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2. Certification Regarding Debarment, Suspension,
<br />Ineligibility and Voluntary Exclusion — First Tier
<br />Participants:
<br />a. The prospective first tier participant certifies to the best of
<br />its knowledge and belief, that it and its principals:
<br />(1) Are not presently debarred, suspended, proposed for
<br />debarment, declared ineligible, or voluntarily excluded from
<br />participating in covered transactions by any Federal
<br />department or agency, 2 CFR 180.335;.
<br />(2) Have not within a three-year period preceding this
<br />proposal been convicted of or had a civil judgment rendered
<br />against them for commission of fraud or a criminal offense in
<br />connection with obtaining, attempting to obtain, or performing
<br />a public (Federal, State, or local) transaction or contract under
<br />a public transaction; violation of Federal or State antitrust
<br />statutes or commission of embezzlement, theft, forgery,
<br />bribery, falsification or destruction of records, making false
<br />statements, or receiving stolen property, 2 CFR 180.800;
<br />(3) Are not presently indicted for or otherwise criminally or
<br />civilly charged by a governmental entity (Federal, State or
<br />local) with commission of any of the offenses enumerated in
<br />paragraph (a)(2) of this certification, 2 CFR 180.700 and
<br />180.800; and
<br />(4) Have not within a three-year period preceding this
<br />application/proposal had one or more public transactions
<br />(Federal, State or local) terminated for cause or default. 2
<br />CFR 180.335(d).
<br />(5) Are not a corporation that has been convicted of a felony
<br />violation under any Federal law within the two-year period
<br />preceding this proposal (USDOT Order 4200.6 implementing
<br />appropriations act requirements); and
<br />(6) Are not a corporation with any unpaid Federal tax liability
<br />that has been assessed, for which all judicial and
<br />administrative remedies have been exhausted, or have lapsed,
<br />and that is not being paid in a timely manner pursuant to an
<br />agreement with the authority responsible for collecting the tax
<br />liability (USDOT Order 4200.6 implementing appropriations act
<br />requirements).
<br />b. Where the prospective participant is unable to certify to
<br />any of the statements in this certification, such prospective
<br />participant should attach an explanation to this proposal. 2
<br />CFR 180.335 and 180.340.
<br />3. Instructions for Certification - Lower Tier Participants:
<br />(Applicable to all subcontracts, purchase orders, and other
<br />lower tier transactions requiring prior FHWA approval or
<br />estimated to cost $25,000 or more - 2 CFR Parts 180 and
<br />1200). 2 CFR 180.220 and 1200.220.
<br />a. By signing and submitting this proposal, the prospective
<br />lower tier participant is providing the certification set out below
<br />b. The certification in this clause is a material representation
<br />of fact upon which reliance was placed when this transaction
<br />was entered into. If it is later determined that the prospective
<br />lower tier participant knowingly rendered an erroneous
<br />certification, in addition to other remedies available to the
<br />Federal Government, the department, or agency with which
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<br />this transaction originated may pursue available remedies,
<br />including suspension and/or debarment.
<br />c. The prospective lower tier participant shall provide
<br />immediate written notice to the person to which this proposal is
<br />submitted if at any time the prospective lower tier participant
<br />learns that its certification was erroneous by reason of
<br />changed circumstances. 2 CFR 180.365.
<br />d. The terms "covered transaction," "debarred,"
<br />"suspended," "ineligible," "participant," "person," "principal,"
<br />and "voluntarily excluded," as used in this clause, are defined
<br />in 2 CFR Parts 180, Subpart 1, 180.900 —180.1020, and 1200.
<br />You may contact the person to which this proposal is
<br />submitted for assistance in obtaining a copy of those
<br />regulations. "First Tier Covered Transactions" refers to any
<br />covered transaction between a recipient or subrecipient of
<br />Federal funds and a participant (such as the prime or general
<br />contract). "Lower Tier Covered Transactions" refers to any
<br />covered transaction under a First Tier Covered Transaction
<br />(such as subcontracts). "First Tier Participant' refers to the
<br />participant who has entered into a covered transaction with a
<br />recipient or subrecipient of Federal funds (such as the prime or
<br />general contractor). "Lower Tier Participant" refers any
<br />participant who has entered into a covered transaction with a
<br />First Tier Participant or other Lower Tier Participants (such as
<br />subcontractors and suppliers).
<br />e. The prospective lower tier participant agrees by
<br />submitting this proposal that, should the proposed covered
<br />transaction be entered into, it shall not knowingly enter into
<br />any lower tier covered transaction with a person who is
<br />debarred, suspended, declared ineligible, or voluntarily
<br />excluded from participation in this covered transaction, unless
<br />authorized by the department or agency with which this
<br />transaction originated. 2 CFR 1200.220 and 1200.332.
<br />f. The prospective lower tier participant further agrees by
<br />submitting this proposal that it will include this clause titled
<br />"Certification Regarding Debarment, Suspension, Ineligibility
<br />and Voluntary Exclusion -Lower Tier Covered Transaction,"
<br />without modification, in all lower tier covered transactions and
<br />in all solicitations for lower tier covered transactions exceeding
<br />the $25,000 threshold. 2 CFR 180.220 and 1200.220.
<br />g. A participant in a covered transaction may rely upon a
<br />certification of a prospective participant in a lower tier covered
<br />transaction that is not debarred, suspended, ineligible, or
<br />voluntarily excluded from the covered transaction, unless it
<br />knows that the certification is erroneous. A participant is
<br />responsible for ensuring that its principals are not suspended,
<br />debarred, or otherwise ineligible to participate in covered
<br />transactions. To verify the eligibility of its principals, as well as
<br />the eligibility of any lower tier prospective participants, each
<br />participant may, but is not required to, check the System for
<br />Award Management website (httos://www.sam.go, which is
<br />compiled by the General Services Administration. 2 CFR
<br />180.300, 180.320, 180.330, and 180.335.
<br />h. Nothing contained in the foregoing shall be construed to
<br />require establishment of a system of records in order to render
<br />in good faith the certification required by this clause. The
<br />knowledge and information of participant is not required to
<br />exceed that which is normally possessed by a prudent person
<br />in the ordinary course of business dealings.
<br />L Except for transactions authorized under paragraph a of
<br />these instructions, if a participant in a covered transaction
<br />knowingly enters into a lower tier covered transaction with a
<br />person who is suspended, debarred, ineligible, or voluntarily
<br />
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