Recipients of federal grants and contracts exceeding $100,000 must certify
compliance with Restrictions on Lobbying, before they can receive funds. In
addition, grantees are required to impose the lobbying restriction provisions
on their contractors.
-
Has the grantee included the lobbying clause in all agreements
and procurement solicitations exceeding $100,000? Have subgrantees,
contractors, and subcontractors signed certifications?
Explanation
Grantees are required to include the lobbying clause in agreements, contracts,
and subcontracts exceeding $100,000. Signed Certifications Regarding Lobbying
must be obtained by the grantee from subgrantees and contractors. The
contractor retains its subcontractors’ certifications.
Reason for the Question
49 CFR 20
Sources of Information
Solicitation documents and contract files are the primary source of this
information.
Determination
If the grantee has included the lobbying clause in its agreements and
procurement solicitations, it is not deficient. If not, the grantee is
deficient. If the grantee has obtained the proper certifications from
subgrantees and contractors, the grantee is not deficient. If not, the grantee
is deficient.
Suggested Corrective Action
The grantee must certify to FTA that it will have subgrantees, contractors, and
subcontractors comply with the lobbying requirement. The grantee’s
written procurement procedures should be updated to include the requirement.
The grantee should retain the original certifications of subgrantees and
contractors in its files.
Back to Questions
-
Has the grantee used non-federal funds for lobbying activities?
If yes, have proper disclosures been made and filed with FTA on Standard Form
LLL? Have all disclosures been updated quarterly if needed and so reported?
Explanation
The use of federal funds for lobbying is prohibited. If lobbying services are
procured with non-federal funds, the grantee is required to submit the
disclosure form, Standard Form LLL. Updates to Standard Form LLL are required
for each calendar quarter in which any event occurs that requires disclosure,
or that materially affects the accuracy of the information contained in any
disclosure form previously filed by the entity. Those events may include: 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) attempting to influence such action;
or a change in the officer(s), employee(s), or member(s) contacted to attempt
to influence such action.
Reason for the Question
49 CFR 20
Sources of Information
Standard Form-LLL
and quarterly reports should be in the regional office files. The original
forms and other reports are forwarded to the Regional Counsel quarterly, as
required. This question should be asked at the site visit. Discuss with the
grantee the process for receiving and forwarding the disclosure statements.
Determination
If the grantee did not engage in any lobbying using non-federal funds, the
grantee is not deficient. The grantee is not deficient if lobbying activities
have occurred (using non-federal funds) or if there has been a material change
in the status of the previous disclosure and the grantee has submitted Standard
Form LLL and/or quarterly reports. If any event occurred that should have been
reported, and the grantee did not file Standard Form LLL and a quarterly
report, the grantee is deficient.
Suggested Corrective Action
The grantee must submit the documentation to FTA as required.
Back to Questions
-
Have subgrantees, contractors, and subcontractors who had filed
the certification used non-federal funds for lobbying activities? If yes, have
proper disclosures been made and filed with the grantee on Standard Form LLL?
Have all disclosures been updated quarterly if needed and so reported?
Explanation
Any subgrantee, contractor, and subcontractor in receipt of a grant/contract
exceeding $100,000 is subject to the same disclosure and updating requirements
as the grantee. All certifying entities must ensure that any quarterly
disclosure forms are forwarded to the grantee, which must report to FTA.
Reason for the Question
49 CFR 20
Sources of Information
Standard Form LLL
and quarterly reports for the grantee’s subgrantees, contractors, and
sub-contractors should be in the regional office files. The original forms and
other reports are forwarded to the Regional Counsel quarterly, as required.
Discuss with the grantee the process for receiving and forwarding the
disclosure statements.
Determination
If the grantee’s subgrantees, contractors, and subcontractors did not
engage in any lobbying using non-federal funds, the grantee is not deficient.
The grantee is not deficient if lobbying activities have occurred or if there
has been a material change in the status of the previous disclosure and the
grantee has submitted the Standard Form-LLL and/or quarterly report. If any
event occurred that should have been reported, and the grantee did not file
Standard Form LLL and quarterly report, the grantee is deficient.
Suggested Corrective Action
The grantee must submit the documentation to FTA as required.
Back to Questions
-
Does the grantee have an appropriate process for receiving and
filing the certifications and disclosure statements (Standard Form LLL and
quarterly update)?
Explanation
The grantee should have a process for receiving and filing the certifications
and disclosure forms. This process can be included in procurement procedures.
Reason for the Question
49 CFR 20
Sources of Information
The grantee’s written procurement procedures may include this requirement.
Or, there may be separate procedures established for receiving and filing
lobbying certifications and disclosure statements.
Determination
If the grantee has a process to ensure the receipt of certifications and
disclosure statements and filing them with the FTA, it is not deficient. If it
does not have such a process, the grantee is deficient.
Suggested Corrective Action
The grantee should develop and/or document the process for receiving and filing
lobbying certifications and disclosure statements.
Back to Questions
