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from a Federal agency (except another Federal agency);

(9) Individual means a natural person;

(10) State means any of the States of the United States, the District of Columbia, the Commonwealth of Puerto Rico, any territory Or possession of the United States, or any agency of a State, exclusive of institutions of higher education, hospitals, and units of local government. A State instrumentality will be considered part of the State government if it has a written determination from a State government that such State considers the instrumentality to be an agency of the State government.

$26.610 Coverage.

(a) This subpart applies to any grantee Of the agency.

(b) This subpart applies to any grant, except where application of this Subpart would be inconsistent with the international obligations of the United States or the laws or regulations of a foreign government. A determination of such inconsistency may be made only by the agency head or his/her designee.

(c) The provisions of subparts A, B, C, D and E of this part apply to matters Covered by this subpart, except where specifically modified by this subpart. In the event of any conflict between provisions of this subpart and other provisions of this part, the provisions of this subpart are deemed to control with respect to the implementation of drug-free workplace requirements conCerning grantS.

$26.615 Grounds for suspension of payments, suspension or termination of grants, or suspension or debarment.

A grantee shall be deemed in violation of the requirements of this subpart if the agency head or his or her of ficial designee determines, in Writing, that— (a) The grantee has made a false Certification under $26.630; (b) With respect to a grantee other than an individual— (1) The grantee has violated the certification by failing to carry out the requirements of paragraphs (A)(a)-(g)

and/or (B) of the certification (Alternate I to Appendix C) or (2) Such a number of employees of the grantee have been convicted of violations of criminal drug statutes for violations occurring in the workplace as to indicate that the grantee has failed to make a good faith effort to provide a drug-free workplace. (c) With respect to a grantee who is an individual— (1) The grantee has violated the certification by failing to Carry Out its requirements (Alternate II to Appendix C); or (2) The grantee is convicted of a criminal drug offense resulting from a violation occurring during the conduct of any grant activity.

$26.620 Effect of violation.

(a) In the event of a violation of this subpart as provided in $26.615, and in accordance with applicable law, the grantee shall be subject to One or more of the following actions:

(1) Suspension of payments under the grant;

(2) Suspension or termination of the grant; and

(3) Suspension or debarment of the grantee under the provisions of this part.

(b) Upon issuance of any final decision under this part requiring debarment of a grantee, the debarred grantee shall be ineligible for award of any grant from any Federal agency for a period specified in the decision, not to exceed five years (see $26.320(a)(2) of this part).

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the Federal agency providing the grant, as provided in Appendix C to this part. (2) Grantees are not required to make a certification in order to continue receiving funds under a grant awarded before March 18, 1989, or under a nocost time extension of such a grant. However, the grantee shall make a onetime drug-free workplace certification for a non-automatic continuation of such a grant made on or after March 18, 1989. (b) Except as provided in this section, all grantees shall make the required certification for each grant. For mandatory formula grants and entitlements that have no application proCess, grantees shall submit a One-time Certification in Order to Continue receiving awards. (c) A grantee that is a State may elect to make One certification in each Federal fiscal year. States that previously submitted an annual Certification are not required to make a Certification for Fiscal Year 1990 until June 30, 1990. Except as provided in paragraph (d) of this section, this Certification shall cover all grants to all State agencies from any Federal agency. The State shall retain the original Of this Statewide Certification in its Governor’s Office and, prior to grant, award, shall ensure that a copy is Submitted individually with respect to each grant, unless the Federal agency has designated a central location for Submission. (1) The Office of Federal Assistance serves as the central location for Submission of State and State agency Certifications. Certifications should be sent to: Director, Office of Federal ASSistance, HCHB Room 6204, Washington, DC 20230. (2) [Reserved] (d)(1) The Governor of a State may exclude Certain State agencies from the Statewide Certification and authorize these agencies to submit their own certifications to Federal agencies. The Statewide certification shall name any State agencies so excluded. (2) A State agency to which the Statewide certification does not apply, or a State agency in a State that does not have a statewide Certification, may elect to make One certification in each

Federal fiscal year. State agencies that previously Submitted a State agency Certification are not required to make a Certification for Fiscal Year 1990 until June 30, 1990. The State agency Shall retain the original of this State agency-wide Certification in its central Office and, prior to grant award, shall ensure that a copy is submitted individually with respect to each grant, unless the Federal agency designates a Central location for Submission.

(i) The Office of Federal Assistance serves as the Central location for submission of State and State agency Certifications. Certifications should be sent to: Director, Office of Federal Assistance, HCHB Room 6204, Washington, DC 20230.

(ii) [Reserved]

(3) When the work of a grant is done by more than One State agency, the Certification of the State agency directly receiving the grant shall be deemed to Certify Compliance for all workplaces, including those located in Other State agencies.

(e)(1) For a grant of less than 30 days performance duration, grantees shall have this policy Statement and program in place as soon as possible, but in any Case by a date prior to the date On which performance is expected to be Completed.

(2) For a grant of 30 days or more performance duration, grantees shall have this policy statement and program in place within 30 days after award.

(3) Where extraordinary Circumstances warrant for a specific grant, the grant officer may determine a different date On which the policy statement and program shall be in place.

[55 FR 21688, 21693, May 25, 1990]

$26.635 Reporting of and employee sanctions for convictions of criminal drug offenses.

(a) When a grantee other than an individual is notified that an employee has been convicted for a violation of a criminal drug statute Occurring in the workplace, it shall take the following actions:

(1) Within 10 calendar days of receiving notice of the conviction, the grantee shall provide written notice, including the convicted employee's position title, to every grant officer, or other designee on whose grant activity the convicted employee Was Working, unless a Federal agency has designated a central point for the receipt of Such notifications. Notification shall include the identification number(s) for each of the Federal agency’s affected grants. (i) The Office of Federal Assistance Serves as the central location for submission of notices Of Conviction. NOtices should be sent to: Director, Office of Federal Assistance, HCHB Room 6204, Washington, DC 20230. (2) Within 30 calendar days of receiving notice of the conviction, the grantee shall do the following with respect to the employee who was convicted. (i) Take appropriate personnel action against the employee, up to and including termination, consistent with requirements of the Rehabilitation Act of 1973, as amended; Or (ii) Require the 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 agency. (b) A grantee who is an individual who is convicted for a violation of a criminal drug statute OCCurring during the conduct of any grant activity shall report the conviction, in writing, within 10 Calendar days, to his Or her Federal agency grant officer, or other designee, unless the Federal agency has designated a central point for the receipt of such notices. Notification shall include the identification number(s) for each of the Federal agency’s affected grants. (1) The Office of Federal Assistance serves as the central location for Submission of notices of Conviction. NOtices should be sent to: Director, Office of Federal ASSistance, HCHB ROOm 6204, Washington, DC 20230. (2) [Reserved]

(Approved by the Office of Management and Budget under control number 0991—0002)

[55 FR 21688, 21693, May 25, 1990]

APPENDIX A TO PART 26–CERTIFICATION REGARDING DEBARMENT, SUSPENSION, AND OTHER RESPONSIBILITY MATTERS–PRIMARY COVERED TRANSACTIONS

Instructions for Certification

1. By Signing and Submitting this proposal, the proSpective primary participant is providing the certification Set out below. 2. The inability of a person to provide the certification required below will not neceSSarily result in denial of participation in this covered transaction. The prospective participant Shall Submit an explanation of why it cannot provide the Certification Set out below. The certification or explanation will be considered in connection with the department Or agency’s determination whether to enter into this transaction. However, failure of the prospective primary participant to furnish a Certification or an explanation shall disqualify such person from participation in this transaction. 3. The Certification in this clause is a material representation of fact upon which reliance was placed when the department or agency determined to enter into this transaction. If it is later determined that the proSpective primary participant knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the department or agency may terminate this transaction for Cause or default. 4. The prospective primary participant Shall provide immediate written notice to the department or agency to which this proposal is Submitted if at any time the proSpective primary participant learns that its Certification was erroneous when Submitted or has become erroneous by reason of Changed circumstances. 5. The terms covered transaction, debarred, Suspended, ineligible, lower tier covered transaction, participant, person, primary covered transaction, principal, proposal, and volumtarily ercluded, as used in this clause, have the meaningS Set out in the Definitions and Coverage sections of the rules inplementing Executive Order 12549. You may contact the department or agency to which this proposal is being Submitted for assistance in obtaining a copy of those regulations. 6. The prospective primary participant agrees by Submitting this proposal 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 proposed for debarment under 48 CFR part 9, Subpart 9.4, debarred, Suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the department or agency entering into this transaction. 7. The prospective primary participant further agrees by Submitting this proposal that it will include the clause titled “Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion-Lower Tier Covered Transaction,” provided by the department or agency entering into this COVered transaction, without modification, in all lower tier Covered transactions and in all Solicitations for lower tier Covered transactionS. 8. A participant in a Covered transaction may rely upon a Certification of a prospective participant in a lower tier covered transaction that it is not proposed for debarment under 48 CFR part 9, Subpart 9.4, 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 List of Parties Excluded from Federal Procurement, and Nonprocurement Program S. 9. Nothing contained in the foregoing Shall be construed to require establishment of a System of records in order 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. 10. Except for transactions authorized under paragraph 6 of these instructions, if a. participant in a covered transaction knowingly enters into a lower tier Covered transaction with a person who is proposed for debarment under 48 CFR part 9, Subpart 9.4, 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 may terminate this transaction for cause or default.

Certification Regarding Debarment, Suspension, and Other Responsibility Matters—Primary Covered Transactions

(1) The prospective primary participant Certifies to the best of its knowledge and belief, that it and its principals:

(a) Are not presently debarred, Suspended, proposed for debarment, declared ineligible, or voluntarily excluded by any Federal department Or agency;

(b) Have not within a three-year period preceding this proposal been convicted of 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 State antitrust statutes or commission of embezzlement, theft, forgery, bribery, falSification or destruction of records, making false Statements, or receiving stolen property;

(C) Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, State or local) with Commission of any of the offenses enumerated in paragraph (1)(b) of this certifiCation; and

(d) Have not within a three-year period preceding this application/proposal had one or more public transactions (Federal, State or local) terminated for Cause or default.

(2) Where the prospective primary 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, 33044, June 26, 1995]

APPENDIX B TO PART 26—CERTIFICATION REGARDING DEBARMENT, SUSPENSION, INELIGIBILITY AND VOLUNTARY EXCLUSION–LOWER TIER COVERED TRANSACTIONS

Instructions for Certification

1. By Signing and Submitting this proposal, the prospective lower tier participant is providing the Certification Set Out below. 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 and/or debarment. 3. The prospective lower tier participant shall provide inmediate written notice to the person to which this proposal is Submitted if at any time the prospective lower tier participant learns that its certification was erroneous when Submitted or had become erroneous by rea,Son of changed Circumstances. 4. The terms covered transaction, debarred, suspended, imeligible, lower tier covered transaction, participant, person, primary Covered transaction, principal, proposal, and volumtarily ercluded, as used in this clause, have the meaning set out in the Definitions and Coverage sections of rules inplementing Executive Order 12549. You may contact the person to which this proposal is Submitted for assistance in obtaining a copy of those regulations. 5. The prospective lower tier participant agrees by submitting this proposal 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 proposed for debarment under 48 CFR part 9, Subpart 9.4, 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 proposal that it will include this clause titled “Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion-Lower Tier Covered Transaction,” 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 it is not proposed for debarment under 48 CFR part 9, Subpart 9.4, debarred, suspended, ineligible, or voluntarily excluded from covered transactions, 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 List of Parties Excluded from Federal Procurement and Nonprocurement Programs. 8. Nothing contained in the foregoing shall be construed to require establishment of a System of records in order 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 proposed for debarment under 48 CFR part 9, Subpart 9.4, 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.

Certification Regarding Debarment, Suspension, Ineligibility an Voluntary Erclusion—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, 33044, June 26, 1995]

APPENDIX C TO PART 26–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 requirements 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, Alternate 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 in 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 department 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

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