IMLS Award Certifications and Assurances

As a federal awarding agency, IMLS requires each applicant to provide the certifications and assurances applicable to the applicant’s request for federal financial assistance. These include certifications relating to debarment and suspension, and when applicable, to lobbying activities, as well as assurances regarding compliance with applicable federal statutes, regulations, and award requirements. Certain project-specific assurances apply only when relevant to the proposed project. These certifications and assurances are incorporated in the Certification and Assurances Statement below.

Certifications and Assurances Statement

The signature on the application establishes that the authorized representative is signing on behalf of the applicant. By submitting the application, the applicant, through its authorized representative, makes the certifications and assurances set forth below. If an award is made, the applicant agrees to comply with all applicable federal statutes, regulations, and the award terms and conditions, including those identified in these certifications and assurances.

These certifications and assurances apply to all financial assistance awarded by IMLS after the date the application is signed, including amendments, supplements, and continuation awards, unless otherwise provided by law or the terms and conditions of the award.

These certifications and assurances are binding on the applicant throughout the award period of performance. The applicant acknowledges that IMLS may rely upon them in making and administering an award.

A. Required Certifications

Debarment and Suspension

The certification below is required of all applicants:

“The applicant certifies that neither it nor any of its principals:

• are presently excluded or disqualified from receiving a federal award;
• 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;
• 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
• have had one or more public transactions (federal, state, or local) terminated within the preceding three years for cause or default.”

NOTE: If the applicant is unable to certify any of these above statements, the applicant must attach a full explanation to the application.

Lobbying Activities

The certification below is required only by applicants that are requesting more than $100,000 in funding (31 U.S.C. § 1352):

“The applicant certifies, to the best of his or her knowledge and belief, that:

• No federal appropriated funds have been paid or will be paid, by or on behalf of the applicant, 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.
• 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 applicant shall complete and submit Standard Form LLL, “Disclosure of Lobbying Activities,” in accordance with its instructions.
• The applicant 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.

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 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 failure.”

B. Required Assurances

Financial, Administrative, and Legal Accountability

The applicant assures IMLS that the applicant:

1. Has the legal authority to apply for and carry out the proposed project;
2. Has the organizational, managerial, and financial capacity to administer the award in accordance with applicable federal requirements; and
3. Will maintain the financial and administrative systems necessary to properly manage, account for, and complete the project.

If a non-federal cost share is required, the applicant further assures IMLS that it has the resources necessary to meet that requirement.

Federal Debt Status

The applicant assures IMLS, to the best of its knowledge and belief, that the applicant is not delinquent in the repayment of any federal debt. Further, the applicant agrees to promptly notify IMLS in writing if it becomes delinquent in the repayment of any federal debt during the award’s period of performance.

Nondiscrimination

The applicant assures IMLS that it will comply with all applicable federal nondiscrimination statutes and their implementing regulations, including with the following nondiscrimination statutes and their implementing regulations:

1. 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: The applicant shall take reasonable steps to ensure that limited English proficient (LEP) persons have meaningful access to the applicant’s programs (IMLS guidance at 68 Federal Register 17679, April 10, 2003);
2. Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. § 794), which prohibits discrimination on the basis of disability (note: IMLS-specific regulations are at 45 C.F.R. part 1181);
3. Title IX of the Education Amendments of 1972, as amended (20 U.S.C. §§ 1681–1689), which prohibits discrimination on the basis of sex in education programs;
4. The Age Discrimination Act of 1975, as amended (42 U.S.C. §§ 6101-6107), which prohibits discrimination on the basis of age; and
5. Any other applicable federal nondiscrimination statutes and implementing regulations.

Drug-Free Workplace

The applicant assures IMLS that it will comply with the Drug-Free Workplace Act of 1988 (41 U.S.C. §§ 8101-8106) and the requirements at 2 C.F.R. part 3186, which adopts the government-wide requirements at 2 C.F.R. part 182.

Trafficking in Persons

The applicant assures IMLS that it will comply with the trafficking in persons requirements set forth in 2 C.F.R. part 175.

C. Project-Specific Assurances (if Applicable)

The following assurances apply only to the extent they are applicable to the proposed project. Additional statutory, regulatory, or award-specific requirements may also apply.

Native American Human Remains and Associated Funerary Objects

The applicant assures IMLS that it will comply with the provisions of the Native American Graves Protection and Repatriation Act of 1990 (25 U.S.C. § 3001 et seq.), and its implementing regulations.

Historic Properties

The applicant assures IMLS that it will assist IMLS in ensuring compliance with Section 106 of the National Historic Preservation Act of 1966, as amended, Executive Order No. 11593, and any related applicable preservation laws and regulations.

Environmental Compliance

The applicant assures IMLS that it will comply with all applicable federal environmental laws, regulations, and permit requirements. Further, the applicant will provide such information as IMLS may require to enable the agency to satisfy its obligations under the National Environmental Policy Act (NEPA) (42 U.S.C. § 4321–4336h) and other applicable environmental laws and regulations.

The applicant assures IMLS that it will comply with the Wild and Scenic Rivers Act (16 U.S.C. § 1271 et seq.).

The applicant assures IMLS that it 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.).

Research on Human Subjects

The applicant assures IMLS that it will comply with the requirements governing the protection of human subjects involved in research under 45 C.F.R. part 46.

Research on Animal Subjects

The applicant assures IMLS that it will comply with the Animal Welfare Act (7 U.S.C. § 2131 et seq.) and all applicable implementing regulations governing the care and use of animals in research.

For further information on this document, please send an email to ogc@imls.gov.