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 as well as the signature page is included in Appendix 6. The complete document is available for download here. 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.

A civil rights assurance is also required and is described below.

The 24 Certifications and Assurances cover a variety of topics such as nondiscrimination, lobbying and procurement, acquisition of capital assets, and drug testing. Certification No. 2 is included here as an example.

02. LOBBYING CERTIFICATION

An Applicant that submits or intends to submit an application to FTA for Federal assistance exceeding $100,000 is required to provide the following certification. FTA may not award Federal assistance exceeding $100,000 until the Applicant provides this certification by selecting Category "02."

1. As required by 31 U.S.C. 1352 and U.S. DOT regulations, "New Restrictions on Lobbying," at 49 CFR 20.110, the Applicant's authorized representative certifies to the best of his or her knowledge and belief that for each application to FTA for Federal assistance exceeding $100,000:
   1. No Federal appropriated funds have been or will be paid by or on behalf of the Applicant to any person to influence or attempt to influence an officer or employee of any Federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress regarding the award of Federal assistance, or the extension, continuation, renewal, amendment, or modification of any Federal assistance agreement; and
   2. If any funds other than Federal appropriated funds have been or will be paid to any person to influence or attempt to influence an officer or employee of any Federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with any application for Federal assistance, the Applicant assures that it will complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying," including information required by the instructions accompanying the form, which form may be amended to omit such information as authorized by 31 U.S.C. 1352.
   3. The language of this certification shall be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, subagreements, contracts under grants, loans, and cooperative agreements).
2. The Applicant understands that this certification is a material representation of fact upon which reliance is placed by the Federal Government and that submission of this certification is a prerequisite for providing Federal assistance for a transaction covered by 31 U.S.C. 1352. The Applicant also understands that any person who fails to file a 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.

Civil Rights Assurances

In addition to the 24 Certifications and Assurances described above, subrecipients will also be required to complete a Title VI Civil Rights Assurance. This process occurs triennially, and requires the agency to submit a report to the FTA on active lawsuits or complaints alleging discrimination on the basis of race, color or national origin with respect to service or other transit benefits, and a list of all pending applications for financial assistance and all financial assistance currently provided by other Federal agencies to the grantee. This process also requires that subrecipients submit signed UMTA Civil Rights and DOT Title VI Assurances. More information on this process will be provided to grantees with written award notifications.