LSTA 2025 General Assurances and Certifications.pdf
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Assurances and Certifications for
2025 Arizona LSTA Subgrant Award
A. Nondiscrimination
The applicant shall comply with the following nondiscrimination statutes and their implementing
regulations:
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Title VI of the Civil Rights Act of 1964, as amended, 42 U.S.C. § 2000a et seq., which
prohibits discrimination on the basis of race, color, or national origin (note: as clarified by
Executive Order Number 13166, the applicant must take reasonable steps to ensure that
persons with limited English proficiency (LEP) have meaningful access to the applicant's
programs, see Institute of Museum and Library Servs.; Guidance to Federal Financial
Assistance Recipients Regarding Title VI Prohibition Against National Origin Discrimination
Affecting Limited English Proficient Persons, 68 Fed. Reg. 47099 (Aug. 7, 2003));
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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 1181in determining compliance with Section 504 as it
applies to recipients of Federal assistance);
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Title IX of the Education Amendments of 1972, as amended, (20 U.S.C. § 1681 et seq.),
which prohibits discrimination on the basis of sex in education programs;
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The Age Discrimination in Employment Act of 1975, as amended, 42 U.S.C. § 6101et seq.),
which prohibits discrimination on the basis of age; and
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The requirements of any other nondiscrimination statute(s) which may apply to the
application.
B. Debarment and Suspension
The applicant will comply with 2 C.F.R. Part 3185 and 2 C.F.R. Part 180, as applicable. The
authorized representative, on behalf of the applicant, certifies to the best of his or her knowledge
and belief that neither the applicant nor any of its principals:
1. are presently excluded or disqualified;
2. have been convicted of, or have a civil judgement rendered against you for, any of the
offenses listed in 2 C.F.R. § 180.800(a) within preceding three years;
3. 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
4. have had one or more public transactions (Federal, state, or local) terminated within the
preceding three years for cause or default.
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Where the applicant is unable to certify to any of these statements, the authorized representative,
on behalf of the applicant, shall attach an explanation to this form.
The applicant 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 applicant 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 applicant
enters into covered transactions.
As noted in the preceding paragraph, applicants who plan to use IMLS awards to fund contracts
should be aware that they must comply with the communication and verification requirements set
forth in the above Debarment and Suspension provisions.
C. Federal Debt Status
The authorized representative, on behalf of the applicant, certifies to the best of his or her
knowledge and belief that the applicant is not delinquent in the repayment of any Federal debt,
including but not limited to unpaid Federal tax liability.
D. Drug-Free Workplace
The authorized representative, on behalf of the applicant, certifies, as a condition of the award,
that the applicant will or will continue to provide a drug-free workplace by complying with the
requirements in 2 C.F.R. Part 3186 (Requirements for Drug-Free Workplace (Financial Assistance)).
In particular, the applicant must comply with drug-free workplace requirements in Subpart B of 2
C.F.R. Part 3186, which adopts the Governmentwide implementation (2 C.F.R. Part 182) of
Sections 5152-5158 of the Drug-Free Workplace Act of 1988, 41 U.S.C. §§ 8101-8106. 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; establishing a drug-free awareness
program for 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 kept on file in the recipient’s offices) all known workplaces under Federal awards.
E. Trafficking in Persons
The authorized representative, on behalf of the applicant, certifies, as a condition of the award,
that the applicant will comply with the trafficking in persons requirements that are set out in
Appendix A.
F. Prohibitions Against Lobbying, Publicity, and Propaganda
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,
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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.
G. Certification Regarding Lobbying Activities
(Applies to applicants requesting funds in excess of $100,000, see 31 U.S.C. § 1352.)
The authorized representative certifies, to the best of his or her knowledge and belief, that:
1. no Federally 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;
2. 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; and
3. 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 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 such failure.
H. Criminal Disclosures and Reporting of Matters Related to Recipient Integrity and
Performance
An applicant for, recipient, or subrecipient of a Federal award must promptly disclose whenever, in
connection with the Federal award (including any activities or subawards thereunder), it has
credible evidence of the commission of a violation of Federal criminal law involving fraud, conflict
of interest, bribery, or gratuity violations found in Title 18 of the United States Code or a violation of
the civil False Claims Act (31 U.S.C. 3729-3733). The disclosure must be made in writing to the
Federal agency, IMLS’s Office of the General Counsel, and pass-through entity (if applicable) (2
C.F.R. § 200.113 and 2 C.F.R. Part 3185.)
I. Acknowledgement of IMLS Support
All materials publicizing or resulting from grant activities must contain an acknowledgement of
IMLS support, unless IMLS advises otherwise. This includes invitations, brochures, and signage;
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audio/video programming for radio, television, or web broadcast; and websites, social media,
PowerPoint presentations, and e-mail announcements. (See Grantee Communications Kit,
available at www.imls.gov, for specific guidance).
The type of recognition varies according to the type of activity. Please use the following guidelines
for acknowledgement:
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Written materials must include a credit line indicating IMLS as a source of support.
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Graphic items such as posters or brochures should include the IMLS logo (see Grantee
Communications Kit, available at www.imls.gov) displayed in accordance with the Logo
Standards Guide.
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Online products, digital publications, and websites should include links to the IMLS
website, www.imls.gov.
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Audio/video broadcasts must include a tagline indicating IMLS as a source of support.
Video broadcasts should display the IMLS logo.
In materials that contain or present substantive project content, such as an exhibition, article,
catalogue, or other publication, video documentary, or online exhibition or website, the
acknowledgement must also include the following statement:
"The views, findings, conclusions or recommendations expressed in this
[publication/program/exhibition/website/article] do not necessarily represent those of the
Institute of Museum and Library Services or the U.S. Government."
If you have any question about whether your product requires this statement, contact the IMLS
Office of Communications and Public Liaison.
J. Acknowledgement of Federal Support
When issuing statements, press releases, requests for proposals, bid solicitations and other
documents describing projects or programs funded in whole or in part with Federal money, all
awardees receiving IMLS-appropriated funding, including but not limited to State and local
governments and recipients of Federal research grants, shall clearly state:
1. the percentage of the total costs of the program or project which will be financed with
Federal money;
2. the dollar amount of Federal funds for the project or program; and
3. the percentage and dollar amount of the total costs of the project or program that will
be financed by non-governmental sources.
K. General Certification
The authorized representative, on behalf of the applicant, certifies that the applicant will comply
with all applicable requirements of all other Federal laws, executive orders, regulations, and
policies governing this program.
L. Certifications Required for Certain Projects
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
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listed below, might apply to a particular project.
1. 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, associated funerary
objects and/or cultural items and which receives Federal funding, even for a purpose
unrelated to the Act.
2. 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, 54 U.S.C. § 306101, Executive Order
Number 11593, and any related applicable preservation laws.
3. Environmental Protections
The authorized representative, on behalf of the applicant, certifies that the applicant
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
Executive Order Number 11514;
b. Notification of violating facilities pursuant to Executive Order Number 11738;
c. Protection of wetlands pursuant to Executive Order Number 11990, as
amended by Executive Order Number 12608;
d. Evaluation of flood hazards in floodplains in accordance with Executive Order
Number 11988, as amended (see Executive Order No. 12148);
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 1990, as amended, 42 U.S.C. § 7 401 et
seq.);
g. Protection of underground sources of drinking water under the Safe Drinking
Water Act of 197 4, 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 et seq.).
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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
National Flood Insurance Act of 1968, 9s amended, and 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, or as otherwise designated.
4. Research on Human Subjects
The authorized representative, on behalf of the applicant, certifies that the applicant
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.
5. Research on Animal Subjects
The authorized representative, on behalf of the applicant, certifies that the applicant
will comply with the 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.
M. Whistleblower Protections
In accordance with 2 CFR 200.217 Whistleblower protections, an employee of a recipient must not
be discharged, demoted, or otherwise discriminated against as a reprisal for disclosing to a person
or body described in paragraph (a)(2) of 41 U.S.C. 4712 information that the employee reasonably
believes is evidence of gross mismanagement of a Federal contract or grant, a gross waste of
Federal funds, an abuse of authority relating to a Federal contract or grant, a substantial and
specific danger to public health or safety, or a violation of law, rule, or regulation related to a
Federal contract (including the competition for or negotiation of a contract) or grant. The recipient
must inform their employees in writing of employee whistleblower rights and protections under 41
U.S.C. 4712. See statutory requirements for whistleblower protections at 10 U.S.C. 4701, 41 U.S.C.
4712, 41 U.S.C. 4304, and 10 U.S.C. 4310.
N. Internal Controls
In accordance with 2 CFR 200.303 Internal controls, the recipient must:
1. Establish, document, and maintain effective internal control over the Federal award that
provides reasonable assurance that the recipient is managing the Federal award in
compliance with Federal statutes, regulations, and the terms and conditions of the Federal
award. These internal controls should align with the guidance in “Standards for Internal
Control in the Federal Government” issued by the Comptroller General of the United States
or the “Internal Control-Integrated Framework” issued by the Committee of Sponsoring
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Organizations of the Treadway Commission (COSO).
2. Comply with the U.S. Constitution, Federal statutes, regulations, and the terms and
conditions of the Federal award.
3. Evaluate and monitor the recipient's or subrecipient’s compliance with statutes,
regulations, and the terms and conditions of Federal awards.
4. Take prompt action when instances of noncompliance are identified.
5. Take reasonable cybersecurity and other measures to safeguard information including
protected personally identifiable information (PII) and other types of information. This also
includes information the Federal agency or pass-through entity designates as sensitive or
other information the recipient or subrecipient considers sensitive and is consistent with
applicable Federal, State, local, and tribal laws regarding privacy and responsibility over
confidentiality.
O. Procurement of Recovered Materials
1. A recipient or subrecipient that is a State agency or agency of a political subdivision of a
State and its contractors must comply with section 6002 of the Solid Waste Disposal Act,
as amended by the Resource Conservation and Recovery Act of 1976 as amended, 42
U.S.C. 6962. The requirements of Section 6002 include procuring only items designated in
the guidelines of the Environmental Protection Agency (EPA) at 40 CFR part 247 that contain
the highest percentage of recovered materials practicable, consistent with maintaining a
satisfactory level of competition, where the purchase price of the item exceeds $10,000 or
the value of the quantity acquired during the preceding fiscal year exceeded $10,000;
procuring solid waste management services in a manner that maximizes energy and
resource recovery; and establishing an affirmative procurement program for procurement
of recovered materials identified in the EPA guidelines.
2. The recipient or subrecipient should, to the greatest extent practicable and consistent with
law, purchase, acquire, or use products and services that can be reused, refurbished, or
recycled; contain recycled content, are biobased, or are energy and water efficient; and are
sustainable. This may include purchasing compostable items and other products and
services that reduce the use of single-use plastic products. See Executive Order 14057,
section 101, Policy.
ACKNOWLEDGEMENT AND SIGNATURE
These assurances and certifications are provided in connection with any and all financial
assistance from IMLS after the date this form is signed. This includes payments after such date for
financial assistance approved before such date. The applicant recognizes and agrees that any such
assistance will be extended in reliance on the representations and agreements made in this
assurance, and that the United States shall have the right to seek judicial enforcement of this
Statement of Assurances and Certifications. These assurances and certifications are binding on
the applicant, its successors, transferees, and assignees, and on the Authorized Certifying Official
whose signature appears below.
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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
Library Name
____________________________________________________________________________________________
Print Name and Title of Authorized Certifying Official
__________________________________________
Date
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Appendix A
Trafficking in Persons
The applicant 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 under
which funds are to be provided to a private entity shall include a condition that authorizes the
Federal agency (IMLS) to terminate the grant, contract, or cooperative agreement, or take other
authorized actions, if the grantee or any subgrantee, or the contractor or any subcontractor,
engages in, or uses labor recruiters, brokers, or other agents who engage in trafficking in persons,
the procurement of a commercial sex act, the use of forced labor, or acts that directly support or
advance trafficking in persons. 2 C.F.R. Part 175 requires IMLS to include the following award term,
which is made a part of this Statement of Assurances and Certifications:
(a) Provisions applicable to a recipient that is a private entity.
1) Under this award, the recipient, its employees, subrecipients under this award, and
subrecipients' employees may not engage in:
i. Severe forms of trafficking in persons;
ii. The procurement of a commercial sex act during the period of time that this
award or any subaward is in effect;
iii. The use of forced labor in the performance of this award or any subaward; or
iv. Acts that directly support or advance trafficking in persons, including the
following acts:
A. Destroying, concealing, removing, confiscating, or otherwise
denying an employee access to that employee's identity or
immigration documents;
B. Failing to provide return transportation or pay for return
transportation costs to an employee from a country outside the
United States to the country from which the employee was recruited
upon the end of employment if requested by the employee, unless:
1) Exempted from the requirement to provide or pay for such
return transportation by the Federal department or agency
providing or entering into the grant or cooperative
agreement; or
2) The employee is a victim of human trafficking seeking victim
services or legal redress in the country of employment or a
witness in a human trafficking enforcement action;
C. Soliciting a person for the purpose of employment, or offering
employment, by means of materially false or fraudulent pretenses,
representations, or promises regarding that employment;
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D. Charging recruited employees a placement or recruitment fee; or
E. Providing or arranging housing that fails to meet the host country's
housing and safety standards.
2) The Federal agency may unilaterally terminate this award or take any remedial
actions authorized by 22 U.S.C. 7104b(c), without penalty, if any private entity under
this award:
i. Is determined to have violated a prohibition in paragraph (a)(1) of this
appendix; or
ii. Has an employee that is determined to have violated a prohibition in
paragraph (a)(1) of this appendix through conduct that is either:
A. Associated with the performance under this award; or
B. Imputed to the recipient 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 Government-wide Debarment and Suspension
(Nonprocurement),” as implemented by IMLS at 2 C.F.R. Part 3185.
(b) Provision applicable to a recipient other than a private entity.
1) The Federal agency may unilaterally terminate this award or take any remedial
actions authorized by 22 U.S.C. 7104b(c), without penalty, if a subrecipient that is a
private entity under this award:
i. Is determined to have violated a prohibition in paragraph (a)(1) of this
appendix; or
ii. Has an employee that is determined to have violated a prohibition in
paragraph (a)(1) of this appendix through conduct that is either:
A. Associated with the performance under this award; or
B. 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
Government-wide Debarment and Suspension (Nonprocurement),”
as implemented by IMLS at 2 C.F.R. Part 3185.
(c) Provisions applicable to any recipient.
1) The recipient must inform the Federal agency and the Inspector General of the
Federal agency immediately of any information you receive from any source alleging
a violation of a prohibition in paragraph (a)(1) of this appendix.
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2) The Federal agency’s right to unilaterally terminate this award as described in
paragraph (a)(2) or (b)(1) of this appendix:
i. Implements the requirements of 22 U.S.C. 78, and
ii. Is in addition to all other remedies for noncompliance that are available to
the Federal agency under this award.
3) The recipient must include the requirements of paragraph (a)(1) of this award term
in any subaward it makes to a private entity.
4) If applicable, the recipient must also comply with the compliance plan and
certification requirements in 2 CFR 175.105(b).
(d) Definitions. For purposes of this award term:
Employee means either:
1) An individual employed by the recipient or a subrecipient who is engaged in the
performance of the project or program under this award; or
2) Another person engaged in the performance of the project or program under this
award and not compensated by the recipient 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 requirements.
Private Entity means any entity, including for-profit organizations, nonprofit
organizations, institutions of higher education, and hospitals. The term does not
include foreign public entities, Indian Tribes, local governments, or states as defined by
2 CFR 200.1.
The terms “severe forms of trafficking in persons,” “commercial sex act,” “sex
trafficking,” “Abuse or threatened abuse of law or legal process,” “coercion,” “debt
bondage,” and “involuntary servitude” have the meanings given at section 103 of the
TVPA, as amended (22 U.S.C. 7102).