Certifications and Assurances

Subrecipients are required to comply annually with the FTA’s Certifications and Assurances. Awardees will have approximately 30 days from the date of written award notification to submit the completed Certifications and Assurances. A list of the 24 certifications and assurances is available for download here.

The 24 Certifications and Assurances cover a variety of topics such as nondiscrimination, lobbying and procurement, acquisition of capital assets, and drug testing. Awardees are required to sign off on all 24 Certifications and Assurances, regardless of how many of them are applicable to the agency.

We strongly recommend that you print and review this document prior to attending a pre-application conference. Organizations unable to complete these certifications will not receive funding and should not apply for funding. Certification No. 2 is included here as an example.

GROUP 02. LOBBYING

Before FTA may provide federal assistance for a grant or cooperative agreement exceeding $100,000 or a loan, line of credit, loan guarantee, or loan insurance exceeding $150,000, you must select the Lobbying Certifications in Category 02, unless your Applicant is an Indian Tribe, Indian organization, or an Indian tribal organization exempt from the requirements of 31 U.S.C. 1352, and/or except as FTA determines otherwise in writing.

Any provision of the Certifications in Category 02 that does not apply will not be enforced.

On behalf of your Applicant, you certify that:

1. As required by 31 U.S.C. § 1352 and U.S. DOT regulations, “New Restrictions on Lobbying,” specifically 49 CFR § 20.110: a. The lobbying restrictions of this Certification apply to its requests: (1) For $100,000 or more in federal assistance for a grant or cooperative agreement, and (2) For $150,000 or more in federal assistance for a loan, line of credit, loan guarantee, or loan insurance, and b. Your Certification on your Applicant’s behalf applies to the lobbying activities of: (1) The Applicant, (2) Its Principals, and (3) Its Subrecipients at the first tier.

2. To the best of your knowledge and belief: a. No federal appropriated funds have been or will be paid by your Applicant or on its behalf to any person to influence or attempt to influence: (1) An officer or employee of any federal agency regarding the award of

a: (a) Federal grant or cooperative agreement, or (b) Federal loan, line of credit, loan guarantee, or loan insurance, or (2) A Member of Congress, an employee of a member of Congress, or an officer or employee of Congress regarding the award of a: (a) Federal grant or cooperative agreement, or (b) Federal loan, line of credit, loan guarantee, or loan insurance.

b. Your Applicant will submit a complete OMB Standard Form LLL (Rev. 7-97), “Disclosure of Lobbying Activities,” consistent with the instructions on that form, if any funds other than federal appropriated funds have been or will be paid to any person to influence or attempt to influence: (1) An officer or employee of any federal agency regarding the award of a: (a) Federal grant or cooperative agreement, or (b) Federal loan, line of credit, loan guarantee, or loan insurance, or (2) A Member of Congress, an employee of a member of Congress, or an officer or employee of Congress regarding the award of a: (a) Federal grant or cooperative agreement, or (b) Federal loan, line of credit, loan guarantee, or loan insurance.

c. Your Applicant will include the language of this Certification in its Award documents under a federal grant, cooperative agreement, loan, line of credit, or loan insurance including, but not limited to: (1) Each third party contract, (2) Each third party subcontract, (3) Each subagreement, and (4) Each third party agreement.

3. Your Applicant understands that: a. This Certification is a material representation of fact that the Federal Government relies on, and b. It must submit this Certification before the Federal Government may award federal assistance for a transaction covered by 31 U.S.C. § 1352, including a: (1) Federal grant or cooperative agreement, or (2) Federal loan, line of credit, loan guarantee, or loan insurance.

4. Your Applicant understands that any person who does not file a required Certification will incur a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.

 

Civil Rights Assurances

In addition to the 24 Certifications and Assurances described above, subrecipients will also be required to complete a Title VI Program and Title VI Complaint Status Report at award and triennially thereafter, for the life of the project.  More information on this process will be provided to grantees with written award notifications and sample forms can be found here.