State Programs - Program Assurances and Certifications

State: __________
_________
__

As
ssurances and Certifiications fo
or 2015 Gra
ant Award

All State
e Library Ad
dministrative Agencies
s receiving Library Serrvices and Technologyy
assistan
nce under 20 U.S.C. § 9121 et se
eq., as ame
ended, mustt comply with
i applicable
statutes and regula
ations includ
ding but no
ot limited to those cited
d below. To
o receive
Federal assistance
e, all applica
ants must provide this signed Sta
atement of Program
Assuran
nces and Ce
ertifications
s.
dersigned, on behalf off the State Library Adm
ministrative
e Agency (S
SLAA), agre
ees
The und
that the SLAA will comply with
h the following:
(a) Lega
al Authority and Capab
bility
Pursuan
nt to 20 U.S
S.C. § 9122(5), the SLA
AA provide s assurancce that it ha
as the fiscal and
legal autthority and capability to administe
er all aspeccts of the LS
STA, that itt will establish
e's policies, priorities, criteria, and procedurres necessa
ary to the im
mplementattion
the State
of all pro
ograms und
der this Act (including the develop
pment of a State Plan), and that it
will subm
mit copies of these ma
aterials for approval ass required by regulatio
ons
promulg
gated by the
e Director of the Institu
ute of Muse
eum and Lib
brary Servicces (IMLS).
(b) Internet Safety
Pursuan
nt to 20 U.S
S.C. § 9134(b)(7), the State Library Administtrative Agen
ncy provide
es
assurance that it will comply with 20 U.S.C. § 9134((f), which se
ets out stan
ndards rela
ating
to Intern
net Safety fo
or public lib
braries and public elem
mentary sch
hool and se
econdary scchool
ervices at discount rate
es under § 254(h)(6) of the
libraries that do nott receive se
hich IMLS State Progra
am funds are used to
Communications Act of 1934, and for wh
purchase computerrs used to access the Internet or to pay for direct costss associated
d
with acc
cessing the Internet.
(c) State
e Plan
Pursuan
nt to 20 § U.S.C. 9134(b)(8), the SLAA proviides assura
ance that it shall make
e
reports, in such form and conttaining such
h informatio
on, as the Director ma
ay require
ably to carry
y out the State Plan an
nd to determ
mine the exxtent to which funds
reasona
provided
d under this
s Act have been effecttive in carryying out the
e purposes of the LSTA
A.

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(d) Compliance with IMLS Regulations
The SLAA agrees that it will comply with all applicable IMLS regulations, including those
in 2 C.F.R. §3187.12 – Federal statutes and regulations on nondiscrimination; 45 C.F.R.
part 1110 – Nondiscrimination in Federally Assisted Programs; and 2 C.F.R. Chapter
XXXI, including 2 C.F.R. part 3185 – Nonprocurement Debarment and Suspension, 2
C.F.R. part 3186 – Requirements for Drug-Free Workplace (Financial Assistance), and
2 C.F.R. part 3187 (Uniform Administrative Requirements, Cost Principles, and Audit
Requirements for Federal Awards).
(e) Federal Funding Accountability and Transparency Act
The SLAA agrees that it will comply with the Federal Funding Accountability and
Transparency Act (FFATA or Transparency Act – P.L. 109-282, as amended by
§ 6202(a) of P.L. 110-252) subaward and executive compensation reporting
requirements. The SLAA further provides assurance that it will comply with all other
applicable Federal statutes and regulations and OMB circulars in effect with respect to
the periods for which it receives grant funding.
(f) Trafficking in Persons
The SLAA agrees that it will comply with the Trafficking in Persons requirement set forth
in Appendix A hereto.
(g) Nondiscrimination
The authorized representative, on behalf of the SLAA, certifies that the SLAA 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 (note:
as clarified by Executive Order 13166, reasonable steps must be taken to ensure
that limited English proficient (LEP) persons have meaningful access to the
programs (see IMLS guidance at 68 Federal Register 17679, April 10, 2003));
(b) Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. § 701 et
seq. including §794), which prohibits discrimination on the basis of disability
(note: IMLS applies the regulations in 45 C.F.R part 1170 in determining
compliance with § 504 as it applies to recipients of Federal assistance);
(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.
(e) the requirements of any other nondiscrimination statute(s) which may apply.
(h) Debarment and Suspension
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The SLAA shall comply with 2 C.F.R. part 3185 and 2 C.F.R. part 180, as applicable.
The authorized representative, on behalf of the SLAA, certifies to the best of his or her
knowledge and belief that neither the SLAA nor any of its principals for the Five Year
Plan:
(a) Are presently excluded or disqualified;
(b) Have been convicted within the preceding three years of any of the offenses
listed in 2 C.F.R. §180.800(a) or had a civil judgment rendered against it or them
for one of those offenses within that time period;
(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 C.F.R. §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 SLAA is unable to certify to any of the statements in this certification, the
authorized representative shall attach an explanation to this form.
The SLAA, as a primary tier participant, is required to comply with 2 C.F.R. part 180
subpart C (Responsibilities of Participants Regarding Transactions Doing Business with
Other Persons) as a condition of participation in the award. The SLAA is also required
to communicate the requirement to comply with 2 C.F.R. part 180 subpart C
(Responsibilities of Participants Regarding Transactions Doing Business with Other
Persons) to persons at the next lower tier with whom the SLAA enters into covered
transactions.
As noted in the preceding paragraph, SLAAs who plan to use IMLS awards to fund
contracts should be aware that they must comply with the communication and
verification requirements in the above Debarment and Suspension provisions.
(i) Drug-Free Workplace
The authorized representative, on behalf of the SLAA, certifies, as a condition of the
award, that the SLAA will or will continue to provide a drug-free workplace by complying
with the requirements in 2 C.F.R. part 3186 (Requirements for Drug-Free Workplace
(Financial Assistance)). In particular, the SLAA as the recipient must comply with drugfree workplace requirements in subpart B of 2 C.F.R. part 3186, which adopts the
Government-wide implementation (2 C.F.R. part 182) of sections 5152-5158 of the
Drug-Free Workplace Act of 1988 (P. L. 100-690, Title V, Subtitle D; 41 U.S.C. §§ 701707).
This includes, but is not limited to: making a good faith effort, on a continuing basis, to
maintain a drug-free workplace; publishing a drug-free workplace statement;
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establishing a drug-free awareness program for the SLAA’s employees; taking actions
concerning employees who are convicted of violating drug statutes in the workplace;
and identifying (either at the time of application or upon award, or in documents that the
SLAA keeps on file in its offices) all known workplaces under its Federal awards.

(j) Federal Debt Status
The authorized representative, on behalf of the SLAA, certifies to the best of his or her
knowledge and belief that the SLAA is not delinquent in the repayment of any Federal
debt.
(k) Certification Regarding Lobbying Activities (Applies to Applicants Requesting Funds
in Excess of $100,000)(31 U.S.C. §1352)
The authorized representative certifies, to the best of his or her knowledge and belief,
that:
(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 an agency, a Member of Congress, an officer
or employee of Congress, or an employee of a Member of Congress in
connection with the awarding of any Federal contract, the making of any Federal
grant, the making of any Federal loan, the entering into of any cooperative
agreement, and the extension, continuation, renewal, amendment, or
modification of any Federal contract, grant, loan, or cooperative agreement.
(b) If any funds other than Federal appropriated funds have been paid or will be paid
to any person (other than a regularly employed officer or employee of the
applicant, as provided in 31 U.S.C. § 1352) for influencing or attempting to
influence an officer or employee of any agency, a Member of Congress, an
officer or employee of Congress, or an employee of a Member of Congress in
connection with this Federal contract, grant, loan, or cooperative agreement, the
authorized representative shall complete and submit Standard Form LLL,
“Disclosure of Lobbying Activities,” in accordance with its instructions.
(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.
This certification is a material representation of fact upon which reliance is placed when
the transaction is made or entered into. Submission of this certification is a prerequisite
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for making or entering into the transaction imposed by 31 U.S.C. § 1352. Any person
who fails to file the required certification shall be subject to a civil penalty of not less
than $10,000 and not more than $100,000 for each such failure, or as otherwise
required by law.
In addition, in accordance with Federal appropriations law, no IMLS funds may be used
for publicity or propaganda purposes for the preparation, distribution, or use of any kit,
pamphlet, booklet, publication, electronic communication, radio, television, or video
presentation designed to support or defeat the enactment of legislation before the
Congress or any State or local legislature or legislative body or designed to support or
defeat any proposed or pending regulation, administrative action, or order issued by the
executive branch of any State or local government. No IMLS funds may be used to pay
the salary or expenses of any grant or contract recipient, or agent acting for such
recipient, related to any activity designed to influence the enactment of legislation,
appropriations, regulation, administrative action or Executive order proposed or pending
before the Congress or any State government, State legislature or local legislature or
legislative body.
(l) General Certification
The authorized representative, on behalf of the SLAA, certifies that the SLAA will
comply with all applicable requirements of all other Federal laws, executive orders,
regulations, and policies governing the program.
(m) 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.
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

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(E.O.) 11593, and the Archaeological and Historic Preservation Act of 1974 (16 U.S.C.
§469 et seq.).
Environmental Protections:
The authorized representative, on behalf of the applicant, certifies that the project will
comply with environmental standards, including the following:
(a) institution of environmental quality control measures under the National
Environmental Policy Act of 1969, as amended (42 U.S.C. §4321 et seq.) and E.O.
11514;
(b) notification of violating facilities pursuant to E.O. 11738;
(c) protection of wetlands pursuant to E.O. 11990, as amended by E.O. 12608;
(d) evaluation of flood hazards in floodplains in accordance with E.O. 11988, as
amended;
(e) assurance of project consistency with the approved State management program
developed under the Coastal Zone Management Act of 1972, as amended (16 U.S.C.
§1451 et seq.);
(f ) conformity of federal actions to State (Clean Air) Implementation Plans under section
176(c) of the Clean Air Act of 1955, as amended (42 U.S.C. §7401 et seq.);
(g) protection of underground sources of drinking water under the Safe Drinking Water
Act of 1974, as amended (42 U.S.C. §300f et seq.); and
(h) protection of endangered species under the Endangered Species Act of 1973, as
amended (16 U.S.C. §1531–1543).
The authorized representative, on behalf of the applicant, certifies that the project will
comply with the Wild and Scenic Rivers Act of 1968, as amended (16 U.S.C. §1271 et
seq.), related to protecting components or potential components of the national wild and
scenic rivers system.
The authorized representative, on behalf of the applicant, certifies that the applicant will
comply with the flood insurance purchase requirements of the Flood Disaster Protection
Act of 1973, as amended (42 U.S.C. §4001 et seq.), which requires recipients in a
special flood hazard area to participate in the program and to purchase flood insurance
if the total cost of insurable construction and acquisition is $10,000 or more.
Research on Human Subjects:

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The authorized representative, on behalf of the applicant, certifies that the project will
comply with 45 C.F.R. Part 46 regarding the protection of human subjects involved in
research, development, and related activities supported by this award of assistance.
Research on Animal Subjects:
The authorized representative, on behalf of the applicant, certifies that the project will
comply with the 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.

These assurances and certifications are provided in connection with any and all
financial assistance from the Institute of Museum and Library Services after the date
this form is signed. This includes payments after such date for financial assistance
approved before such date. The SLAA recognizes and agrees that any such assistance
will be extended in reliance on the representations and agreements made in this
assurance, and that the U.S. shall have the right to seek judicial enforcement of this
Statement of Program Assurances and Certifications. These assurances and
certifications are binding on the SLAA, its successors, transferees, and assignees, and
on the Authorized Certifying Official whose signature appears below.

The undersigned further provides assurances that it will include, as applicable, the
language of the assurances and certifications in all subawards and that all subrecipients
shall certify and disclose accordingly.
As the duly authorized representative of the applicant, I hereby certify that the applicant
will comply with the above assurances and certifications.

_________________________________________
Signature of Authorized Certifying Official

____________________
Date

__________________________________________
Authorized Certifying Official
Print Name and Title

For additional information on this Statement of Program Assurances, contact the IMLS State Programs
Office at 1800 M Street NW, 9th Floor, Washington, DC 20036-5802.
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APPENDIX A

Trafficking in Persons
The SLAA must comply with Federal law pertaining to trafficking in persons. Under 22
U.S.C. § 7104(g), any grant, contract, or cooperative agreement entered into by a
Federal agency and a private entity shall include a condition that authorizes the Federal
agency (IMLS) to terminate the grant, contract, or cooperative agreement, if the
grantee, subgrantee, contractor, or subcontractor engages in trafficking in persons,
procures a commercial sex act, or uses forced labor. 2 C.F.R. part 175 requires IMLS
to include the following award term:

a. Provisions applicable to a recipient that is a private entity.
1. 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.
2. 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 –
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A. Associated with performance under this award; or
B. 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 C.F.R. part 180,
“OMB Guidelines to Agencies on Governmentwide Debarment and Suspension
(Nonprocurement),” as implemented by our agency at 2 C.F.R. part 3185.
b. 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 –
1. Is determined to have violated an applicable prohibition in paragraph a.1 of this
award term; or
2. 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 C.F.R. part 180, “OMB
Guidelines to Agencies on Governmentwide Debarment and Suspension
(Nonprocurement),” as implemented by our agency at 2 C.F.R. part 3185.
c. Provisions applicable to any recipient.
1. 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.
2. 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.
3. You must include the requirements of paragraph a.1 of this award term in any
subaward you make to a private entity.
d. Definitions. For purposes of this award term:
1. “Employee” means either:
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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.
2. “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.
3. “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 C.F.R. part 175.25.
ii. Includes:
A. 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 C.F.R part 175.25(b).
B. A for-profit organization.
4. “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).

Version: 1/28/15

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