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2.1 Application Process


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Debarment and Suspension Certification
Drug-Free Workplace Certification
Lobbying Certification

DOJ requires all award applicants to certify certain conditions prior to submitting an application or before accepting an award. In order to comply with the certification requirements provided in the common rules, OJP/OVW applicants must complete and submit Form 4061/6 [PDF - 17 kb] entitled "Certification Regarding Lobbying; Debarment, Suspension and Other Responsibility Matters; and Drug-Free Workplace Requirements.; and Coordination with Affected Agencies." For the COPS Office applicants must complete and submit the "COPS Office Certification" entitled "Certification Regarding Lobby; Debarment, Suspension and Other Responsibility Matters; Federal Taxes and Assessments; Drug-Free Workplace Requirements; and Coordination with Affected Agencies."

Debarment and Suspension Certification

Debarment and suspension certification requires that agencies establish and implement procedures to ensure that Federal assistance is not awarded to entities that are prohibited from receiving Federal funds. Those procedures should include a review of information in SAM regarding exclusion status. Such procedures help the Federal government and recipients to conduct business only with responsible persons.

  • This certification must be completed and submitted to each grant-making component during the application review process.
  • The Government-wide guidelines for debarment and suspension are codified in 2 C.F.R. Part 180 and adopted by DOJ, via 2 C.F.R. Part 2867 in subparts A through I, as its policies and procedures for non-procurement debarment and suspension.
  • Debarment or suspension of a participant in a program by one agency has a Government-wide effect.

Responsibilities for prospective block/formula recipients:

  • Recipients are responsible for monitoring subrecipient submissions of the OJP Form 4061/1, “Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion—Lower Tier Covered Transactions (Sub-Recipient),” and for maintaining these submissions at the State level.

Responsibilities for individuals or corporations with critical influence or high levels of control over the prospective award:

  • Recipients that fall into this category must complete OJP Form 4061/6 [PDF - 17 kb] (or a similar form).
  • Recipients are responsible for monitoring the submission and maintaining the official subrecipient certifications.
  • Subrecipients are not required to complete certification if their subaward is less than $100,000.

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Drug-Free Workplace Certification

All applicants must meet the requirements in Title 28 C.F.R. Part 83 in order to receive Federal funds. Title 28 C.F.R. Part 83 implements the statutory requirements of the Drug-Free Workplace Act of 1988.

Organizations applying for a Federal award must certify that a drug-free workplace will be maintained. Organizations that make a false certification are subject to suspension, termination, and debarment. All applicants are required to certify, regardless of award amount.

Additional requirements:

  • Direct recipients of Federal discretionary awards must certify compliance with the Drug-Free Workplace Act of 1988.
  • State agencies that administer block/formula awards:
    • Must submit this certification to the awarding agency.
    • Must obtain certification from each State agency that is subawarded funds.
    • Subrecipients that are not a State agency are not required to submit the certification.
  • Applicants with more than one prospective award are required to submit a certification for each award.
  • There is one exception to the rule: a State, including a State agency, may submit a single annual certification to each awarding agency rather than one for each award.

There are different certifications for individuals and organizations:

  • Individuals must certify that engagement in the unlawful manufacture, distribution, dispensation, possession, or use of a controlled substance in conducting any activity with the award will not occur.
  • Organizations must certify a drug-free workplace will be provided by ensuring the following:
    • Publish a statement notifying employees that the unlawful manufacture, distribution, dispensing, possession, or uses of a controlled substance are prohibited in the workplace and specify that actions will be taken against employees for violation of such prohibition.
    • Establish a drug-free awareness program to make employees aware of:
      • The dangers of drug abuse in the workplace;
      • The policy of maintaining a drug-free workplace;
      • Any available drug counseling, rehabilitation, and employee assistance programs; and
      • The penalties that may be imposed upon employees for drug abuse violations occurring in the workplace.
    • Require that each employee engaged in the performance of the award be given a copy of the employer's statement about drugs in the workplace.
    • Notify the employee that, as a condition of employment under the award, he or she must:
      • Abide by the terms of the statement; and
      • Notify the employer of any criminal drug statute conviction for a violation occurring in the workplace not later than 5 days after such conviction.
    • Notify the awarding agency within 10 days after receiving notice from an employee or otherwise receiving actual notice of such conviction.
    • Take one of the following actions, within 30 days of receiving notice, with respect to any employee who is so convicted:
      • Take appropriate personnel action against such an employee, up to and including termination; or
      • Require the employee to participate satisfactorily in a drug abuse assistance or rehabilitation program approved for such purposes by a Federal, State, or local health, law enforcement, or other appropriate agency.

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Lobbying Certification

This certification must be completed prior to submitting an application or before accepting an award. Guidance on lobbying certification and restrictions can be found in Title 28 C.F.R. Part 69. These restrictions on lobbying apply to all recipients and subrecipients.

Additional restrictions on lobbying applicable to all recipients and subrecipients are:

In addition to the restrictions above, recipients are required to adhere to restrictions on lobbying included in 31 U.S.C. § 1352. These restrictions include the following:

  • Recipients of a Federal grant, cooperative agreement, or contract cannot use Federal funds to pay a 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 any of the following covered Federal actions:
    • The awarding of any Federal contract;
    • The making of any Federal grant;
    • The entering into of any cooperative agreement;
    • The extension, continuation, renewal, amendment, or modification of any Federal contract, grant, or cooperative agreement.
  • Individuals who receive an initial Federal grant, contract, or cooperative agreement of more than $100,000, must submit a Lobbying Certification to that awarding agency certifying that:
    • Payments have not been made and will not be made for a lobbying activity;
    • If non-Federal funds have been used or will be used to pay anyone for lobbying activities, then a Disclosure of Lobbying Activities form will be submitted;
    • The information from this certification will be included in the award documents for all subawards at all tiers (including subcontracts, subawards and contracts under awards, and cooperative agreements), and all subrecipients must provide certification and disclosure;
    • The disclosure form will be submitted to the awarding agency;
    • Recipients and subrecipients are responsible for reporting lobbying activities of employees if the employee's tenure is less than 130 working days within 1 year immediately preceding the date of the application or proposal submission; and
    • Subrecipients who request or receive Federal funds exceeding $100,000 will submit a certification and a disclosure form to the awarding agency.

All certifications will be maintained by the awarding agency and all disclosure forms will be forwarded from tier to tier until received by DOJ. 

The disclosure form must contain the following information:

  • Name and address of reporting entity;
  • Federal program name;
  • Federal award number;
  • Federal award amount;
  • Name and address of lobbying registrant.

If an event occurs that requires disclosure or materially affects the accuracy of the information contained in any disclosure form previously filed, then a disclosure form must be filed at the end of each quarter. The following examples of such events are provided below:

  • A cumulative increase of $25,000 or more in the amount paid or expected to be paid for influencing or attempting to influence a covered Federal action.
  • A change in the person(s) or individual(s) influencing or attempting to influence a covered Federal action.
  • A change in the officer(s), employee(s), or member(s) contacted to influence or attempt to influence a covered Federal action.

Penalties and enforcement of lobbying restrictions will be as follows:

  • Organizations making an expenditure prohibited by the restrictions on lobbying will be subject to a civil penalty of $10,000 to $100,000 for each expenditure.
  • Failure to file or amend the disclosure form as required will result in a civil penalty of $10,000 to $100,000 for each such failure.

See Chapter 13: Unallowable Costs for cost restrictions relating to lobbying.

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