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2015 DOJ Grants Financial Guide

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2.1 Application Process

Certifications

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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, applicants must complete and submit either Form 4061/6 [PDF - 17 kb] or "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. DOJ, via 2 C.F.R. Part 2867, adopts the OMB guidance in subparts A through I of Title 2 C.F.R. Part 180, as supplemented by 2 C.F.R. Part 2867, as its policies and procedures for nonprocurement 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:

If you are applying for this type of grant award, then you are not required to submit this certification.
However, you 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:

If you fall into this category, then you must complete OJP Form 4061/6 [PDF - 17 kb] (or a similar form).
You will be 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.

If you are applying for a Federal award, you must certify that you will maintain a drug-free workplace. If you make a false certification, you 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 that they will comply 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.
- If the subrecipient is not a State agency, it is 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:

If you are an individual, you must certify that you will not engage in the unlawful manufacture, distribution, dispensation, possession, or use of a controlled substance in conducting any activity with the award.
If you are an organization, you must certify that you will provide a drug-free workplace 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 your 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;
  - Your 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

You must complete this certification prior to submitting an application or before accepting an award. You can find guidance on lobbying certification and restrictions 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, you are required to adhere to restrictions on lobbying included in 31 U.S.C. ?? 1352. These restrictions include the following:

If you have a Federal grant, cooperative agreement, or contract, you 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 awarding 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:
- You have not made and will not make any payment for a lobbying activity;
- If you have used or will use non-Federal funds to pay anyone for lobbying activities, then you will submit a Disclosure of Lobbying Activities form;
- The information from this certification will be included in your award documents for all subawards at all tiers (including subcontracts, subawards and contracts under awards, and cooperative agreements), and all of your subrecipients must provide certification and disclosure;
- You will submit the disclosure form to the awarding agency;
- You or your subrecipient is responsible for reporting lobbying activities of your/its employees if the employee's tenure is less than 130 working days within 1 year immediately preceding the date of your or your subrecipient's application or proposal submission; and
- If you are a subrecipient who requests or receives Federal funds exceeding $100,000 you will submit a certification and a disclosure form to your 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 you must file a disclosure form at the end of each quarter. We provide examples of such events 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:

If you make an expenditure prohibited by the new restrictions on lobbying you will be subject to a civil penalty of $10,000 to $100,000 for each expenditure.
If you fail to file or amend the disclosure form as required, you will be subject to 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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