administered by IMLS. Through this program, IMLS provides
financial assistance to develop library services throughout the
States, U.S. Territories, and the Freely Associated States. IMLS
funds support programs that promote literacy and education;
enhance and expand the services and resources provided by all
types of libraries; enhance the skills of the current and future library
workforce and leadership; develop public-private partnerships with
other agencies and community-based organizations; and target
library services to individuals with diverse geographic, cultural and
socio-economic backgrounds, individuals with disabilities, and
individuals from other underserved communities. The Program
recognizes the increasing importance of information technology by
emphasizing programs that teach digital literacy skills; develop
library services that provide all users with access to information
through local, State, regional, national, and international
collaborations and networks; and establish or enhance electronic
and other linkages among and between libraries and other entities.
Each State is responsible for leveraging non-Federal, State, and
local funds to match the Federal funds it receives. 20 U.S.C.
§ 9133(b). In addition, each State must sustain a “Maintenance of
Effort” level of State spending on libraries and library programs to
ensure that Federal funds do not replace State funds in supporting
State-based programs. 20 U.S.C. § 9133(c).

Who is Eligible?

The fifty-nine established State Library Administrative Agencies
may apply for State Program grants.

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What is an SLAA? A State Library Administrative Agency (“SLAA”) is the official
agency of a State charged by law with the extension and
development of public library services throughout the State.
20 U.S.C. § 9122(4).
How to Apply?

To receive funds under the Grants to States program, each SLAA
must submit to the Director of IMLS a State Plan detailing certain
goals, assurances, and procedures for a five-year period.
20 U.S.C. § 9134(a).

What is a State
Plan?

A State Plan is a document that identifies a State’s library needs,
sets forth the activities to be taken toward meeting the identified
needs supported with the assistance of Federal funds made
available under the Library Services and Technology Act (“LSTA”),
and provides assurances that the officially designated SLAA has
the fiscal and legal authority and capability to administer all aspects
of any award under the Grants for States Program. 20 U.S.C.
§ 9122(5). The State Plan must also provide assurances for
establishing the State’s policies, priorities, criteria and procedures
necessary to the implementation of all programs under the LSTA.
20 U.S.C. § 9122(5).

WHAT TO INCLUDE IN THE STATE PLAN
Mission
Statement:

The State Plan should include a mission statement that specifies
the type of services the SLAA provides, for what purposes, for
whom, and how the SLAA provides the services.

Needs
Assessment:

The State Plan must identify specific needs for library services to be
addressed in the pertinent five-year period. 20 U.S.C. § 9134(a)(1).
This needs assessment should be based on the SLAA’s most
recent five-year evaluation, complementary data, and advisory
input. The SLAA should describe its data sources and the
processes used to document the State’s needs, the audiences to
whom the data sources apply, the methods used for data analysis,
and the expected process for periodically updating the State’s
knowledge of its library services needs.

Goals:

Each goal for the five-year period should address at least one need
identified in the needs assessment. 20 U.S.C. § 9134(a)(1). These
goals must be prioritized and the criteria for prioritization should be
explained. 20 U.S.C. § 9134(b)(1). Additionally, all goals must
address needs congruent with the purposes of the LSTA as stated
in 20 U.S.C. § 9121(1-9) through activities that:

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1) expand services for learning and access to information and
educational resources in a variety of formats, in all types of
libraries, for individuals of all ages in order to support such
individuals' needs for education, lifelong learning, workforce
development, and digital literacy skills;
2) establish or enhance electronic and other linkages and
improve coordination among and between libraries and
entities, as described in 20 U.S.C. § 9134(b)(6), for the
purpose of improving the quality of and access to library and
information services;
3) (a) provide training and professional development, including
continuing education, to enhance the skills of the current
library workforce and leadership, and advance the delivery of
library and information services, and (b) enhance efforts to
recruit future professionals to the field of library and
information services;
4) develop public and private partnerships with other agencies
and community-based organizations;
5) target library services to individuals of diverse geographic,
cultural, and socioeconomic backgrounds, to individuals with
disabilities, and to individuals with limited functional literacy
or information skills;
6) target library and information services to persons having
difficulty using a library and to underserved urban and rural
communities, including children (from birth through age 17)
from families with incomes below the poverty line (as defined
by the Office of Management and Budget and revised
annually in accordance with 42 U.S.C. § 9902(2)) applicable
to a family of the size involved;
7) develop library services that provide all users access to
information through local, State, regional, national, and
international collaborations and networks; and
8) carry out other activities consistent with the purposes set
forth in 20 U.S.C. § 9121, as described in the SLAA's plan.
20 U.S.C. § 9141(a)(1-8).
Programs
(Activities):

The narrative for each goal must describe its supporting programs,
and explain what will be done, for whom; which procedures will be
used to carry out associated activities; what benefit or outcome is
expected; and how the SLAA will use federal funds to assist in
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meeting these goals. 20 U.S.C. § 9134(b)(2). A timeline should be
provided for each goal and for each year, showing when program
activities will take place.
Coordination
Efforts:

Where appropriate, the State Plan must describe how the SLAA will
work with other State agencies and offices to coordinate resources,
programs, and activities and leverage, but not replace, the Federal
and State investment in elementary and secondary education; early
childhood education; workforce development; and other federal
programs and activities that relate to library services. 20 U.S.C
§ 9134(b)(6). 1

Evaluation Plan:

The State Plan must include an evaluation plan that describes the
methodology that will be used to evaluate the success of activities
established in the State Plan. 20 U.S.C. § 9134(b)(4). SLAAs should
review the current evaluation guidance available on the IMLS
Extranet: http://stateprograms.imls.gov.

Stakeholder
Involvement:

Stakeholder involvement, communication, and monitoring are
essential elements of a State Plan and must be integrated into it.
SLAAs must describe the procedures that will be used to involve
libraries and library users throughout the State in policy decisions
regarding the development, implementation, and evaluation of the
State Plan. 20 U.S.C. § 9134(b)(5). Each SLAA seeking assistance
under the Grants to States Programs may establish a State advisory
council that is broadly representative of the library entities in the
State, including public, school, academic, special, and institutional
libraries, and libraries serving individuals with disabilities. 20 U.S.C.
§ 9151.

Communication:
and Public
Availability:

SLAAs must describe the channels that will be used to communicate
to stakeholders the content of the State Plan and any results,
products, processes, or benefits. Each SLAA receiving a grant must
make the State Plan readily available to the public and share it with
the library community. 20 U.S.C. § 9134(e)(2).

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20 U.S.C. § 9134(b)(6) provides as follows: The State Plan shall describe how the State Library
Administrative Agency will work with other State agencies and offices where appropriate to coordinate
resources, programs, and activities and leverage, but not replace, the Federal and State investment in–
(A) elementary and secondary education, including coordination with the activities within the State that are
supported by a grant under 20 U.S.C. § 6383;
(B) early childhood education, including coordination with–
(i) the State's activities carried out under subsections (b)(4) and (e)(1) of 20 U.S.C. § 9837; and
(ii) the activities described in the State's strategic plan in accordance with 42 U.S.C. § 9837b(a)(4)(B)(i);
(C) workforce development, including coordination with–
(i) the activities carried out by the State workforce investment board under 29 U.S.C. § 2821(d); and
(ii) the State's one-stop delivery system established under 29 U.S.C. § 2864(c) of Title 29; and
(D) other Federal programs and activities that relate to library services, including economic and community
development and health information.

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Monitoring:

SLAAs must describe the procedures for continuous tracking of
current performance in relation to the State Plan. 45 C.F.R.
part 1183.40.

Assurances:

The following are the required certifications and assurances:
•

Program Assurances for 2013 Grant Award (includes Internet
Safety Assurance and compliance with the Trafficking in
Persons requirement)

•

Certifications Regarding: Nondiscrimination; Debarment and
Suspension; Drug-Free Workplace; Federal Debt Status; and
Lobbying

•

Assurances of Non-Construction Programs

•

State Legal Officer’s Certification of Authorized Certifying
Official

•

Reporting Sub-awards and Executive Compensation

•

Internet Safety Certification for Applicant Public Libraries,
Public Elementary and Secondary School Libraries, and
Consortia with Public and/or Public School Libraries

APPROVAL PROCESS
IMLS will approve a State Plan that meets the requirements of the LSTA as set out in
these guidelines, and provides satisfactory assurances and certifications that the
provisions of the State Plan will be carried out. Once IMLS approves a State Plan, a
letter will be sent to the applicant stating that the State Plan has been approved.
If IMLS determines that the State Plan does not meet the requirements of the LSTA,
then, pursuant to 20 U.S.C. § 9134(e)(3), IMLS will:
•

Notify the SLAA of such determination and the reasons for such determination;

•

Offer the SLAA the opportunity to revise its State Plan;

•

Provide technical assistance in order to assist the SLAA in meeting the
requirements of § 9134(e)(3); and

•

Provide the SLAA the opportunity for a hearing.

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OTHER STATUTORY AND ADMINISTRATIVE REQUIREMENTS
States are obligated to comply with the LSTA, which is set forth at 20 U.S.C. § 9121 et
seq., and all accompanying program requirements including, among others:
Administrative
Costs and
Program
Activities:

Not more than 4 percent (4%) of the total amount of funds received
through the Grants for States Program for any fiscal year by a
State may be used for administrative costs. 20 U.S.C. § 9132(a).
The State library administrative agency must expend, either directly
or through subgrants or cooperative agreements, at least ninety-six
percent (96%) of the funds for program activities. 20 U.S.C.
§ 9141(a).

Matching Funds:

The Federal share of the cost of the activities described in the
State plan shall be 66 percent. 20 U.S.C. § 9133(a). The nonFederal share of payments shall be provided from non-Federal,
State, or local sources (34 percent). 20 U.S.C. § 9133(b).

Maintenance of
Effort:

States are subject to a Maintenance of Effort (MOE) requirement
set forth in 20 U.S.C. § 9133(c). Under this provision, IMLS is
required to reduce the funding otherwise payable to a State if the
State fails to show a continued effort to fund its libraries over time.
This ensures that Federal assistance results in an increase in the
level of library activity and that a State does not replace State
dollars with Federal dollars.
For purposes of considering the Maintenance of Effort, the level of
State expenditures shall include all State dollars expended by the
SLAA for library programs that are consistent with the purposes
stated in 20 U.S.C. § 9121(1-9). All funds included in the
Maintenance of Effort calculation under this subsection shall be
expended during the fiscal year for which the determination is
made, and shall not include capital expenditures, special one-time
project costs, or similar windfalls. 20 U.S.C. § 1933(c).

Annual Report:

Each year, the SLAA must submit an Annual Report on LSTAfunded activities showing progress towards meeting the goals of
the State Plan. The Annual Report is due 90 days after the end of
the grant year (September 30). 45 C.F.R. § 1183.40(b)(1). The
SLAA should submit this Report online using the State Program
Report system (“SPR”). Access to and instructions for completing
the SPR are provided on the IMLS Extranet:
http://stateprograms.imls.gov.

Revisions:

If, after the State Plan has been accepted, the SLAA would like to
make a substantive revision, then the revision must be submitted to

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IMLS as an amendment to the Plan. Such revisions are due not
later than April 1 of the fiscal year preceding the fiscal year for
which the amendment shall be effective. 20 U.S.C. § 9134(a)(3).
Evaluation Report
and Information
Requirements:

Each SLAA must submit an Evaluation Report to IMLS that
independently evaluates LSTA-funded activities prior to the end of
the five-year period. 20 U.S.C. § 9134(c). Each library (and subgrantee) receiving federal funds through the Grants to States
Program must submit to IMLS such information as the agency may
require in order to fulfill the requirements of the LSTA. 20 U.S.C.
§ 9134(d). SLAAs should review the current evaluation guidance
available on the IMLS Extranet: http://stateprograms.imls.gov.

HOW TO SUBMIT YOUR PLAN
The State Plan narrative must cover the five fiscal years beginning with FY2013 and
should be no longer than 25 pages. Please use 8.5” x 11” paper, leaving a margin of
0.5” on all sides, use a typeface that contains no more than six lines per vertical inch,
and number all pages. The State Plan should be organized in the order of the
requirements listed in these guidelines. The original plan and one electronic copy
should be submitted by ___________________. The electronic copy can be sent to:
[email protected].
Send the originals to:

Institute of Museum and Library Services
State Programs
1800 M Street NW, 9th Floor
Washington, DC 20036-5802

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CERTIFICATIONS AND ASSURANCES
•

Program Assurances for 2013 Grant Award

•

Certifications Regarding: Nondiscrimination; Debarment and Suspension; DrugFree Workplace; Federal Debt Status; and Lobbying

•

Assurances of Non-Construction Programs

•

State Legal Officer’s Certification of Authorized Certifying Official

•

Reporting Sub-awards and Executive Compensation

•

Internet Safety Certification for Applicant Public Libraries, Public Elementary and
Secondary School Libraries, and Consortia with Public and/or Public School
Libraries

Assurances and Certifications must have original signatures and
must be returned with the Five-Year Plan.

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