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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.

Certification Regarding Debarment, Suspension,

Ineligibility an Voluntary Exclusion-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. (60 FR 33042, 33059, June 26, 1995)

ment while in operation, State employees in each local unemployment office, performers in concert halls or radio studios).

7. If the workplace identified to the agency changes during the performance of the grant, the grantee shall inform the agency of the change(s), if it previously identified the workplaces in question (see paragraph five).

8. Definitions of terms in the Nonprocurement Suspension and Debarment common rule and Drug-Free Workplace common rule apply to this certification. Grantees' attention is called, in particular, to the following definitions from these rules:

Controlled substance means a controlled substance in Schedules I through V of the Controlled Substances Act (21 U.S.C. 812) and as further defined by regulation (21 CFR 1308.11 through 1308.15);

Conviction means a finding of guilt (including a plea of nolo contendere) or imposition of sentence, or both, by any judicial body charged with the responsibility to determine violations of the Federal or State criminal drug statutes;

Criminal drug statute means a Federal or non-Federal criminal statute involving the manufacture, distribution, dispensing, use, or possession of any controlled substance;

Employee means the employee of a grantee directly engaged in the performance of work under a grant, including: (1) All direct charge employees; (ii) All indirect charge employees unless their impact or involvement is insignificant to the performance of the grant; and, (iii) Temporary personnel and consultants who are directly engaged in the performance of work under the grant and who are on the grantee's payroll. This definition does not include workers not on the payroll of the grantee (e.g., volunteers, even if used to meet a matching requirement; consultants or independent contractors not on the grantee's payroll; or employees of subrecipients or subcontractors in covered workplaces). Certification Regarding Drug-Free Workplace

Requirements

APPENDIX CTO PART 44-CERTIFICATION

REGARDING DRUG-FREE WORKPLACE
REQUIREMENTS

Instructions for Certification 1. By signing and/or submitting this application or grant agreement, the grantee is providing the certification set out below.

2. The certification set out below is a material representation of fact upon which reliance is placed when the agency awards the grant. If it is later determined that the grantee knowingly rendered a false certification, or otherwise violates the requiremnents of the Drug-Free Workplace Act, the agency, in addition to any other remedies available to the Federal Government, may take action authorized under the Drug-Free Workplace Act.

3. For grantees other than individuals, Alternate I applies.

4. For grantees who are individuals, AlterDate II applies.

5. Workplaces under grants, for grantees other than individuals, need not be identified on the certification. If known, they may be identified in the grant application. If the grantee does not identify the workplaces at the time of application, or upon award, if there is no application, the grantee must keep the identity of the workplace(s) on file D its office and make the information available for Federal inspection. Failure to identify all known workplaces constitutes a violation of the grantee's drug-free workplace requirements.

6. Workplace identifications must include the actual address of buildings (or parts of buildings) or other sites where work under the grant takes place. Categorical descriptions may be used (e.g., all vehicles of a mass transit authority or State highway depart

Alternate I. (GRANTEES OTHER THAN

INDIVIDUALS) A. The grantee certifies that it will or will continue to provide a drug-free workplace by:

(a) Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance is prohibited in the grantee's workplace and specifying the actions that will be taken against employees for violation of such prohibition;

(b) Establishing an ongoing drug-free awareness program to inform employees about

(1) The dangers of drug abuse in the workplace;

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Alternate II. (GRANTEES WHO ARE

INDIVIDUALS) (a) The grantee certifies that, as a condition of the grant, he or she will not engage in the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance in conducting any activity with the grant;

(b) If convicted of a criminal drug offense resulting from a violation occurring during the conduct of any grant activity, he or she will report the conviction, in writing, within 10 calendar days of the conviction, to every grant officer or other designee, unless the Federal agency designates a central point for the receipt of such notices. When notice is made to such a central point, it shall include the identification number(s) of each affected grant. [55 FR 21690, 21700, May 25, 1990)

PART 45-NEW RESTRICTIONS ON

LOBBYING

Subpart A-General

(2) The grantee's policy of maintaining a drug-free workplace;

(3) Any available drug counseling, rehabilitation, and employee assistance programs; and

(4) The penalties that may be imposed upon employees for drug abuse violations occurring in the workplace;

(C) Making it a requirement that each employee to be engaged in the performance of the grant be given a copy of the statement required by paragraph (a);

(d) Notifying the employee in the statement required by paragraph (a) that, as a condition of employment under the grant, the employee will

(1) Abide by the terms of the statement; and

(2) Notify the employer in writing of his or her conviction for a violation of a criminal drug statute occurring in the workplace no later than five calendar days after such conviction;

(e) Notifying the agency in writing, within ten calendar days after receiving notice under paragraph (d)(2) from an employee or otherwise receiving actual notice of such conviction. Employers of convicted employees must provide notice, including position title, to every grant officer or other designee on whose grant activity the convicted employee was working, unless the Federal agency has designated a central point for the receipt of such notices. Notice shall include the identification number(s) of each affected grant;

(f) Taking one of the following actions, within 30 calendar days of receiving notice under paragraph (d)(2), with respect to any employee who is so convicted

(1) Taking appropriate personnel action against such an employee, up to and including termination, consistent with the requirements of the Rehabilitation Act of 1973, as amended; or

(2) Requiring such 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 agenсу;

(8) Making a good faith effort to continue to maintain a drug-free workplace through implementation of paragraphs (a), (b), (c), (d), (e) and (f).

B. The grantee may insert in the space provided below the site(s) for the performance of work done in connection with the specific grant: Place of Performance (Street address, city,

county, state, zip code)

Sec. 45.100 Conditions on use of funds. 45.105 Definitions. 45.110 Certification and disclosure.

Subpart B-Activities by Own Employees 45.200 Agency and legislative liaison. 45.205 Professional and technical services. 45.210 Reporting. Subpart C-Activities by Other Than Own

Employees 45.300 Professional and technical services.

Subpart D—Penalties and Enforcement 45.400 Penalties. 45.405 Penalty procedures. 45.410 Enforcement.

Subpart E-Exemptions 45.500 Secretary of Defense.

Subpart F-Agency Reports 45.600 Semi-annual compilation. 45.605 Inspector General report. APPENDIX A TO PART 45-CERTIFICATION RE

GARDING LOBBYING APPENDIX B TO PART 45-DISCLOSURE FORN

TO REPORT LOBBYING AUTHORITY: Section 319, Pub. L. 101-121 (3 U.S.C. 1352); 38 U.S.C. 501.

CROSS REFERENCE: See also Office of Man agement and Budget notice published at 5 FR 52306, December 20, 1989.

Check if there are workplaces on file that are not identified here.

SOURCE: 55 FR 6737, 6752, Feb. 26, 1990, un (e) Each person who requests or reless otherwise noted.

ceives from an agency a commitment

providing for the United States to inSubpart A-General

sure or guarantee a loan shall file with

that agency a disclosure form, set forth $ 45.100 Conditions on use of funds.

in appendix B, if that person has made (a) No appropriated funds may be ex or has agreed to make any payment to pended by the recipient of a Federal influence or attempt to influence an ofcontract, grant, loan, or cooperative ficer or employee of any agency, a ageement to pay any person for influ- Member of Congress, an officer or emencing or attempting to influence an ployee of Congress, or an employee of a officer or employee of any agency, a Member of Congress in connection with Member of Congress, an officer or em- that loan insurance or guarantee. ployee of Congress, or an employee of a Member of Congress in connection with $45.105 Definitions. any of the following covered Federal

For purposes of this part: actions: the awarding of any Federal

(a) Agency, as defined in 5 U.S.C. contract, the making of any Federal

552(f), includes Federal executive degrant, the making of any Federal loan,

partments and agencies as well as indethe entering into of any cooperative

pendent regulatory commissions and agreement, and the extension, continuation, renewal, amendment, or modi

Government corporations, as defined in fication of any Federal contract, grant,

31 U.S.C. 9101(1). loan, or cooperative agreement.

(b) Covered Federal action means any (b) Each person who requests or re

of the following Federal actions: ceives from an agency a Federal con

(1) The awarding of any Federal contract, grant, loan, or cooperative agreement shall file with that agency a (2) The making of any Federal grant; certification, set forth in appendix A, (3) The making of any Federal loan; that the person has not made, and will (4) The entering into of any cooperanot make, any payment prohibited by tive agreement; and, paragraph (a) of this section.

(5) The extension, continuation, re(c) Each person who requests or re- newal, amendment, or modification of ceives from an agency a Federal con any Federal contract, grant, loan, or tract, grant, loan, or a cooperative cooperative agreement. agreement shall file with that agency a

Covered Federal action does not indisclosure form, set forth in appendix

clude receiving from an agency a comB, if such person has made or has

mitment providing for the United agreed to make any payment using

States to insure or guarantee a loan. nonappropriated funds (to include prof

Loan guarantees and loan insurance its from any covered Federal action), which would be prohibited under para

are addressed independently within graph (a) of this section if paid for with

this part. appropriated funds.

(c) Federal contract means an acquisi(d) Each person who requests or re

tion contract awarded by an agency, ceives from an agency a commitment including those subject to the Federal providing for the United States to in- Acquisition Regulation (FAR), and any sure or guarantee a loan shall file with other acquisition contract for real or that agency a statement, set forth in personal property or services not subappendix A, whether that person has ject to the FAR. made or has agreed to make any pay. (d) Federal cooperative agreement ment to influence or attempt to influ- means a cooperative agreement enence an officer or employee of any tered into by an agency. agency, a Member of Congress, an offi (e) Federal grant means an award of cer or employee of Congress, or an em- financial assistance in the form of ployee of a Member of Congress in con- money, or property in lieu of money, nection with that loan insurance or by the Federal Government or a direct guarantee.

appropriation made by law to any per- (1) Person means an individual, corson. The term does not include tech- poration, company, association, aunical assistance which provides serv- thority, firm, partnership, society, ices instead of money, or other assist- State, and local government, regardance in the form of revenue sharing, less of whether such entity is operated loans, loan guarantees, loan insurance, for profit or not for profit. This term interest subsidies, insurance, or direct excludes an Indian tribe, tribal organiUnited States cash assistance to an in zation, or any other Indian organizadividual.

tion with respect to expenditures spe(f) Federal loan means a loan made by cifically permitted by other Federal an agency. The term does not include law. loan guarantee or loan insurance.

(m) Reasonable compensation means, (g) Indian tribe and tribal organization with respect to a regularly employed have the meaning provided in section 4 officer or employee of any person, comof the Indian Self-Determination and pensation that is consistent with the Education Assistance Act (25 U.S.C. normal compensation for such officer 450B). Alaskan Natives are included or employee for work that is not furunder the definitions of Indian tribes in nished to, not funded by, or not furthat Act.

nished in cooperation with the Federal (h) Influencing or attempting to influ Government. ence means making, with the intent to (n) Reasonable payment means, with influence, any communication to or ap- respect to perfessional and other techpearance before an officer or employee nical services, a payment in an amount or any agency, a Member of Congress, that is consistent with the amount noran officer or employee of Congress, or mally paid for such services in the prian employee of a Member of Congress in connection with any covered Federal (0) Recipient includes all contractors, action.

subcontractors at any tier, and sub(i) Loan guarantee and loan insurance grantees at any tier of the recipient of means an agency's guarantee or insur funds received in connection with a ance of a loan made by a person.

Federal contract, grant, loan, or coop(j) Local government means a unit of erative agreement. The term excludes government in a State and, if char an Indian tribe, tribal organization, or tered, established, or otherwise recog any other Indian organization with renized by a State for the performance of spect to expenditures specifically pera governmental duty, including a local mitted by other Federal law. public authority, a special district, an

(p) Regularly employed means, with intrastate district, a council of govern

respect to an officer or employee of a ments, a sponsor group representative

person requesting or receiving a Fedorganization, and any other instrumen

eral contract, grant, loan, or cooperatality of a local government.

tive agreement or a commitment pro(k) Officer or employee of an agency in viding for the United States to insure cludes the following individuals who

or guarantee a loan, an officer or emare employed by an agency:

ployee who is employed by such person (1) An individual who is appointed to for at least 130 working days within a position in the Government under

one year immediately preceding the title 5, U.S.C., including a position date of the submission that initiates under a temporary appointment;

agency consideration of such person for (2) A member of the uniformed serv receipt of such contract, grant, loan, ices as defined in section 101(3), title 37, cooperative agreement, loan insurance U.S.C.;

commitment, or loan guarantee com(3) A special Government employee mitment. An officer or employee who is as defined in section 202, title 18, employed by such person for less than U.S.C.; and,

130 working days within one year im(4) An individual who is a member of mediately preceding the date of the a Federal advisory Committee, as de submission that initiates agency confined by the Federal Advisory Com- sideration of such person shall be conmittee Act, title 5, U.S.C., appendix 2. sidered to be regularly employed as

soon as he or she is employed by such person for 130 working days.

(q) State means a State of the United States, the District of Columbia, the Commonwealth of Puerto Rico, a territory or possession of the United States, an agency or instrumentality of a State, and a multi-State, regional, or interstate entity having governmental duties and powers. $ 45.110 Certification and disclosure.

(a) Each person shall file a certification, and a disclosure form, if required, with each submission that initiates agency consideration of such person for:

(1) Award of a Federal contract, grant, or cooperative agreement exceeding $100,000; or

(2) An award of a Federal loan or a commitment providing for the United States to insure or guarantee a loan exceeding $150,000.

(b) Each person shall file a certification, and a disclosure form, if required, upon receipt by such person of:

(1) A Federal contract, grant, or cooperative agreement exceeding $100,000; or

(2) A Federal loan or a commitment providing for the United States to insure or guarantee a loan exceeding $150,000, Unless such person previously filed a certification, and a disclosure form, if required, under paragraph (a) of this section.

(c) Each person shall file a disclosure form at the end of each calendar quarter in which there occurs any event that requires disclosure or that materially affects the accuracy of the information contained in any disclosure form previously filed by such person under paragraphs (a) or (b) of this section. An event that materially affects the accuracy of the information reported includes:

(1) 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; or

(2) A change in the person(s) or individual(s) influencing or attempting to influence a covered Federal action; or,

(3) A change in the officer(s), employee(s), or Member(s) contacted to

influence or attempt to influence a covered Federal action.

(d) Any person who requests or receives from a person referred to in paragraphs (a) or (b) of this section:

(1) A subcontract exceeding $100,000 at any tier under a Federal contract;

(2) A subgrant, contract, or subcontract exceeding $100,000 at any tier under a Federal grant;

(3) A contract or subcontract exceeding $100,000 at any tier under a Federal loan exceeding $150,000; or,

(4) A contract or subcontract exceeding $100,000 at any tier under a Federal cooperative agreement, Shall file a certification, and a disclosure form, if required, to the next tier above.

(e) All disclosure forms, but not certifications, shall be forwarded from tier to tier until received by the person referred to in paragraphs (a) or (b) of this section. That person shall forward all disclosure forms to the agency.

(f) Any certification or disclosure form filed under paragraph (e) of this section shall be treated as a material representation of fact upon which all receiving tiers shall rely. All liability arising from an erroneous representation shall be borne solely by the tier filing that representation and shall not be shared by any tier to which the erroneous representation is forwarded. Submitting an erroneous certification or disclosure constitutes a failure to file the required certification or disclosure, respectively. If a person fails to file a required certification or disclosure, the United States may pursue all available remedies, including those authorized by section 1352, title 31, U.S.C.

(g) For awards and commitments in process prior to December 23, 1989, but not made before that date, certifications shall be required at award or commitment, covering activities OCcurring between December 23, 1989, and the date of award or commitment. However, for awards and commitments in process prior to the December 23, 1989 effective date of these provisions, but not made before December 23, 1989, disclosure forms shall not be required at time of award or commitment but shall be filed within 30 days.

(h) No reporting is required for an activity paid for with appropriated funds

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