This form is available electronically. Form Approved – OMB No. 0505-0027 

Expiration Date: 04/30/2022 

Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion AD-1048

Lower Tier Covered Transactions 

The following statement is made in accordance with the Privacy Act of 1974 (5 U.S.C. § 552a, as amended). This certification is required by the regulations 

implementing Executive Order 12549, Debarment and Suspension, and 2 C.F.R. §§ 180.300, 180.335, Participants' responsibilities. The regulations were 

amended and published on August 31, 2005, in 70 Fed. Reg. 51865-51880. Copies of the regulations may be obtained by contacting the Department of 

Agriculture agency offering the proposed covered transaction. 

According to the Paperwork Reduction Act of 1995 an agency may not conduct or sponsor, and a person is not required to respond to a collection of 

information unless it displays a valid OMB control number. The valid OMB control number for this information collection is 0505-0027. The time required to 

complete this information collection is estimated to average 15 minutes per response, including the time for reviewing instructions, searching existing data 

sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. The provisions of appropriate criminal and 

civil fraud privacy, and other statutes may be applicable to the information provided. 

(Read instructions on page two before completing certification.) 

A. 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; 

B. 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. 

ORGANIZATION NAME PR/AWARD NUMBER OR PROJECT NAME 

NAME(S) AND TITLE(S) OF AUTHORIZED REPRESENTATIVE(S) 

SIGNATURE(S) DATE 

In accordance with Federal civil rights law and U.S. Department of Agriculture (USDA) civil rights regulations and policies, the USDA, its agencies, offices, and employees, and 

institutions participating in or administering USDA programs are prohibited from discriminating based on race, color, national origin, religion, sex, gender identity (including gender 

expression), sexual orientation, disability, age, marital status, family/parental status, income derived from a public assistance program, political beliefs, or reprisal or retaliation for prior 

civil rights activity, in any program or activity conducted or funded by USDA (not all bases apply to all programs). Remedies and complaint filing deadlines vary by program or 

incident. 

Persons with disabilities who require alternative means of communication for program information (e.g., Braille, large print, audiotape, American Sign Language, etc.) should contact 

the responsible agency or USDA's TARGET Center at (202) 720-2600 (voice and TTY) or contact USDA through the Federal Relay Service at (800) 877-8339. Additionally, program 

information may be made available in languages other than English. 

To file a program discrimination complaint, complete the USDA Program Discrimination Complaint Form, AD-3027, found online at How to File a Program Discrimination Complaint 

(https://www.ascr.usda.gov/filing-program-discrimination-complaint-usda-customer) and at any USDA office or write a letter addressed to USDA and provide in the letter all of the 

information requested in the form. To request a copy of the complaint form, call (866) 632-9992. Submit your completed form or letter to USDA by: (1) mail: U.S. Department of 

Agriculture, Office of the Assistant Secretary for Civil Rights, 1400 Independence Avenue, SW, Washington, D.C. 20250-9410; (2) fax: (202) 690-7442. 
 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Instructions for Certification 

(1) By signing and submitting this form, the prospective lower tier participant is providing the certification set out on page 1 in 

accordance with these instructions. 

(2) The certification in this clause is a material representation of fact upon which reliance was placed when this transaction was 

entered into. If it is later determined that the prospective lower tier participant knowingly rendered an erroneous certification, in 

addition to other remedies available to the Federal Government, the department or agency with which this transaction originated 

may pursue available remedies, including suspension or debarment. 

(3) The prospective lower tier participant shall provide immediate written notice to the person(s) to which this proposal is submitted if 

at any time the prospective lower tier participant learns that its certification was erroneous when submitted or has become 

erroneous by reason of changed circumstances. 

(4) The terms "covered transaction," "debarred," "suspended," "ineligible," "lower tier covered transaction," "participant," "person," 

"primary covered transaction," "principal," "proposal," and "voluntarily excluded," as used in this clause, have the meanings set out 

in the Definitions and Coverage sections of the rules implementing Executive Order 12549, at 2 C.F.R. Parts 180 and 417. You 

may contact the department or agency to which this proposal is being submitted for assistance in obtaining a copy of those 

regulations. 

(5) The prospective lower tier participant agrees by submitting this form that, should the proposed covered transaction be entered into, 

it shall not knowingly enter into any lower tier covered transaction with a person who is debarred, suspended, declared ineligible, 

or voluntarily excluded from participation in this covered transaction, unless authorized by the department or agency with which 

this transaction originated. 

(6) The prospective lower tier participant further agrees by submitting this form that it will include this clause titled "Certification 

Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion - Lower Tier Covered Transactions," without 

modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions. 

(7) A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction 

that is not debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the 

certification is erroneous. A participant may decide the method and frequency by which it determines the eligibility of its 

principals. Each participant may, but is not required to, check the System for Award Management (SAM) database. 

(8) Nothing contained in the foregoing shall be construed to require establishment of a system of records to render in good faith the 

certification required by this clause. The knowledge and information of a participant is not required to exceed that which is 

normally possessed by a prudent person in the ordinary course of business dealings. 

(9) Except for transactions authorized under paragraph (5) of these instructions, if a 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 other remedies available to the Federal Government, the department or agency with 

which this transaction originated may pursue available remedies, including suspension and/or debarment. 

Form AD-1048 (REV 12/18) 

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