Instructions for Certification
The New Mexico Humanities Council (NMHC) is required to seek from institutional applicants a certification regarding the nondiscrimination statutes and from all applicants a certification regarding the nondiscrimination statutes and from all applicants certifications regarding debarment and suspension, Federal debt status and lobbying.
By signing and submitting a proposal, the Project Director and Fiscal Agent for the Sponsor Organization provide the applicable certifications. When a prospective applicant is unable to certify regarding the nondiscrimination statutes, the prospective applicant is not eligible to apply for funding from NMHC. When the applicant is unable to certify regarding debarment and suspension or federal debt status the applicant shall attach an explanation to the proposal. The explanation of why the certification on debarment and suspension cannot be submitted will be considered in connection with NMHC's funding determination. Failure to furnish a certification or an explanation shall disqualify the applicant from receiving an award from NMHC.
The certifications are material representations of fact upon which reliance will be placed when NMHC determines to fund the application. If it is later determined that the applicant knowingly provided an erroneous certification or did not comply with requirements, in addition to other remedies available to the federal government, the National Endowment for the Humanities or NMHC may seek judicial enforcement of the certification (nondiscrimination statutes), may terminate the award for cause or default (debarment and suspension or federal debt status) or may seek civil penalties of not less than $10,000 for each failure (lobbying).
The applicant shall provide immediate written notice to NMHC if at any time the applicant learns that its verifications were erroneous when submitted or have become erroneous by reason of changed circumstances.
The certification regarding the nondiscrimination statutes shall obligate the applicant for the period during which the federal financial assistance is extended. There are two exceptions. If any personal property is acquired with NMHC's assistance, this certification shall obligate the applicant for the period during which it retains ownership or possession of that property. If any real property or structure is improved with NMHC's support, this certification shall oblige the applicant or any transferee for as long as the property or structure is used for the grant or similar purposes. This certification is binding on the applicant, its successors, transferees, and assignees, and on the authorizing official whose signature appears on the application cover sheet for this proposal.
Grantees are also required to evaluate their policies and practices toward the handicapped and grantee organizations which employ fifteen or more persons must keep on file a list of the interested persons that were consulted and a description of the areas that were examined, the problems identified, and any modifications or remedial steps taken.
Nondiscrimination Statute Certification
The applicant certifies that it will comply with the following nondiscrimination statutes and their implementing regulations:
a) Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d seq.) which provides that no person in the United States shall, on the ground of race, color, or national origin, be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination under any program or activity for which the applicant receives federal financial assistance.
b) Section 503 of the Rehabilitation Act of 1973, as amended (20 U.S.C. 794), which prohibits discrimination on the basis of handicap in programs and activities receiving federal financial assistance.
c) Title IX of the Education Amendments of 1972, as amended (20 U.S.C. 1681 seq.), which prohibits discrimination on the basis of sex in education programs and activities receiving federal financial assistance.
d) The Age Discrimination Act of 1975, as amended (42 U.S.C. 6106 seq.) which prohibits discrimination on the basis of age in programs and activities receiving federal financial assistance, except that actions which reasonably take age into account as a factor necessary for the normal operation or the achievement of any statutory objective of the project or activity shall not violate this statute.
FEDERAL DEBT STATUS
If any applicant is unable to certify regarding federal debt status, an explanation must be submitted with the proposal.
Federal Debt Status Certification
The applicant certifies, to the best of its knowledge and belief, that it is not delinquent in the repayment of any federal debt.
DEBARMENT and SUSPENSION
The applicant agrees by submitting this proposal that, should the proposal be funded by NMHC, it shall not knowingly enter into any project-related transactions (as defined under lower tier covered transactions) with a person who is debarred, suspended,
declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by NMHC.
The applicant further agrees by submitting this proposal to include without modification the following clauses in all lower tier covered transaction and in all solicitations for lower tier covered transactions:
1) The prospective lower tier participant certifies, by submission of this proposal, that neither it nor its principals is 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.
A grantee may rely on the certification of a prospective subrecipient that it is not debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A grantee may decide on the method and frequency by which it determines the eligibility of its principals. Except when specifically authorized by NMHC, if the 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 the other remedies available to the federal government, NMHC may terminate this transaction for cause or default.
Debarment and Suspension Certification
The applicant certifies to the best of its knowledge and belief that it and its principals:
- are not currently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transaction by any federal department or agency;
- have not within a three-year period preceding this proposal been convicted or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (federal, state, or local) transaction or contract under a public transaction; violation of federal or statute antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property;
- are not presently indicted for or otherwise criminally or civilly charged by a government entity (federal, state or local) with commission of any of the offenses enumerated in paragraph (b) of this certification;
- have not within a three-year period preceding this application/proposal had one or more public transactions (federal, state, local) terminated for cause or default.
The following definitions refer to the terms used in the certifications regarding the nondiscrimination statutes, federal debt status, and debarment and suspension.
Covered transaction: A covered transaction is either a primary covered transaction or a lower tier covered transaction.
Debarment: An action taken by a debarring official in accordance with 45 CFR Part 1169 to exclude a person from participating in covered transactions. A person so excluded is debarred.
Delinquent: Represents the failure to pay an obligation or debt by the date specified in the agency's initial written notification or applicable contractual agreement, unless other satisfactory payment arrangements have been made by that date, or if at any time thereafter, the debtor fails to satisfy the obligation under a payment agreement with the agency.
Federal debt: The amount of money or property that has been determined by an appropriate agency official to be owed to the United States by any person, organization, or entity. Examples of debts include delinquent taxes, audit disallowances, guaranteed and direct student loans, housing loans, farm loans, business loans, Department of Education institutional loans, benefit overpayments, and other miscellaneous administrative debts.
Ineligible: Excluded from participation in federal nonprocurement programs pursuant to a determination of ineligibility under statutory, executive order, or regulatory authority, other than Executive Order 12549.
Lower tier covered transaction:
- Any transaction between a participant and a person other than a procurement contract for goods and services, regardless of type, under a primary covered transaction.
- Any procurement contract for goods and services between a participant and a person, regardless of type, excepted to equal or exceed the federal procurement small purchase threshold fixed at 10 U.S.C. 2304(g) and 41 U.S.C. 253(g) (currently $25,000 USD) under a primary covered transaction.
- Any procurement contract for goods or services between a participant and a person under a covered transaction, regardless of amount, under which that person will have a critical influence on or substantive control over that covered transaction. Such persons are project directors, principal investigators, and providers of federally required audit services.
Participant: Any person who submits a proposal for, enters into, or reasonably may be expected to enter into a covered transaction. This term also includes any person who acts on behalf of or is authorized to commit a participant in a covered transaction as an agent or representative of another participant.
Person: Any individual, corporation, partnership, association, unit of government, or legal entity, however organized, except foreign governments or foreign governmental entities, public international organization, or foreign government-owned or controlled entities.
Primary covered transaction: This is normally any nonprocurement transaction between an agency and a person, regardless of type, including grants, cooperative agreements, scholarships, fellowships, contracts of assistance, loans, loan guarantees, subsidies, insurance payments for specified use, donation agreements, and any other nonprocurement transaction between a federal agency and a person.
Principal: Officer, director, owner, partner, key employee, or other person within a participant with primary management or supervisory responsibilities; or a person who has critical influence on or substantive control over a covered transaction, whether or not employed by the participants.
Proposal: A solicited or unsolicited bid, application, request, invitation to consider, or similar communication by or on behalf of a person seeking to participate or to receive benefit, directly or indirectly, in or under a covered transaction.
Suspension: An action taken by a suspending official in accordance with these regulations that immediately excludes a person from participating in covered transactions for a temporary period, pending completion of an investigation and such legal, debarment, or Program Fraud Civil Remedies Act proceeding as may ensue.
Voluntarily excluded: The status or non-participation or limited participation in covered transactions assumed by a person pursuant to the terms of a settlement.
The applicant certifies to the best of his or her knowledge and belief that:
- 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 an agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan or cooperative agreement.
- 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 contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, Disclosure of Lobbying Activities, in accordance with its instructions.
- The applicant shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants and contracts under grants, loans and cooperative agreements) and that all subrecipients shall certify and disclose accordingly. This certification is a material representation of fact upon which reliance was placed when this transaction was made and entered into. Submission of this certification is a prerequisite for asking or entering into this transaction imposed by subsection 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.