HomeMy WebLinkAboutResolution - 2000-R0308 - Agreements - TSLAC - Lsogas, Tangas, & Ilcgs - 09/13/2000Resolution No. 2000-R 0308
September 13, 2000
Item No. 25
RESOLUTION
BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF LUBBOCK:
THAT the Mayor of the City of Lubbock BE and is hereby authorized and directed to
execute for and on behalf of the City of Lubbock, two (2) Library System Operation Grant
Agreements, two (2) Technical Assistance Negotiated Grant Agreements and two (2)
Interlibrary Loan Center Grants, by and between the City of Lubbock and Texas State Library
and Archives Commission and all related documents. Said Agreements are attached hereto and
incorporated in this resolution as if fully set forth herein and shall be included in the minutes of
the City Council.
Passed by the City Council this 13th day of September_, , 2000.
WINDY SIT'(PN,
A77;CP
CONTENT:
ff ippel, LbVary Director
APPROVED AS TO FORM:
Amy Sims,, As ity Attorney
ccdocs/LibraryGrants. res
August 21, 2000
August 11, 2000
Jeffrey Rippel, Director
Lubbock City -County Library
1306 Ninth Street
Lubbock, Texas 79401-2708
Dear Mr. Rippe]:
Resolution No. 2000—RO308
September 13, 2000
Item No. 25
Enclosed are two copies of your grant 470-01009 from the Texas State Library and
Archives Commission (TSLAC) and the following forms:
PO Box 12927
Austin, Texas 1. Certification Regarding Lobbying (for grants exceeding $100,000)
78711-2927 2. Certification regarding Debarment, Suspension, Ineligibility, and
Voluntary Exclusion
3. Standard Form 42411, Assurances - Non -Construction Programs
Please return one copy of the grant and each of the above forms with original signatures,
Lorenzo de Zavala on or before October 15, 2000, to: Grants Administrative Assistant, Texas State Library
State Archives and and Archives Commission, P.O. Box 12927, Austin, Texas 78711-2927.
LibraryBuilding
Systems must notify TSLAC in writing within seven days of the employment or
1201 Brazos St. resignation of professional staff paid wholly or in part with funds from this grant.
Austin TX 78701
Under separate cover, we will send the System Coordinator a copy of the grant along
www.tsl.state.tx.us with paper copies and a diskette containing these forms:
Director and Librarian Sincerely,
Peggy D. Rudd
Assistant State Librarian
Edward Seidenberg Patty Davis
Systems Coordinator
Library Development Division
512-463-5527
patty.davis cz.tsl.state.tx.us
Making Enclosures
information
work cc: Nancy Hill, System Coordinator
for all
Texans
1.
Prior Approval Request
2.
Uniform Statistical Report for Regional Systems — 2001 (with instructions)
3.
FY 2001 Key Performance Target (with instructions)
Commission Chairman
4.
Local/Systems Objectives Report
Carolyn Palmer
5.
Workshop Reporting Form 2001
6.
Financial Status Report (OMB Form 269A)
Members
7.
Request for Advance or Reimbursement (OMB Form 270)
Chris A. Brisack
8.
Equipment/Property Acquired
Kenneth R. Carr
9.
Certification of Review
Sandy Melton
Sandra Pickett
Please let me know if you have any questions relating to this grant or the process. I wish
Elizabeth Sanders
you
great success in implementing your grant.
Director and Librarian Sincerely,
Peggy D. Rudd
Assistant State Librarian
Edward Seidenberg Patty Davis
Systems Coordinator
Library Development Division
512-463-5527
patty.davis cz.tsl.state.tx.us
Making Enclosures
information
work cc: Nancy Hill, System Coordinator
for all
Texans
Resolution No. 2000-R 0308
TEXAS STATE LIBRARY & ARCHIVES COMMISSION
LIBRARY SYSTEM OPERATION GRANT
Grant # 470-01009
I. CONTRACTING PARTIES
Grantor: Texas State Library and Archives Commission (TSLAC)
Grantee: City of Lubbock, Lubbock City -County Library
1306 Ninth Street
Lubbock, Texas 79401-2708
II. TERM OF GRANT
September 1, 2000 to August 31, 2001
III. GRANTOR CERTIFICATION
The Grantor certifies that (1) the services specified below are necessary and essential for activities
that are properly within the statutory functions and programs of the affected organizations; (2) the
services, supplies or materials contracted for are not required by Section 21 of Article 16 of the
Constitution of Texas to be supplied under contract given to the lowest bidder; and (3) the grant is in
compliance with Texas Government Code § 441.121 et. seq., the Library System Act; Texas
Government Code § 441.006, General Powers and Duties; P.L. 104-208, the Library Services and
Technology Act (LSTA); and the State Plan for the LSTA in Texas.
IV. GRANT AMOUNTS
A. The total amount of the grant shall not exceed: $419,698.00
B. Source of funds:
CFDA # 45.310
Institute of Museum and Library Services, State Library Program
Federal Fiscal Year 2000 Carryover
General Revenue
State Fiscal Year 2001
TSLAC's accounting coding:
Index Code 24702, Object Code 7611
Index Code 24701, Object Code 7611
Of the total amount awarded for all System Operation Grants, 5894% is from Federal L.S.T.A.
funds (P.L. 104-208) and 41.06% is from State General Revenue. An individual grantee's
disbursement may vary.
Page 1 of 8
Fiscal Year 2001 Lubbock Library System Operation Grant
EXPENSE
CATEGORY
Admin-
istration
Audio
Visual
Collection
Development
V. BUDGET
Continuing
Consulting Education
Networked
Resources
Publicity
Read for
Your Life
Techno-
logical
Support
TOTAL
Personnel
74,556
7,898
629
26,108
10,716
8,219
1,005
0
1,618
130,749
Fringe
Benefits
28,092
2,632
219
9,234
3,663
2,720
444
0
480
47,484
Travel
5,500
0
0
2,500
400
0
0
0
0
8,400
Equipment
3,135
0
0
0
0
0
0
0
0
3,135
Supplies
2,600
11,500
79,8144
1,100
175
0
4,500
66,541
0
166,230
Contractual
8,136
0
14,603
0
3,500
0
0
0
0
26,239
Other
2,701
0
0
0
0
0
0
0
0
2,701
TOTAL DIRECT
CHARGES
124,720
22,030
95,265
38,942
18,454
10,939
5,949
66,541
2,098
384,938
Indirect Charges (9.03% of
Direct Cost)
11,263
1,990
8,602
3,516
1,666
988
537
6,009
189
34,760
TOTALS
135,983
24,020
103,867
42,458
20,120
11,927
6,486
72,550
2,287
419,698
Funds may be transferred among the above projects and expense categories without amending this contract as long as the cumulative transfers do not
exceed ten (10) percent of the total budget. This provision only applies to the above expense categories where dollars are budgeted and does not allow
the contract to be exceeded.
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VI. WRITTEN PRIOR APPROVALS FOR FISCAL AND PROGRAMMATIC CHANGES
A. The Grantor must give written prior approval for any of the following fiscal changes:
1. Making cumulative transfers among budget cost categories or projects which are expected
to exceed ten (10) percent of the total grant.
2. Transferring any funds into a budget cost category that equals zero ($0).
Written prior approval is to be requested on the Prior Approval Request form and shall be
requested when nearing the 10% limit or the end of the grant term. This provision does not
allow the grant to be exceeded.
B. The Grantor must give written prior approval for any of the following programmatic changes to
the application (System Plan of Service):
1. Changing key persons specified in the grant; however, none of the personnel are
considered key personnel for the purpose of this section.
2. Obtaining the services of a third party to perform activities which are central to the
purposes of the grant.
3. Changing the scope or objectives (regardless of whether there is an associated budget
revision). A change in scope is a substantive difference in the approach or method used to
reach program objectives.
Written prior approval is to be requested on the Prior Approval Request form.
C. The Grantor gives prior approval for the items listed under the following cost categories below.
Before the Grantee obligates or expends grant funds for additional items in the following cost
categories, the Grantor must give written prior approval. Written prior approval is to be
requested on the Prior Approval Request form. Written prior approval is also required if the
item's cost or features are substantially different from what the grant specifies or from a
previous Prior Approval Request. All prior approvals should be requested by August 1, 2001.
COST CATEGORIES
1. Preaward Costs
None
2. Insurance (if not required b,, thegrant)
None
3. Rearrangements and Alterations of Facilities
None
4. Equipment/Property
None
Subject to the obligations and conditions set forth in the Uniform Grant Management
Standards (UGMS) Section III, Subpart C.32 (a), title to equipment acquired under a grant
will vest upon acquisition in the grantee.
Page 3 of 8
Fiscal Year 2001 Lubbock Library System Operation Grant
Each piece of equipment/property is an article of nonexpendable, tangible personal property
having a useful life of more than one year and an acquisition cost of $1,000 or more.
However, if the Grantee's capitalization level established for financial statement purposes is
lower than $1,000, the lower amount should be used. Equipment/property includes furniture,
library materials, etc. purchased wholly or in part with grant funds. The prior approval
amount is the capital expenditure, which means the cost of the equipment/property including
the cost to put it in place. Capital expenditure for equipment/property means the net invoice
price of the equipment/property, including the cost of any modifications, attachments,
accessories, or auxiliary apparatus necessary to make it usable for the purpose for which it is
acquired. Ancillary charges, such as taxes, duty, protective in transit insurance, freight, and
installation may be included in, or excluded from, capital expenditure cost in accordance
with the Grantee's regular accounting practices.
VII. STATEMENT OF SERVICES TO BE PERFORMED
A. The Grantee will comply with the application (System Plan of Service for State FY01) as
approved by the Grantor. System activities shall support and encourage the active and
successful participation by libraries in services offered by the System and the Grantor.
B. The Grantee will comply with the System Plan of Service Program Guidelines for SFY 2001.
C. The Grantee will comply with the Rules for Administering the Library Systems Act. Note that
Rule 1.97 (a) will not be applicable during the term of this grant.
D. The Grantee will comply with the following two parts of the Governor's Office of Budget and
Planning Uniform Grant Management Standards (UGMS), revised January 1999, located at
http://www.governor.state.tx.usIBudgetlbudget_guidelines.htmL
Cost Principles for State and Local Governments and Other Affected Entities
(adapted from OMB Circular A-87)
2. State Uniform Administrative Requirement for Grants and Cooperative Agreements
(adapted from OMB Circular A-102)
For grants funded with State funds, the Grantee will comply with the third part of UGMS, the
State of Texas Single Audit Circular. For grants funded with Federal funds, the Grantee will
comply with the Office of Management and Budget (OMB) Circular A-133, Audits of States,
Local Governments, and Non -Profit Organizations (revised 6/97), located at http:f/www.
whitehouse. gov/OMB/circulars.
E. The Grantee will comply with the Institute of Museum and Library Services' 45 Code of Federal
Regulations, Part 1183, Uniform Administrative Requirements for Grants and Cooperative
Agreements to States and Local Governments (adapted from OMB Circular A-102).
F. The Grantee will send the Grantor a copy of any management letters issued by the auditor with
the reporting package (or written notification, as applicable). The audit's Schedule of
Expenditures of Federal and State Awards will list the amount of awards expended for each
award year separately.
Page 4of8
Fiscal Year 2001 Lubbock Library System Operation Grant
G. The Grantee may not obligate grant funds after August 31, 2001. By October 31, 2001, all
obligations must be liquidated and all unexpended funds must be returned to the Grantor.
H. The Grantee will add any program income to the funds committed to the grant, using such
program income for the purposes and under the conditions of the grant. The source and amount
of the program income must be explained in box 12 of the quarterly Financial Status Report.
I. As required by the Institute of Museum and Library Services, the Grantee will clearly state the
following 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:
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-government sources.
J. The Grantee certifies by this contract that it will comply with the Assurances — Non -
Construction Programs (OMB Standard Form 124B), the Certification Regarding Debarment,
Suspension, Ineligibility and Voluntary Exclusion Lower Tier Covered Transactions, and the
Certification Regarding Lobbying as submitted to the grantor. Additional assurances are listed
in UGMS, Subpart B.14.
K. The Grantee affirms that it has not given, offered to give, nor intends to give at any time
hereafter, any economic opportunity, future employment, gift, loan, gratuity, special discount,
trip, favor or service to a public servant in connection with this contract. The Grantee further
affirms that its employees or agents shall neither solicit nor accept gratuities, favors or anything
of monetary value from contractors, potential contractors or parties to subagreements.
L. The Grantee agrees to provide the Grantor with one (1) set of all public relations materials
produced under this grant.
M. The Grantee agrees to maintain records on all equipment/property with an acquisition cost of
$1,000 or more. However, if the Grantee's capitalization level established for financial
statement purposes is lower than $1,000, the lower cost reporting level should be used. The
UGMS Subpart C, Sec. 32, (d) requires the Grantee to reconcile the equipment/property records
with a physical inventory of the equipment/property every two years. This biennial inventory
does not need to be submitted to the Grantor, but must be maintained by the Grantee and will be
subject to review by the Grantor.
The UGMS Subpart C, Sec. 32, (d) (3) requires certain items of equipment (stereo systems, still
and video cameras, facsimile machines, VCRs and VCR/TV combinations, and cellular and
portable telephones) to be maintained on inventory if their cost is above $500.
Subject to the obligations and conditions set forth in the UGMS Section III, Subpart C, Sec. 32
(a), title to equipment acquired under a grant will vest upon acquisition in the grantee.
Page 5 of 8
Fiscal Year 2001 Lubbock Library System Operation Grant
When property is vested in the Grantee, the Grantee will dispose of equipment/property in
accordance with the UGMS Subpart C, Sec. 32, (e). When the Grantee has been given federal or
state equipment/property, the UGMS Subpart C, Sec. 32, (f) will be followed.
N. The Grantee agrees to submit the Equipment/Property Acquired form by October 31, 2001, for
all equipment/property purchased during that grant year. This list must balance with the
equipment/property purchased with prior approval amounts.
O. The Grantee agrees to submit the Key Performance Target Report to the grantor according to
the following schedule:
Ruortin2 P riod Due Dal
September 1, 2000 - November 30, 2000 December 6, 2000
December 1, 2000 - February 28, 2001 March 6, 2001
March 1, 2001 - May 31, 2001 June 6, 2001
June 1, 2001 - August 31, 2001 September 6, 2001
The State Legislature has charged the Grantor with submitting performance measurement
reports that specify the level of services provided by its programs and services. The Grantee
agrees to submit reports that are timely, accurate, auditable, and consistent with definitions.
P. The Grantee agrees to submit the Uniform Statistical Reporting Form for Systems to the
Grantor monthly by the end of the following month.
Q. The Grantee agrees to submit the quarterly Financial Status Report for each project funded
under this contract according to the following schedule:
Reporting Period Due Date
September 1, 2000 - November 30, 2000 December 29, 2000
December 1, 2000 - February 28, 2001 March 30, 2001
March 1, 2001 - May 31, 2001 June 29, 2001
June 1, 2001 - August 31, 2001 September 28, 2001
A final Financial Status Report is due by November 15, 2001.
R. The Grantee will submit the Local/Systems Objectives Report to the Grantor. This report may
be submitted monthly with the Uniform Statistical Report or quarterly with the Key
Performance Target Report.
S. The Grantee will submit the Workshop Reporting Form to the Grantor for the period of
September 1, 2000, to August 31, 2001, on or before September 28, 2001.
VIII. PAYMENT FOR SERVICES
The Grantee is restricted to one of two methods for requesting funds from the Grantor. The Grantee
may request an advance payment for estimated expenditures to be incurred for the upcoming 30
days, or request a reimbursement of the actual expenditures for the Grantee's normal billing cycle.
Page 6 of 8
Fiscal Year 2001 Lubbock Library System Operation Grant
The Grantee will request payment on the OMB Standard Form 270, Request for Advance or
Reimbursement, using box 12 rather than box 11 if requesting funds in advance. Requests may be
made monthly, quarterly or any other time period, but not more than once a month.
To request funds, Form 270 is due to the Grantor by the 15' of the month. If requesting a
Reimbursement, the funds will usually be received by the Grantee within 10 days after TS LAC
receives the funds from the federal government. If requesting an Advance, the Grantee must follow
procedures that minimize the time elapsing between the receipt and the disbursement of advanced
grant funds. Requests for Advance funds will be received by the first working day of the Advance
period on the Request.
IX. CONTACTS AT TSLAC
Questions or concerns about programmatic issues should be directed to this grant's Project Manager:
Patty Davis
Library Systems Administrator
Phone: 512-463-5527
E-mail: patty.davls@tsl.state.tx.us
Questions or concerns about regulatory or financial issues should be directed to:
Raymond M. Diaz
Manager of Accounting and Grants Department
Phone: 512-463-6626
E-mail: raymond.diaz@tsl.state.tx.us
Fax, rather than mail, Prior Approval Request forms and Key Performance Targets to this grant's
Project Manager:
Party Davis
Library Systems Administrator
Fax: 512-463-8800
Fax, rather than mail, Requests for Reimbursement/Advance, Financial Status Reports, Workshop
Report Forms, monthly Uniform Statistical Reports, annual Property/Inventory Reports and other
misellancous forms and reports to:
Grants Administrative Assistant
Phone: 512-463-5512
Fax: 512-463-3560
Payments to the Grantor, such as those for excess advanced funds or for interest earned each quarter
on advanced funds, should be mailed with an explanation of the purpose of the payment and the
grant number to:
Accounting and Grants Department
Texas State Library and Archives Commission
PO Box 12927
Austin, TX 78711-2927
Page 7of8
Fiscal Year 2001 Lubbock Library System Operation Grant
X. APPLICABLE AND GOVERNING LAW
A. This grant shall be governed by the laws of the State of Texas. All duties of either party shall be
legally performable in Texas. The applicable law for any legal disputes arising out of this
contract shall be the law of (and all actions hereunder shall be brought in) the State of Texas, and
the forum and venue for such disputes shall be Travis County, District Court.
B. This grant is subject to availability of funds.
XI. SIGNATURES
GRANTOR
GRANTEE
Texas State Library and Archives Commission City of Lubbock, Lubbock City -County Library
Edward Seidenberg,) Sta Librarian
Date
z;Xa6_ 6
Donna Osborne, Chief Fiscal Officer
0o
Date
Signature (Must be an official empowered
to enter into contracts)
Windy
Mttnny _MA ynr-
Type
en or Printed Name
Title
September 13, 2000
Date
Page 8 of 8
Fiscal Year 2001 Lubbock Library System Operation Grant
CERTIFICATION REGARDING LOBBYING
for
CONTRACTS, GRANTS, LOANS, AND COOPERATIVE AGREEMENTS
(Required for grants exceeding $900,000)
Hie undersigned certifies, to the best of his or her knowledge and belief, that:
1. No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned,
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 making of any Federal grant, the entering into of any cooperative
agreement, and the extension, continuation, renewal, amendment, or modification of any Federal
grant or cooperative agreement.
2. If any funds other than Federal appropriated funds have been paid or will be paid 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 this Federal grant or cooperative agreement, the undersigned shall complete and
submit Standard Form -LLL, 'Disclosure Form to Report Lobbying,' in accordance with its
instructions.
3. The undersigned shall require that the language of this certification be included in the award
documents for all subawards at all tiers (including subgrants, contracts under grants and
cooperative agreements, and subcontracts) and that all subrecipients shall certify and disclose
accordingly.
This certification is a material representation of fact upon which reliance was placed by the Texas State
Library when this transaction was made or entered into. Submission of this certification is a
prerequisite for making or entering into this transaction imposed by Section 1352, Title 31, U.S. Code.
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.
City Of Lubbock Library System Operation Grant
Organization Name Project
Jeffrey A. Rippel, Library Directory
Name and Title of Authorized Representative
34 CFR
September 13, 2000
TSL 9304
Date
CERTIFICATION REGARDING
DEBARMENT, SUSPENSION, INELIGIBILITY AND VOLUNTARY
EXCLUSION
LOWER TIER COVERED TRANSACTIONS
This certification is required by the regulations implementing Executive Order 12549, Debarment and
Suspension, 34 CFR Part 85, Section 85.510, Participant's responsibilities. The regulations were published as
Part VII of the May 26, 1988 Federal Re 'suer (pages 19160-12911). Copies of the regulations may be obtained
by contacting the person to which this proposal is submitted.
(BEFORE COMPLETING CERTIFICATION, READ INSTRUCTIONS ON REVERSE)
(1) The prospective lower tier participant certifies, by submission of this proposal, that neither it nor its
principals are presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily
excluded from participation in this transaction by any Federal department or agency.
(2) Where the prospective lower tier participant is unable to certify to any of the statements in this
certification, such prospective participant shall attach an explanation to this proposal.
City Of Lubbock
Applicant
Jeffrey A. Rip el. Library Director
Name and Title of Authorized Certifying Official
13, 2000
Date
Instructions for Certification
By signing and submitting this proposal, the prospective lower tier participant is providing the certification set
out below.
2. The certification in this clause is a material representation of fact upon which reliance was placed when this
transaction was entered into. If it is later determined that the prospective lower tier participant knowingly
rendered an erroneous certification, in addition to other remedies available to the Federal Government, the
department or agency with which this transaction originated may pursue available remedies, including
suspension and/or debarment.
3. The prospective lower tier participant shall provide immediate written notice to the person to which this proposal
is submitted, if at any time, the prospective lower tier participant learns that its certification was erroneous when
submitted or has become erroneous by reason of changed circumstances.
4. The terms "covered transaction," "debarred," "suspended," "ineligible," "lower tier covered transaction,"
"'participant" "person," "primary covered transaction," "principal," "proposal," and "voluntarily excluded," as
used in this clause, have the meanings set out in the Definitions and coverage sections of rules implementing
Executive Order 12549. You may contact the person to which this proposal is submitted for assistance in
obtaining a copy of those regulations.
5. The prospective lower tier participant agrees by submitting this proposal that, should the proposed covered
transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who
is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction,
unless authorized by the department or agency with which this transaction originated.
6. The prospective lower tier participant further agrees by submitting this proposal that it will include the clause
title "Certification Regarding Debarment, Suspension, Ineligibility, and Voluntary Exclusion --Lower Tier
Covered Transaction," without modification, in all lower tier covered transactions and in all solicitations for
lower tier covered transactions.
7. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier
covered transaction that it is not debarred, suspended, ineligible, or voluntarily excluded from the covered
transaction, unless it knows that the certification is erroneous. A participant may decide the method and
frequency by which it determines the eligibility of its principals. Each participant may, but is not required to,
check the Nonprocurement List.
Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to
render in good faith the certification required by this clause. The knowledge and information of a participant is
not required to exceed that which is normally possessed by a prudent person in the ordinary course of business
dealings.
Except for transactions authorized under paragraph 5 of these instructions, if a participant in a covered
transaction knowingly enters into a lower tier covered transaction with a person who is suspended, debarred,
ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to
the Federal Government, the department or agency with which this transaction originated may pursue available
remedies, including suspension and/or debarment.
OMB Approval No. 0348-0040
ASSURANCES - NON -CONSTRUCTION PROGRAMS
Public reporting burden for this collection of information is estimated to average 15 minutes per response, including time for reviewing
instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of
information. Send comments regarding the burden estimate or any other aspect of this collection of information, including suggestions for
reducing this burden, to the Office of Management and Budget, Paperwork Reduction Project (0348-0040), Washington, DC 20503.
PLEASE DO NOT RETURN YOUR COMPLETED FORM TO THE OFFICE OF MANAGEMENT AND BUDGET.
SEND IT TO THE ADDRESS PROVIDED BY THE SPONSORING AGENCY.
NOTE: Certain of these assurances may not be applicable to your project or program. If you have questions, please contact the
awarding agency. Further, certain Federal awarding agencies may require applicants to certify to additional assurances. If such
is the case, you will be notified.
As the duly authorized representative of the applicant, I certify that the applicant:
1, Has the legal authority to apply for Federal assistance
and the institutional, managerial and financial capability
(including funds sufficient to pay the non -Federal share
of project cost) to ensure proper planning, management
and completion of the project described in this
application.
Will give the awarding agency, the Comptroller General
of the United States and, if appropriate, the State,
through any authorized representative, access to and
the right to examine all records, books, papers, or
documents related to the award; and will establish a
proper accounting system in accordance with generally
accepted accounting standards or agency directives.
3. Will establish safeguards to prohibit employees from
using their positions for a purpose that constitutes or
presents the appearance of personal or organizational
conflict of interest, or personal gain.
4. Will initiate and complete the work within the applicable
time frame after receipt of approval of the awarding
agency.
5. Will comply with the Intergovernmental Personnel Act of
1970 (42 U.S.C. §§4728-4763) relating to prescribed
standards for merit systems for programs funded under
one of the 19 statutes or regulations specified in
Appendix A of OPM's Standards for a Merit System of
Personnel Administration (5 C.F.A. 900, Subpart F).
6. Will comply with all Federal statutes relating to
nondiscrimination. These include but are not limited to:
(a) Title VI of the Civil Rights Act of 1964 (P.L. 88-352)
which prohibits discrimination on the basis of race, color
or national origin; (b) Title IX of the Education
Amendments of 1972, as amended (20 U.S.C. §§1681-
1683, and 1685-1686), which prohibits discrimination on
the basis of sex; (c) Section 504 of the Rehabilitation
Act of 1973, as amended (29 U.S.C. §794), which
prohibits discrimination on the basis of handicaps; (d)
the Age Discrimination Act of 1975, as amended (42
U.S.C. §§6101-6107), which prohibits discrimination
on the basis of age; (e) the Drug Abuse Office and
Treatment Act of 1972 (P.L. 92-255), as amended,
relating to nondiscrimination on the basis of drug
abuse; (f) the Comprehensive Alcohol Abuse and
Alcoholism Prevention, Treatment and Rehabilitation
Act of 1970 (P.L. 91-616), as amended, relating to
nondiscrimination on the basis of alcohol abuse or
alcoholism; (g) §§523 and 527 of the Public Health
Service Act of 1912 (42 U.S.C. §§290 dd-3 and 290 ee
3), as amended, relating to confidentiality of alcohol
and drug abuse patient records; (h) Title VIII of the
Civil Rights Act of 1968 (42 U.S.C. §§3601 et seq.), as
amended, relating to nondiscrimination in the sale,
rental or financing of housing; (i) any other
nondiscrimination provisions in the specific statute(s)
under which application for Federal assistance is being
made; and, Q) the requirements of any other
nondiscrimination statute(s) which may apply to the
application.
Will comply, or has already complied, with the
requirements of Titles II and III of the Uniform
Relocation Assistance and Real Property Acquisition
Policies Act of 1970 (P.L. 91-646) which provide for
fair and equitable treatment of persons displaced or
whose property is acquired as a result of Federal or
federally -assisted programs. These requirements apply
to all interests in real property acquired for project
purposes regardless of Federal participation in
purchases.
8. Will comply, as applicable, with provisions of the
Hatch Act (5 U.S.C. §§1501-1508 and 7324-7328)
which limit the political activities of employees whose
principal employment activities are funded in whole or
in part with Federal funds.
Previous Edition Usable Standard Form 4246 (Rev. 7-97)
Authorized for Local Reproduction Prescribed by OMB Circular A-102
9. Will comply, as applicable, with the provisions of the Davis-
Bacon Act (40 U.S.C. §§276a to 276a-7), the Copeland Act
(40 U.S.C. §276c and 18 U.S.C. §874), and the Contract
Work Hours and Safety Standards Act (40 U.S.C. §§327-
333), regarding labor standards for federally -assisted
construction subagreements.
10. Will comply, if applicable, with flood insurance purchase
requirements of Section 102(a) of the Flood Disaster
Protection Act of 1973 (P.L. 93-234) 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.
11. Will comply with environmental standards which may be
prescribed pursuant to the following: (a) institution of
environmental quality control measures under the National
Environmental Policy Act of 1969 (P.L. 91-190) and
Executive Order (EO) 11514; (b) notification of violating
facilities pursuant to EO 11738; (c) protection of wetlands
pursuant to EO 11990; (d) evaluation of flood hazards in
floodpiains in accordance with EO 11988; (e) assurance of
project consistency with the approved State management
program developed under the Coastal Zone Management
Act of 1972 (16 U.S.C. §§1451 et seq.); (f) conformity of
Federal actions to State (Clean Air) Implementation Pians
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 (P.L. 93-523);
and, (h) protection of endangered species under the
Endangered Species Act of 1973, as amended (P.L. 93-
205).
12. Will comply with the Wild and Scenic Rivers Act of
1968 (16 U.S.G. §§1271 et seq.) related to protecting
components or potential components of the national
wild and scenic rivers system.
13. Will assist the awarding agency in assuring compliance
with Section 106 of the National Historic Preservation
Act of 1966, as amended (16 U.S.C. §470), EO 11593
(identification and protection of historic properties), and
the Archaeological and Historic Preservation Act of
1974 (16 U.S.C. §§469a-1 et seq.).
14. Will comply with P.L. 93-348 regarding the protection of
human subjects involved in research, development, and
related activities supported by this award of assistance.
15. Will comply with the Laboratory Animal Welfare Act of
1966 (P.L. 89-544, 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.
16. Will comply with the Lead -Based Paint Poisoning
Prevention Act (42 U.S.C. §§4801 et seq.) which
prohibits the use of lead-based paint in construction or
rehabilitation of residence structures.
17. Will cause to be performed the required financial and
compliance audits in accordance with the Single Audit
Act Amendments of 1996 and OMB Circular No. A-133,
"Audits of States, Local Governments, and Non -Profit
Organizations."
18. Will comply with all applicable requirements of all other
Federal laws, executive orders, regulations, and policies
governing this program.
SIGNATURrMF AUTHORIZED CER ING OFFICIAL
TITLE
A MA
Library Directory
APPLICANT OR I TI N
DATE SUBMITTED
City Of Lubbock
September 13, 2000
Standard Form 424B (Rev. 7-97) Back
a
Resolution No. 2000-R03
TEXAS STATE LIBRARY & ARCHIVES COMNIISSION
TECHNICAL ASSISTANCE NEGOTIATED GRANT
Grant # 476-01019
I. CONTRACTING PARTIES
Grantor: Texas State Library and Archives Commission (TSLAC)
Grantee: City of Lubbock, Lubbock City -County Library
1306 Ninth Street
Lubbock, Texas 79401-2708
II. TERM OF GRANT
September 1, 2000 to August 31, 2001
III. GRANTOR CERTIFICATION
The Grantor certifies that (1) the services specified below are necessary and essential for activities
that are properly within the statutory functions and programs of the affected organizations; (2) the
services, supplies or materials contracted for are not required by Section 21 of Article 16 of the
Constitution of Texas to be supplied under contract given to the lowest bidder; and (3) the grant is in
compliance with Texas Government Code § 441.121 et. seq., the Library System Act; Texas
Government Code § 441.006, General Powers and Duties; P.L. 104-208, the Library Services and
Technology Act (LSTA); and the State Plan for the LSTA in Texas.
IV. GRANT AMOUNTS
A. The total amount of the grant shall not exceed: $ 74,452
B. Source of funds:
CFDA # 45.310
Institute of Museum and Library Services, State Library Program
Federal Fiscal Year 2000 Carryover
TSLAC's accounting coding:
Index Code 34762, Object Code 7611
Page 1 of 7
Fiscal Year 2001 City of Lubbock Technical Assistance Negotiated Grant
C. Budget:
Personnel
$52,324
Fringe Benefits
15,512
Travel
0
Equipment/Property
0
Supplies
450
Contractual
0
Other
0
Total Direct Costs $68,286
Indirect Costs 6,166
Total $74,452
V. WRITTEN PRIOR APPROVALS FOR FISCAL AND PROGRAMMATIC CHANGES
A. The Grantor must give written prior approval for any of the following fiscal changes:
1. Making cumulative transfers among budget cost categories or projects which are expected
to exceed ten (10) percent of the total grant.
2. Transferring any funds into a budget cost category that equals zero ($0).
Written prior approval is to be requested on the Prior Approval Request form and shall be
requested when nearing the 10% limit or the end of the grant term. This provision does not
allow the grant to be exceeded. All prior approvals should be requested by August 1, 2001.
B. The Grantor must give written prior approval for any of the following programmatic changes to
the application (Technical Assistance Negotiated Grants for State Fiscal Year 2001).
1. Changing key persons specified in the grant, however, none of the personnel are
considered key personnel for the purpose of this section.
2. Obtaining the services of a third party to perform activities which are central to the
purposes of the grant.
3. Changing the scope or objectives (regardless of whether there is an associated budget
revision). A change in scope is a substantive difference in the approach or method used to
reach program objectives.
Written prior approval is to be requested on the Prior Approval Request form. All prior
approvals should be requested by August 1, 2001.
C. The Grantor hereby gives prior approval for the items specified under the following cost
categories. Before the Grantee obligates or expends grant funds for additional items in the
following cost categories, the Grantor must give written prior approval. Written prior approval
is to be requested on the Prior Approval Request form. Written prior approval is also required if
the item's cost or features are substantially different from what the grant specifies, or from a
previous Prior Approval Request. All prior approvals should be requested by August 1, 2001.
Page 2 of 7
Fiscal Year 2001 City of Lubbock Technical Assistance Negotiated Grant
COST CATEGORIES
1. Preaward Costs
None
2. Insurance (if not required by the grant)
None
3. Rearrangements and Alterations of Facilities
None
4. Equipment/Property
None
Subject to the obligations and conditions set forth in Uniform Grant Management Standards
(UGMS) Section III, Subpart C.32 (a), title to equipment acquired under a grant will vest
upon acquisition in the grantee.
Each piece of equipment/property is an article of nonexpendable, tangible personal property
having a useful life of more than one year and an acquisition cost of $1,000 or more.
However, if the Grantee's capitalization level established for financial statement purposes is
lower than $1,000, the lower capitalization level should be used. Equipment/property
includes furniture, library materials, etc., purchased wholly or in part with grant funds. The
prior approval amount is the capital expenditure, which means the cost of the
equipment/property including the cost to put it in place. Capital expenditure for
equipment/property means the net invoice price of the equipment/property, including the cost
of any modifications, attachments, accessories, or auxiliary apparatus necessary to make it
usable for the purpose for which it is acquired. Ancillary charges, such as taxes, duty,
protective in transit insurance, freight, and installation may be included in, or excluded from,
capital expenditure cost in accordance with the Grantee's regular accounting practices.
VI. STATEMENT OF SERVICES TO BE PERFORMED
A. The Grantee will comply with the grant application (Technical Assistance Negotiated Grants for
SFX 2001) as approved by the Grantor.
B. The Grantee will comply with the Technical Assistance Negotiated Grants Program Guidelines
for SFY 2001.
C. The Grantee will comply with the Rules for Administering the Library Systems Act. Note that
Rule 197 (a) will not be applicable during the term of this grant.
D. The Grantee will comply with the following two parts of the Governor's Office of Budget and
Planning Uniform Grant Management Standards (UGMS), revised January 1999, located at
http: //www.governor.state. tx. usIBudgetlbudget_guidelines. htmL
Cost Principles for State and Local Governments and Other Affected Entities
(adapted from OMB Circular A-87)
Page 3 of 7
Fiscal Year 2001 City of Lubbock Technical Assistance Negotiated Grant
2. State Uniform Administrative Requirement for Grants and Cooperative Agreements
(adapted from OMB Circular A-102)
For grants funded with State funds, the Grantee will comply with the third part of UGMS, the
State of Texas Single Audit Circular. For grants funded with Federal funds, the Grantee will
comply with the Office of Management and Budget (OMB) Circular A-133, Audits of States,
Local Governments, and Non -Profit Organizations (revised 6197), located at http:llwww.
wh iteh Ouse. govlOMBleirculars.
E. The Grantee will comply with the Institute of Museum and Library Services' 45 Code of Federal
Regulations, Part 1183, Uniform Administrative Requirements for Grants and Cooperative
Agreements to States and Local Governments (adapted from OMB Circular A-102).
F. The Grantee will send the Grantor a copy of any management letters issued by the auditor with
the reporting package (or written notification, as applicable). The audit's Schedule of
Expenditures of Federal and State Awards will list the amount of awards expended for each
award year separately.
G. The Grantee may not obligate grant funds after August 31, 2001. By October 31, 2001, all
obligations must be liquidated and all unexpended funds must be returned to the Grantor.
H. The Grantee will add any program income to the funds committed to the grant, using such
program income for the purposes and under the conditions of the grant. The source and amount
of the program income must be explained in box 12 of the quarterly Financial Status Report.
As required by the Institute of Museum and Library Services, the Grantee will clearly state the
following 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:
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-government sources.
J. The Grantee certifies by this contract that it will comply with the Assurances — Non -
Construction Programs (OMB Standard Form 124B), the Certification Regarding Debarment,
Suspension, Ineligibility and Voluntary Exclusion Lower Tier Covered Transactions, and the
Certification Regarding Lobbying as submitted to the grantor. Additional assurances are listed
in UGMS, Subpart B.14.
K. The Grantee affirms that it has not given, offered to give, nor intends to give at any time
hereafter, any economic opportunity, future employment, gift, loan, gratuity, special discount,
trip, favor or service to a public servant in connection with this contract. The Grantee further
affirms that its employees or agents shall neither solicit nor accept gratuities, favors or anything
of monetary value from contractors, potential contractors or parties to subagreements.
Page 4of7
Fiscal Year 2001 City of Lubbock Technical Assistance Negotiated Grant
L. The Grantee agrees to provide the Grantor with one (1) set of all public relations materials
produced under this grant.
M. The Grantee agrees to maintain records on all equipment/property with an acquisition cost of
$1000 or more. The Grantee will reconcile the equipment/property records with a physical
inventory of the equipment/property every two years.
The UGMS Subpart C, Sec. 32, (d) (3) requires certain items of equipment (stereo systems, still
and video cameras, facsimile machines, VCRs and VCR/TV combinations, and cellular and
portable telephones) to be maintained on inventory if their cost is above $500.
N. The Grantee agrees to submit the Equipment/Property Acquired form by October 31, 2001 for all
equipment/property purchased during that grant year. This list must balance with the
equipment/property purchased with prior approval amounts.
O. The Grantee agrees to submit the Uniform Statistical Reporting Form for Technical Assistance
Negotiated Grants and Explanation of Variance according to the following schedule:
Rgporting Pgho Due Dde
September 1, 2000 - November 30, 2000 December 6, 2000
December 1, 2000 - February 28, 2001 March 6, 2001
March 1, 2001 - May 31, 2001 June 6, 2001
June 1, 2001 - August 31, 2001 September 6, 2001
The State Legislature has charged the Grantor with submitting performance measurement
reports that specify the level of services provided by its programs and services. The Grantee
agrees to submit reports that are timely, accurate, auditable, and consistent with definitions.
P. The Grantee agrees to submit the quarterly Financial Status Report for each project funded
under this contract according to the following schedule:
Reporting Period Due Date
September 1, 2000 - November 30, 2000 December 29, 2000
December 1, 2000 - February 28, 2001 March 30, 2001
March 1, 2001 - May 31, 2001 June 29, 2001
June 1, 2001 - August 31, 2001 September 28, 2001
A final Financial Status Report is due by November 15, 2001
Q. The Grantee will submit the Workshop Reporting Form to the Grantor for the period of
September 1, 2000 to August 31, 2001, by September 28, 2001.
Page 5 of 7
Fiscal Year 2001 City of Lubbock Technical Assistance Negotiated Grant
VII. PAYMENT FOR SERVICES
The Grantee is restricted to one of two methods for requesting funds from the Grantor. The Grantee
may request an advance payment for estimated expenditures to be incurred for the upcoming 30
days, or request a reimbursement of the actual expenditures for the Grantee's normal billing cycle.
The Grantee will request payment on the OMB Standard Form 270, Request for Advance or
Reimbursement, using box 12 rather than box 11 if requesting funds in advance. Requests may be
made monthly, quarterly or any other time period, but not more than once a month.
To request funds, Form 270 is due to the Grantor by the 15" of the month. If requesting a
reimbursement, the funds will usually be received by the Grantee within 10 days after TSLAC
receives the funds from the federal government. If requesting an advance, the Grantee must follow
procedures that minimize the time elapsing between the receipt and the disbursement of advanced
grant funds. Requests for Advance funds will be received by the first working day of the advance
period on the request.
VIII. CONTACTS AT TSLAC
Questions or concerns about programmatic issues should be directed to this grant's Project Manager:
Kathleen Walls
Grants Coordinator
Phone: 512-463-5532
E-mail: kathleen.walls@tsl.state.tx.us
Questions or concerns about regulatory or financial issues should be directed to:
Raymond M. Diaz
Manager of Accounting and Grants Department
Phone: 512-463-6626
E-mail: raymond.diaz@tsl.state.tx.us
Fax, rather than mail, Prior Approval Request forms to this grant's Project Manager:
Kathleen Walls
Grants Coordinator
Fax: 512-463-8800
Fax, rather than mail, reports to:
Grants Administrative Assistant
Phone: 512-463-5512
Fax: 512-463-3560
Payments to the Grantor, such as those for excess advanced funds or for interest earned each quarter
on advanced funds, should be mailed with an explanation of the purpose of the payment and the
grant number to:
Accounting and Grants Department
Texas State Library and Archives Commission
PO Box 12927
Austin, TX 78711-2927
Page 6 of 7
Fiscal Year 2001 City of Lubbock Technical Assistance Negotiated Grant.
IX. APPLICABLE AND GOVERNING LAW
A. This grant shall be governed by the laws of the State of Texas. All duties of either party shall be
legally performable in Texas. The applicable law for any legal disputes arising out of this
contract shall be the law of (and all actions hereunder shall be brought in) the State of Texas, and
the forum and venue for such disputes shall be Travis County, District Court,
B. This grant is subject to availability of funds.
X. SIGNATURES
GRANTEE
Texas State Library and Archives Commission City of Lubbock, Lubbock City -County Library
Edward Seidenberg, Assistant State Lib 'an
�- /ter
Date
Donna Osborne, Chief Fiscal Officer
g , /' - o v
Date
t ,
Signature (Must Wan official emp ered
to enter into contracts)
Lindy Sitton
Typewritten or Printed Name
M A yor
Title
September 13. 2000
Date
Page 7 of 7
Fiscal Year 2001 City of Lubbock Technical Assistance Negotiated Grant
CERTIFICATION REGARDING LOBBYING
for
CONTRACTS, GRANTS, LOANS, AND COOPERATIVE AGREEMENTS
(Required for grants exceeding $100,000)
The undersigned certifies, to the best of his or her knowledge and belief, that:
1. No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned,
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 making of any Federal grant, the entering into of any cooperative
agreement, and the extension, continuation, renewal, amendment, or modification of any Federal
grant or cooperative agreement.
2. If any funds other than Federal appropriated funds have been paid or will be paid 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 this Federal grant or cooperative agreement, the undersigned shall complete and
submit Standard Form -LLL, 'Disclosure Form to Report Lobbying,' in accordance with its
instructions.
3. The undersigned shall require that the language of this certification be included in the award
documents for all subawards at all tiers {including subgrants, contracts under grants and
cooperative agreements, and subcontracts} and that all subrecipients shall certify and disclose
accordingly.
This certification is a material representation of fact upon which reliance was placed by the Texas State
Library when this transaction was made or entered into. Submission of this certification is a
prerequisite for making or entering into this transaction imposed by Section 1352, Title 31, U.S. Code.
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.
City Of Lubbock Technical Assistance Negotiated Grant
Organization Name Project
Jeffrey A. Rippel
Name and Title of Authorized Representative
34 CFR 82.110
TSL 438E
Date
13, 2000
This certification is required by the regulations implementing Executive Order 12549, Debarment and
Suspension, 34 CFR Part 85, Section 85.510, Participant's responsibilities. The regulations were published as
Part VII of the May 26, 1988 Federal Register (pages 19160-12911). Copies of the regulations may be obtained
by contacting the person to which this proposal is submitted.
(BEFORE COMPLETING CERTIFICATION, READ INSTRUCTIONS ON REVERSE)
(1} The prospective lower tier participant certifies, by submission of this proposal, that neither it nor its
principals are presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily
excluded from participation in this transaction by any Federal department or agency.
(2) Where the prospective lower tier participant is unable to certify to any of the statements in this
certification, such prospective participant shall attach an explanation to this proposal.
City Of Lubbock
Applicant
Jeffrey A. Rippel, Director
Name and Title of Authorized Certifying Oficial
tember 13, 2000
Date
Instructions for Certification
1. By signing and submitting this proposal, the prospective lower tier participant is providing the certification set
out below.
2. The certification in this clause is a material representation of fact upon which reliance was placed when this
transaction was entered into. If it is later determined that the prospective lower tier participant knowingly
rendered an erroneous certification, in addition to other remedies available to the Federal Government, the
department or agency with which this transaction originated may pursue available remedies, including
suspension and/or debarment.
3. The prospective lower tier participant shall provide immediate written notice to the person to which this proposal
is submitted, if at any time, the prospective lower tier participant learns that its certification was erroneous when
submitted or has become erroneous by reason of changed circumstances.
4. The terms "covered transaction," "debarred," "suspended," "ineligible," "lower tier covered transaction,"
participant" "person," "primary covered transaction," "principal," '"proposal," and "voluntarily excluded," as
used in this clause, have the meanings set out in the Definitions and coverage sections of rules implementing
Executive Order 12549. You may contact the person to which this proposal is submitted for assistance in
obtaining a copy of those regulations.
5. The prospective lower tier participant agrees by submitting this proposal that, should the proposed covered
transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who
is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction,
unless authorized by the department or agency with which this transaction originated.
6. The prospective lower tier participant further agrees by submitting this proposal that it will include the clause
title "Certification Regarding Debarment, Suspension, Ineligibility, and Voluntary Exclusion --Lower Tier
Covered Transaction," without modification, in all lower tier covered transactions and in all solicitations for
lower tier covered transactions.
7. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier
covered transaction that it is not debarred, suspended, ineligible, or voluntarily excluded from the covered
transaction, unless it knows that the certification is erroneous. A participant may decide the method and
frequency by which it determines the eligibility of its principals. Each participant may, but is not required to,
check the Nonprocurement List.
8. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to
render in good faith the certification required by this clause. The knowledge and information of a participant is
not required to exceed that which is normally possessed by a prudent person in the ordinary course of business
dealings.
9. Except for transactions authorized under paragraph 5 of these instructions, if a participant in a covered
transaction knowingly enters into a lower tier covered transaction with a person who is suspended, debarred,
ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to
the Federal Government, the department or agency with which this transaction originated may pursue available
remedies, including suspension and/or debarment.
OMB Approval No. 0348-0040
ASSURANCES - NON -CONSTRUCTION PROGRAMS
Public reporting burden for this collection of information is estimated to average 15 minutes per response, including time for review
instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection
information. Send comments regarding the burden estimate or any other aspect of this collection of information, including suggestions
reducing this burden, to the Office of Management and Budget, Paperwork Reduction Project (0348-0040), Washington, DC 20503.
PLEASE DO NOT RETURN YOUR COMPLETED FORM TO THE OFFICE OF MANAGEMENT AND BUDGET.
SEND IT TO THE ADDRESS PROVIDED BY THE SPONSORING AGENCY.
NOTE: Certain of these assurances may not be applicable to your project or program. If you have questions, please contact the
awarding agency. Further, certain Federal awarding agencies may require applicants to certify to additional assurances. If such
is the case, you will be notified.
As the duly authorized representative of the applicant, I certify that the applicant:
1. Has the legal authority to apply for Federal assistance
and the institutional, managerial and financial capability
(including funds sufficient to pay the non -Federal share
of project cost) to ensure proper planning, management
and completion of the project described in this
application.
2. Will give the awarding agency, the Comptroller General
of the United States and, if appropriate, the State,
through any authorized representative, access to and
the right to examine all records, books, papers, or
documents related to the award; and will establish a
proper accounting system in accordance with generally
accepted accounting standards or agency directives.
3. Will establish safeguards to prohibit employees from
using their positions for a purpose that constitutes or
presents the appearance of personal or organizational
conflict of interest, or personal gain.
4. Will initiate and complete the work within the applicable
time frame after receipt of approval of the awarding
agency.
5. Will comply with the Intergovemmental Personnel Act of 7
1970 (42 U.S.C. §§4728-4763) relating to prescribed
standards for merit systems for programs funded under
one of the 19 statutes or regulations specified in
Appendix A of OPM's Standards for a Merit System of
Personnel Administration (5 C.F.R. 900, Subpart F).
6. Will comply with all Federal statutes relating to
nondiscrimination. These include but are not limited to:
(a) Title VI of the Civil Rights Act of 1964 (P.L. 88-352)
which prohibits discrimination on the basis of race, color
or national origin; (b) Title IX of the Education
Amendments of 1972, as amended (20 U.S.C. §§1681-
1683, and 1685-1686), which prohibits discrimination on
the basis of sex; (c) Section 504 of the Rehabilitation
Act of 1973, as amended (29 U.S.C. §794), which
prohibits discrimination on the basis of handicaps; (d)
the Age Discrimination Act of 1975, as amended (42
U.S.C. §§6101-6107), which prohibits discrimination
on the basis of age; (e) the Drug Abuse Office and
Treatment Act of 1972 (P.L. 92-255), as amended,
relating to nondiscrimination on the basis of drug
abuse; (f) the Comprehensive Alcohol Abuse and
Alcoholism Prevention, Treatment and Rehabilitation
`Act of 1970 (P.L. 91-616), as amended, relating to
nondiscrimination on the basis of alcohol abuse or
alcoholism; (g) §§523 and 527 of the Public Health
Service Act of 1912 (42 U.S.G. §§290 dd-3 and 290 ee
3), as amended, relating to confidentiality of alcohol
and drug abuse patient records; (h) Title Vill of the
Civil Rights Act of 1968 (42 U.S.C. §§3601 et seq.), as
amended, relating to nondiscrimination in the sale,
rental or financing of housing; (i) any other
nondiscrimination provisions in the specific statute(s)
under which application for Federal assistance is being
made; and, (j) the requirements of any other
nondiscrimination statute(s) which may apply to the
application.
Will comply, or has already complied, with the
requirements of Titles II and III of the Uniform
Relocation Assistance and Real Property Acquisition
Policies Act of 1970 (P.L. 91-646) which provide for
fair and equitable treatment of persons displaced or
whose property is acquired as a result of Federal or
federally -assisted programs. These requirements apply
to all interests in real property acquired for project
purposes regardless of Federal participation in
purchases.
8. Will comply, as applicable, with provisions of the
Hatch Act (5 U.S.C. §§1501-1508 and 7324-7328)
which limit the political activities of employees whose
principal employment activities are funded in whole or
in part with Federal funds.
Previous Edition usable Standard Form 424B (Rev. 7-97)
Authorized for Local Reproduction Prescribed by 0MB Circular A-102
9. Will comply, as applicable, with the provisions of the Davis.
Bacon Act (40 U.S.C. §§276a to 276a-7), the Copeland Act
(40 U.S.G. §276c and 18 U.S.C. §874), and the Contract
Work Hours and Safety Standards Act (40 U.S.C. §§327-
333), regarding labor standards for federally -assisted
construction subagreements.
10. Will comply, if applicable, with flood insurance purchase
requirements of Section 102(a) of the Flood Disaster
Protection Act of 1973 (P.L. 93-234) 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.
11. Will comply with environmental standards which may be
prescribed pursuant to the following: (a) institution of
environmental quality control measures under the National
Environmental Policy Act of 1969 (P.L. 91-190) and
Executive Order (EO) 11514; (b) notification of violating
facilities pursuant to EO 11738; (c) protection of wetlands
pursuant to EO 11990; (d) evaluation of flood hazards in
floodpla ins in accordance with EO 11988; (e) assurance of
project consistency with the approved State management
program developed under the Coastal Zone Management
Act of 1972 (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 (P.L. 93-523);
and, (h) protection of endangered species under the
Endangered Species Act of 1973, as amended (P.L. 93-
205).
12. Will comply with the Wild and Scenic Rivers Act of
1968 (16 U.S.C. §§1271 et seq.) related to protecting
components or potential components of the national
wild and scenic rivers system.
13. Will assist the awarding agency in assuring compliance
with Section 106 of the National Historic Preservation
Act of 1966, as amended (16 U.S.C. §470), EO 11593
(identification and protection of historic properties), and
the Archaeological and Historic Preservation Act of
1974 (16 U.S.C. §§469a-1 et seq.).
14. Will comply with P.L. 93-348 regarding the protection of
human subjects involved in research, development, and
related activities supported by this award of assistance.
15. Will comply with the Laboratory Animal Welfare Act of
1966 (P.L. 89-544, 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.
16. Will comply with the Lead -Based Paint Poisoning
Prevention Act (42 U.S.C. §§4801 et seq.) which
prohibits the use of lead-based paint in construction or
rehabilitation of residence structures.
17. Will cause to be performed the required financial and
compliance audits in accordance with the Single Audit
Act Amendments of 1996 and OMB Circular No. A-133,
"Audits of States, Local Governments, and Non -Profit
Organizations."
18. Will comply with all applicable requirements of all other
Federal laws, executive orders, regulations, and policies
governing this program.
Standard Form 424B (Rev. 7-97) Back
Resolution No. 2000-RO308
TEXAS STATE LIBRARY & ARCHIVES COMMISSION
INTERLIBRARY LOAN CENTER GRANT
Grant # 771-01044
I. CONTRACTING PARTIES
Grantor: Texas State Library and Archives Commission (TSLAC)
Grantee: City of Lubbock, Lubbock City -County Library
Ninth and Avenue L
Lubbock, Texas 79401
II. TERM OF GRANT
September 1, 2000 to August 31, 2001
III. GRANTOR CERTIFICATION
The Grantor certifies that (1) the services specified below are necessary and essential for activities
that are properly within the statutory functions and programs of the affected organizations; (2) the
services, supplies or materials contracted for are not required by Section 21 of Article 16 of the
Constitution of Texas to be supplied under contract given to the lowest bidder; and (3) the grant is in
compliance with Texas Government Code § 441.121 et. seq., the Library System Act; Texas
Government Code § 441.006, General Powers and Duties; P.L. 104-208, the Library Services and
Technology Act (LSTA); and the State Plan for the LSTA in Texas.
W. GRANT .AMOUNTS
A. The total amount of the grant shall not exceed: $66,935
B. Source of funds:
CFDA #45.310, Institute of Museum and Library Service, State Library Program
Federal Fiscal Year 2000 Carryover
TSLAC's accounting coding:
Index 17712, Object Code 7611, AY01
Page 1 of 8
Fiscal Year 2001 City of Lubbock Interlibrary Loan Center Grant
C. Budget:
Personnel
$38,186
Fringe Benefits
9,549
Travel
400
Equipment
0
Supplies
1,500
Contractual
1,000
Other
11,180
Total Direct Costs $61,815
Indirect Costs 5,120
Total $66,935
V. WRITTEN PRIOR APPROVALS FOR FISCAL AND PROGRAMMATIC CHANGES
A. The Grantor must give written prior approval for any of the following fiscal changes:
1. Making cumulative transfers among budget cost categories or projects which are expected
to exceed ten (10) percent of the total grant.
2. Transferring any funds into a budget cost category that equals zero ($0).
Written prior approval is to be requested on the Prior Approval Request form and shall be
requested when nearing the 10% limit or the end of the grant term. This provision does not
allow the grant to be exceeded.
B. The Grantor must give written prior approval for any of the following programmatic changes to
the application (System Plan of Service):
1. Changing key persons specified in the grant; however, none of the personnel are
considered key personnel for the purpose of this section.
2. Obtaining the services of a third party to perform activities which are central to the
purposes of the grant.
3. Changing the scope or objectives (regardless of whether there is an associated budget
revision). A change in scope is a substantive difference in the approach or method used to
reach program objectives.
Written prior approval is to be requested on the Prior Approval Request form.
C. The Grantor gives prior approval for the items listed under the following cost categories below.
Before the Grantee obligates or expends grant funds for additional items in the following cost
categories, the Grantor must give written prior approval. Written prior approval is to be
requested on the Prior Approval Request form. Written prior approval is also required if the
item's cost or features are substantially different from what the grant specifies or from a
previous Prior Approval Request. All prior approvals should be requested by August 1, 2001.
Page 2 of 8
Fiscal Year 2001 City of Lubbock Interlibrary Loan Center Grant
COST CATEGORIES
1. Preaward Costs
None
2. Insurance (if not required by the grant)
None
3. Rearrangements and Alterations of Facilities
None
4. E i ment/Pro e
None
Subject to the obligations and conditions set forth in the Uniform Grant Management
Standards (UGMS) Section III, Subpart C.32 (a), title to equipment acquired under a grant
will vest upon acquisition in the grantee.
Each piece of equipment/property is an article of nonexpendable, tangible personal property
having a useful life of more than one year and an acquisition cost of $1,000 or more.
However, if the Grantee's capitalization level established for financial statement purposes is
lower than $1,000, the lower amount should be used. Equipment/property includes furniture,
library materials, etc. purchased wholly or in part with grant funds. The prior approval
amount is the capital expenditure, which means the cost of the equipment/property including
the cost to put it in place. Capital expenditure for equipment/property means the net invoice
price of the equipment/property, including the cost of any modifications, attachments,
accessories, or auxiliary apparatus necessary to make it usable for the purpose for which it is
acquired. Ancillary charges, such as taxes, duty, protective in transit insurance, freight, and
installation may be included in, or excluded from, capital expenditure cost in accordance
with the Grantee's regular accounting practices.
VI. STATEMENT OF SERVICES TO BE PERFORMED
A. The Grantor will reimburse the Grantee for expenses incurred in processing and filling
interlibrary loan requests for library materials and information from public, academic, and
special libraries and for processing interlibrary loan requests originating with the Grantee. The
Grantor will also reimburse the Grantee for providing OCLC system use support to Texas
Group selective user libraries in the Grantee's service area.
B. The Grantee will provide free interlibrary loan service according to the operating procedures set
by the Grantor.
Page 3 of 8
Fiscal Year 2001 City of Lubbock Interlibrary Loan Center Grant
C. The Grantee will employ the following staff whose work assignments are exclusively to provide
interlibrary loan services:
.25 Librarian II
1 Senior Clerk Typist
.75 Clerk Typist
D. The Grantee will provide telephone line(s) directly into the interlibrary loan office, telephone
extension to local library telephones, and permit the computer(s) to be connected without charge
to an OCLC modem with line extenders or extended distance cables, or other appropriate
technology.
E. The Grantee agrees to provide rapid and convenient access to its catalog of holdings and its
circulation system for use without charge by the project staff.
F. The budget allocations are based on the following performance objectives:
1. Fill 4,700 interlibrary loan requests from the Grantee's resources.
2. Process 17,000 interlibrary loan transactions.
3. Maintain an average response time of 24 hours for interlibrary loan requests.
4. Maintain a maximum turnaround time of 8.0 days for requests from the region filled by
the Grantee.
5. Maintain a maximum turnaround time of 15.0 days for requests referred to and filled by
other libraries.
G. The Grantee will comply with their Interlibrary Loan Center grant application.
H. The Grantee will comply with the Texnet Center Policies Manual.
The Grantee will comply with the following two parts of the Governor's Office of Budget and
Planning Uniform Grant Management Standards (UGMS), revised January 1999, located at
http://www.governor. state.tx.us/BudgetJbudget guidelines.html.
Cost Principles for State and Local Governments and Other Affected Entities
(adapted from OMB Circular A-87)
2. State Uniform Administrative Requirement for Grants and Cooperative Agreements
(adapted from OMB Circular A-102)
For grants funded with State funds, the Grantee will comply with the third part of UGMS, the
State of Texas Single Audit Circular. For grants funded with Federal funds, the Grantee will
comply with the Office of Management and Budget (OMB) Circular A-133, Audits of States,
Local Governments, and Non -Profit Organizations (revised 6197), located at http://www.
wh itehouse. gov/OMB/circulars.
Page 4 of 8
Fiscal Year 2001 City of Lubbock Interlibrary Loan Center Grant
J. The Grantee will comply with the Institute of Museum and Library Services' 45 Code of Federal
Regulations, Part 1183, Uniform Administrative Requirements for Grants and Cooperative
Agreements to States and Local Governments (adapted from OMB Circular A-102).
K. The Grantee will send the Grantor a copy of any management letters issued by the auditor with
the reporting package (or written notification, as applicable). The audit's Schedule of
Expenditures of Federal and State Awards will list the amount of awards expended for each
award year separately.
L. The Grantee may not obligate grant funds after August 31, 2001. By October 31, 2001, all
obligations must be liquidated and all unexpended funds must be returned to the Grantor.
M. The Grantee will add any program income to the funds committed to the grant, using such
program income for the purposes and under the conditions of the grant. The source and amount
of the program income must be explained in box 12 of the quarterly Financial Status Report.
N. As required by the Institute of Museum and Library Services, the Grantee will clearly state the
following 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:
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-government sources.
O. The Grantee certifies by this contract that it will comply with the Assurances — Non -
Construction Programs (OMB Standard Form 124B), the Certification Regarding Debarment,
Suspension, Ineligibility and Voluntary Exclusion Lower Tier Covered Transactions, and the
Certification Regarding Lobbying as submitted to the grantor. Additional assurances are listed
in UGMS, Subpart B.14.
P. The Grantee affirms that it has not given, offered to give, nor intends to give at any time
hereafter, any economic opportunity, future employment, gift, loan, gratuity, special discount,
trip, favor or service to a public servant in connection with this contract. The Grantee further
affirms that its employees or agents shall neither solicit nor accept gratuities, favors or anything
of monetary value from contractors, potential contractors or parties to subagreements.
Q. The Grantee agrees to provide the Grantor with one (1) set of all public relations materials
produced under this grant.
R. The Grantee agrees to maintain records on all equipment/property with an acquisition cost of
$1,000 or more. However, if the Grantee's capitalization level established for financial
statement purposes is lower than $1,000, the lower cost reporting level should be used. The
UGMS Subpart C, Sec. 32, (d) requires the Grantee to reconcile the equipment/property records
with a physical inventory of the equipment/property every two years. This biennial inventory
Page 5 of 8
Fiscal Year 2001 City of Lubbock Interlibrary Loan Center Grant
does not need to be submitted to the Grantor, but must be maintained by the Grantee and will be
subject to review by the Grantor.
The UGMS Subpart C, Sec. 32, (d) (3) requires certain items of equipment (stereo systems, still
and video cameras, facsimile machines, VCRs and VCR/TV combinations, and cellular and
portable telephones) to be maintained on inventory if their cost is above $500.
Subject to the obligations and conditions set forth in the UGMS Section III, Subpart C, Sec. 32
(a), title to equipment acquired under a grant will vest upon acquisition in the grantee.
When property is vested in the Grantee, the Grantee will dispose of equipment/property in
accordance with the UGMS Subpart C, Sec. 32, (e). When the Grantee has been given federal
or state equipment/property, the UGMS Subpart C, Sec. 32, (f) will be followed.
S. The Grantee agrees to submit the Equipment/Property Acquired form by October 31, 2001, for
all equipment/property purchased during that grant year. This list must balance with the
equipment/property purchased with prior approval amounts.
T. The State Legislature has charged the Grantor with submitting performance measurement
reports that specify the level of services provided by its programs and services. The Grantee
agrees to submit reports that are timely, accurate, auditable, and consistent with definitions.
The Grantee will maintain a record of each interlibrary loan request submitted to other
libraries.
2. The Grantee agrees to submit ILL statistics to the Grantor monthly.
3. The Grantee agrees to submit turnaround time data records to the Grantor within 2 weeks
of the completion of the data records.
U. The Grantee agrees to participate fully in any special study, survey, or other research and
testing, which is designed to evaluate or improve interlibrary loan policies, procedures or
management, when requested by the Grantor.
V. The Grantee agrees to submit the quarterly Financial Status Report for each project funded
under this contract according to the following schedule:
ReportingPeriod Due Date
September 1, 2000 - November 30, 2000 December 29, 2000
December 1, 2000 - February 28, 2001 March 30, 2001
March 1, 2001 - May 31, 2001 June 29, 2001
June 1, 2001 - August 31, 2001 September 28, 2001
A final Financial Status Report is due by November 15, 2001.
Page 6 of 8
Fiscal Year 2001 City of Lubbock Interlibrary Loan Center Grant
VII. PAYMENT FOR SERVICES
The Grantee is restricted to one of two methods for requesting funds from the Grantor. The Grantee
may request an advance payment for estimated expenditures to be incurred for the upcoming 30
days, or request a reimbursement of the actual expenditures for the Grantee's normal billing cycle.
The Grantee will request payment on the OMB Standard Form 270, Request for Advance or
Reimbursement, using box 12 rather than box 11 if requesting funds in advance. Requests may be
made monthly, quarterly or any other time period, but not more than once a month.
To request funds, Form 270 is due to the Grantor by the 15'` of the month. If requesting a
Reimbursement, the funds will usually be received by the Grantee within 10 days after TSLAC
receives the funds from the federal government. If requesting an Advance, the Grantee must follow
procedures that minimize the time elapsing between the receipt and the disbursement of advanced
grant funds. Requests for Advance funds will be received by the first working day of the Advance
period on the Request.
VIII. CONTACTS AT TSLAC
Questions or concerns about programmatic issues should be directed to this grant's Project Manager:
Rebecca Linton
Resource Sharing Consultant
Phone: 512-463-5406
E-mail: rebecca.linton@tsl.state.tx.us
Questions or concerns about regulatory or financial issues should be directed to:
Raymond M. Diaz
Manager of Accounting and Grants Department
Phone: 512-463-6626
E-mail: raymond.diaz@tsl.state.tx.us
Fax, rather than mail, Prior Approval Request forms to this grant's Project Manager:
Rebecca Linton
Resource Sharing Consultant
Fax: 512-936-2306
Fax, rather than mail, Requests for Reimbursement/Advance, Financial Status Reports, annual
Property/Inventory Reports and other miscellaneous forms and reports to:
Grants Administrative Assistant
Phone: 512-463-5512
Fax: 512-463-3560
Page 7of8
Fiscal Year 2001 City of Lubbock Interlibrary Loan Center Grant
Payments to the Grantor, such as those for excess advanced funds or for interest earned each quarter
on advanced fiends, should be mailed with an explanation of the purpose of the payment and the
grant number to:
Accounting and Grants Department
Texas State Library and Archives Commission
PO Box 12927
Austin, TX 78711-2927
IX. APPLICABLE AND GOVERNING LAW
A. This grant shall be governed by the laws of the State of Texas. All duties of either party shall be
legally performable in Texas. The applicable law for any legal disputes arising out of this
contract shall be the law of (and all actions hereunder shall be brought in) the State of Texas, and
the forum and venue for such disputes shall be Travis County, District Court.
B. This grant is subject to availability of funds.
X. SIGNATURES
GRANTOR
GRANTEE
Texas State Library and Archives Commission City of Lubbock, Lubbock City -County Library
Edward Seidenberg, Assistant State tibrarian
Signature (Must be an official empowered
to enter into contracts)
Windy Sitton
Date /teen or Printed N e
ice',
Donna Osborne, Chief Fiscal Officer Title _V V
Date
AT
Y�//- oc/
T:
Kaythie
Page 8 of 8
Fiscal Year 2001
me l l , ciry secretary
September 13, 2000
Date
ty of Lubbock Interlibrary Loan Center Grant.
CERTIFICATION REGARDING LOBBYING
for
CONTRACTS, GRANTS, LOANS, AND COOPERATIVE AGREEMENTS
(Required for grants exceeding $100,000)
The undersigned certifies, to the best of his or her knowledge and belief, that:
1. No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned,
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 making of any Federal grant, the entering into of any cooperative
agreement, and the extension, continuation, renewal, amendment, or modification of any Federal
grant or cooperative agreement.
2. If any funds other than Federal appropriated funds have been paid or will be paid 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 this Federal grant or cooperative agreement, the undersigned shall complete and
submit Standard Form -LLL, 'Disclosure Form to Report Lobbying,' in accordance with its
instructions.
3. The undersigned shall require that the language of this certification be included in the award
documents for all subawards at all tiers (including subgrants, contracts under grants and
cooperative agreements, and subcontracts) and that all subrecipients shall certify and disclose
accordingly.
This certification is a material representation of fact upon which reliance was placed by the Texas State
Library when this transaction was made or entered into. Submission of this certification is a
prerequisite for making or entering into this transaction imposed by Section 1352, Title 31, U.S. Code.
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.
City Of Lubbock lnterlibrar,y Loan Center Grant
Organization Name Project
Jeffrey A. Rippe], Director
Name and Title of Authorized Representative
I
34 CFR 82.110
TSL 9304
September 13, 2000
Date
CERTIFICATION REGARDING
DEBARMENT, SUSPENSION, INELIGIBILITY AND VOLUNTARY
EXCLUSION
LOWER TIER. COVERED TRANSACTIONS
This certification is required by the regulations implementing Executive Order 12549, Debarment and
Suspension, 34 CFR Part 85, Section 85.510, Participant's responsibilities. The regulations were published as
Part VII of the May 26, 1988 Federal Register (pages 19160-12911). Copies of the regulations may be obtained
by contacting the person to which this proposal is submitted.
(BEFORE COMPLETING CERTIFICATION, READ INSTRUCTIONS ON REVERSE)
(1) The prospective lower tier participant certifies, by submission of this proposal, that neither it nor its
principals are presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily
excluded from participation in this transaction by any Federal department or agency.
(2) Where the prospective lower tier participant is unable to certify to any of the statements in this
certification, such prospective participant shall attach an explanation to this proposal.
City Of Lubbock
Applicant
,1PffrQy A, Riper- Director
Name and Title of Authorized Certifying Official
G11
13, 2000
Date
Instructions for Certification
1. By signing and submitting this proposal, the prospective lower tier participant is providing the certification set
out below.
2. The certification in this clause is a material representation of fact upon which reliance was placed when this
transaction was entered into. If it is later determined that the prospective lower tier participant knowingly
rendered an erroneous certification, in addition to other remedies available to the Federal Government, the
department or agency with which this transaction originated may pursue available remedies, including
suspension and/or debarment.
The prospective lower tier participant shall provide immediate written notice to the person to which this proposal
is submitted, if at any time, the prospective lower tier participant learns that its certification was erroneous when
submitted or has become erroneous by reason of changed circumstances.
4. The terms "covered transaction," "debarred," "suspended," "ineligible," "lower tier covered transaction,"
"'participant" "person," "primary covered transaction," "principal," "proposal," and "voluntarily excluded," as
used in this clause, have the meanings set out in the Definitions and coverage sections of rules implementing
Executive Order 12549. You may contact the person to which this proposal is submitted for assistance in
obtaining a copy of those regulations.
5. The prospective lower tier participant agrees by submitting this proposal that, should the proposed covered
transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who
is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction,
unless authorized by the department or agency with which this transaction originated.
6. The prospective lower tier participant further agrees by submitting this proposal that it will include the clause
title "Certification Regarding Debarment, Suspension, Ineligibility, and Voluntary Exclusion --Lower Tier
Covered Transaction," without modification, in all lower tier covered transactions and in all solicitations for
lower tier covered transactions.
A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier
covered transaction that it is not debarred, suspended, ineligible, or voluntarily excluded from the covered
transaction, unless it knows that the certification is erroneous, A participant may decide the method and
frequency by which it determines the eligibility of its principals. Each participant may, but is not required to,
check the Nonprocurement List.
Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to
render in good faith the certification required by this clause. The knowledge and information of a participant is
not required to exceed that which is normally possessed by a prudent person in the ordinary course of business
dealings.
9. Except for transactions authorized under paragraph 5 of these instructions, if a participant in a covered
transaction knowingly enters into a lower tier covered transaction with a person who is suspended, debarred,
ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to
the Federal Government, the department or agency with which this transaction originated may pursue available
remedies, including suspension and/or debarment.
OMB Approval No. 0348-0040
ASSURANCES - NON -CONSTRUCTION PROGRAMS
Public reporting burden for this collection of information is estimated to average 15 minutes per response, including time for reviewing
instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of
'information. Send comments regarding the burden estimate or any other aspect of this collection of information, including suggestions for
reducing this burden, to the Office of Management and Budget, Paperwork Reduction Project (0348-0040), Washington, DC 20503.
PLEASE DO NOT RETURN YOUR COMPLETED FORM TO THE OFFICE OF MANAGEMENT AND BUDGET.
SEND IT TO THE ADDRESS PROVIDED BY THE SPONSORING AGENCY.
NOTE: Certain of these assurances may not be applicable to your project or program. If you have questions, please contact the
awarding agency. Further, certain Federal awarding agencies may require applicants to certify to additional assurances. If such
is the case, you will be notified.
As the duly authorized representative of the applicant, I certify that the applicant:
1. Has the legal authority to apply for Federal assistance
and the institutional, managerial and financial capability
(including funds sufficient to pay the non -Federal share
of project cost) to ensure proper planning, management
and completion of the project described in this
application.
2. Will give the awarding agency, the Comptroller General
of the United States and, if appropriate, the State,
through any authorized representative, access to and
the right to examine all records, books, papers, or
documents related to the award; and will establish a
proper accounting system in accordance with generally
accepted accounting standards or agency directives.
3. Will establish safeguards to prohibit employees from
using their positions for a purpose that constitutes or
presents the appearance of personal or organizational
conflict of interest, or personal gain.
4. Will initiate and complete the work within the applicable
time frame after receipt of approval of the awarding
agency.
5. Will comply with the Intergovemmental Personnel Act of
1970 (42 U.S.C. §§4728-4763) relating to prescribed
standards for merit systems for programs funded under
one of the 19 statutes or regulations specified in
Appendix A of OPM`s Standards for a Merit System of
Personnel Administration (5 G.F.R. 900, Subpart F).
6. Will comply with all Federal statutes relating to
nondiscrimination. These include but are not limited to:
(a) Title VI of the Civil Rights Act of 1964 (P.L. 88-352)
which prohibits discrimination on the basis of race, color
or national origin; (b) Title IX of the Education
Amendments of 1972, as amended (20 U.S.C. §§1681-
1683, and 1685-1686), which prohibits discrimination on
the basis of sex; (c) Section 504 of the Rehabilitation
Act of 1973, as amended (29 U.S.C. §794), which
prohibits discrimination on the basis of handicaps; (d)
the Age Discrimination Act of 1975, as amended (42
U.S.G. §§6101-6107), which prohibits discrimination
on the basis of age; (e) the Drug Abuse Office and
Treatment Act of 1972 (P.L. 92-255), as amended,
relating to nondiscrimination on the basis of drug
abuse; (f) the Comprehensive Alcohol Abuse and
Alcoholism Prevention, Treatment and Rehabilitation
`Act of 1970 (P.L. 91-616), as amended, relating to
nondiscrimination on the basis of alcohol abuse or
alcoholism; (g) §§523 and 527 of the Public Health
Service Act of 1912 (42 U.S.C. §§290 dd-3 and 290 ee
3), as amended, relating to confidentiality of alcohol
and drug abuse patient records; (h) Title VIII of the
Civil Rights Act of 1968 (42 U.S.C. §§3601 et seq.), as
amended, relating to nondiscrimination in the safe,
rental or financing of housing; (i) any other
nondiscrimination provisions in the specific statute($)
under which application for Federal assistance is being
made; and, 0) the requirements of any other
nondiscrimination statute(s) which may apply to the
application.
Will comply, or has already complied, with the
requirements of Titles II and III of the Uniform
Relocation Assistance and Real Property Acquisition
Policies Act of 1970 (P.L. 91-646) which provide for
fair and equitable treatment of persons displaced or
whose property is acquired as a result of Federal or
federally -assisted programs. These requirements apply
to all interests in real property acquired for project
purposes regardless of Federal participation in
purchases.
Will comply, as applicable, with provisions of the
Hatch Act (5 U.S.C. §§1501-1508 and 7324-7328)
which limit the political activities of employees whose
principal employment activities are funded in whole or
in part with Federal funds.
Previous Edition Usable
Standard Form. 4246 (Rev. 7-97)
Authorized for Local Reproduction Prescribed by OMB Circular A-102
9. Will comply, as applicable, with the provisions of the Davis -
Bacon Act (40 U.S.C. §§276a to 276a-7), the Copeland Act
(40 U.S.C. §276c and 18 U.S.C. §874), and the Contract
Work Hours and Safety Standards Act (40 U.S.C. §§327-
333), regarding labor standards for federally -assisted
construction subagreements.
10. Will comply, if applicable, with flood insurance purchase
requirements of Section 102(a) of the Flood Disaster
Protection Act of 1973 (P.L. 93-234) 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.
11. Will comply with environmental standards which may be
prescribed pursuant to the following; (a) institution of
environmental quality control measures under the National
Environmental Policy Act of 1969 (P.L. 91-190) and
Executive Order (EO) 11514; (b) notification of violating
facilities pursuant to EO 11738; (c) protection of wetlands
pursuant to EO 11990; (d) evaluation of flood hazards in
floodplains in accordance with EO 11988; (e) assurance of
project consistency with the approved State management
program developed under the Coastal zone Management
Act of 1972 (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 (P.L. 93-523);
and, (h) protection of endangered species under the
Endangered Species Act of 1973, as amended (P.L. 93-
205).
12. Will comply with the Wild and Scenic Rivers Act of
1968 (16 U.S.C. §§1271 et seq.) related to protecting
components or potential components of the national
wild and scenic rivers system.
13. Will assist the awarding agency in assuring compliance
with Section 106 of the National Historic Preservation
Act of 1966, as amended (16 U.S.C. §470), EO 11593
(identification and protection of historic properties), and
the Archaeological and Historic Preservation Act of
1974 (16 U.S.C. §§469a-1 et seq.).
14. Will comply with P.L. 93-348 regarding the protection of
human subjects involved in research, development, and
related activities supported by this award of assistance.
15. Will comply with the Laboratory Animal Welfare Act of
1966 (P.L. 89-544, 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.
16. Will comply with the Lead -Based Paint Poisoning
Prevention Act (42 U.S.C. §§4801 et seq.) which
prohibits the use of lead-based paint in construction or
r4phabilitation of residence structures.
17. Will cause to be performed the required financial and
compliance audits in accordance with the Single Audit
Act Amendments of 1996 and OMB Circular No. A-133,
"Audits of States, Local Governments, and Non -Profit
Organizations."
18. Will comply with all applicable requirements of all other
Federal laws, executive orders, regulations, and policies
governing this program.
SIGNATOROF AUTHORIZED CERTIFYING OFFICIAL TITLE
1Ink. 6�Z4_n_k'j� Jeffrey A. Rippel
APPLICANT CIRG144t1t,zATIO
City Of Lubbock
DATE SUBMITTED
September 13, 2000
Standard Form 424E (Rev. 7-97) Back