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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 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, 33056, June 26, 1995)

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 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: (i) All direct charge employees; (ii) All indirect charge employees unless their impact or involvement is insignificant to the performance of the grant;

APPENDIX CTO PART 85–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

and, (iii) Temporary personnel and consult ants 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

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;

(g) 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)

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

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;

(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

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, 21699, May 25, 1990)

PART 86—DRUG AND ALCOHOL

ABUSE PREVENTION

Subpart A-General

Sec. 86.1 What is the purpose of the Drug and Al

cohol Abuse Prevention regulations? 86.2 What Federal programs are covered by

this part?

86.3 What actions shall an IHE take to com 86.409 What are the procedures for conply with the requirements of this part?

ducting a hearing on the record? 86.4 What are the procedures for submitting 86.410 What are the procedures for issuance

a drug prevention program certification? of a decision? 86.5 What are the consequences if an IHE 86.411 What are the procedures for request

fails to submit a drug prevention pro ing reinstatement of eligibility?

gram certification? 86.6 When must an IHE submit a drug pre

AUTHORITY: 20 U.S.C. 1145g, unless other

wise noted. vention program certification? 86.7 What definitions apply to this part? SOURCE: 55 FR 33581, Aug. 16, 1990, unless

otherwise noted. Subpart B-Institutions of Higher Education 86.100 What must the IHE's drug prevention

Subpart A-General program include? 86.101 What review of IHE drug prevention

886.1 What is the purpose of the Drug programs does the Secretary conduct?

and Alcohol Abuse Prevention regu86.102 What is required of an IHE that the

lations? Secretary selects for annual review?

The purpose of the Drug and Alcohol 86.103 What records and information must

Abuse Prevention regulations is to iman IHE make available to the Secretary

plement section 22 of the Drug-Free and the public concerning its drug prevention program?

Schools and Communities Act Amend

ments of 1989, which added section 1213 Subpart C [Reserved)

to the Higher Education Act. These

amendments require that, as a condiSubpart D-Responses and Sanctions tion of receiving funds or any other

Issued or Imposed by the Secretary for form of financial assistance under any Violations by an IHE

Federal program, an institution of 86.300 What constitutes a violation of this

higher education (IHE) must certify part by an IHE?

that it has adopted and implemented a 86.301 What actions may the Secretary take drug prevention program as described if an IHE violates this part?

in this part. 86.302 What are the procedures used by the

(Authority: 20 U.S.C. 1145g) Secretary for providing information or technical assistance?

(61 FR 66225, Dec. 17, 1996) 86.303 What are the procedures used by the

Secretary for issuing a response other $86.2 What Federal programs are covo than the formulation of a compliance ered by this part? agreement or the provision of informa

The Federal programs covered by tion or technical assistance? 86.304 What are the procedures used by the

this part include Secretary to demand repayment of Fed

(a) All programs administered by the eral financial assistance or terminate an Department of Education under which IHE's eligibility for any or all forms of an IHE may receive funds or any other Federal financial assistance?

form of Federal financial assistance;

and Subpart E-Appeal Procedures

(b) All programs administered by any 86.400 What is the scope of this subpart?

other Federal agency under which an 86.401 What are the authority and responsi

IHE may receive funds or any other bility of the ALJ?

form of Federal financial assistance. 86.402 Who may be a party in a hearing under this subpart?

(Authority: 20 U.S.C. 1145g) 86.403 May a party be represented by coun (55 FR 33581, Aug. 16, 1990, as amended at 61 sel?

FR 66225, Dec. 17, 1996) 86.404 How may a party communicate with an ALJ?

$ 86.3 What actions shall an IHE take 86.405 What are the requirements for filing to comply with the requirements of written submissions?

this part? 86.406 What must the ALJ do if the parties enter settlement negotiations?

(a) An IHE shall adopt and imple86.407 What are the procedures for sched

ment a drug prevention program as deuling a hearing?

scribed in $ 86.100 to prevent the unlaw86.408 What are the procedures for con ful possession, use, or distribution of ilducting a pre-hearing conference?

licit drugs and alcohol by all students

and employees on school premises or as lishes that it has a need, other than adpart of any of its activities.

ministrative convenience, for more (b) An IHE shall provide a written time to adopt and implement its drug certification that it has adopted and prevention program. implemented the drug prevention pro (2) An IHE that wants to receive an gram described in $ 86.100.

extension of time to submit its drug (Approved by the Office of Management and

prevention program certification shall Budget under control number 1880-0522)

submit a written justification to the (Authority: 20 U.S.C. 1145g)

Secretary that

(i) Describes each part of its drug (55 FR 33581, Aug. 16, 1990, as amended at 61

prevention program, whether in effect FR 66225, 66226, Dec. 17, 1996)

or planned; $ 86.4 What are the procedures for sub

(ii) Provides a schedule to complete mitting a drug prevention program and implement its drug prevention procertification?

gram; and An IHE shall submit to the Secretary (iii) Explains why it has a need, other the drug prevention program certifi than administrative convenience, for cation required by $ 86.3(b).

more time to adopt and implement its

drug prevention program. (Approved by the Office of Management and Budget under control number 1880-0522)

(3) An IHE shall submit a request for

an extension to the Secretary. (Authority: 20 U.S.C. 1145g)

(Approved by the Office of Management and (55 FR 33581, Aug. 16, 1990, as amended at 61

Budget under control number 1880-0522) FR 66226, Dec. 17, 1996)

(Authority: 20 U.S.C. 1145g) $ 86.5 What are the consequences if an THE fails to submit a drug preven

(55 FR 33581, Aug. 16, 1990, as amended at 61 tion program certification?

FR 66226, Dec. 17, 1996) (a) An IHE that fails to submit a drug

$ 86.7 What definitions apply to this prevention program certification is not

part? eligible to receive funds or any other form of financial assistance under any

(a) Definitions in EDGAR. The folFederal program.

lowing terms used in this part are de(b) The effect of loss of eligibility to fined in 34 CFR part 77: receive funds or any other form of Fed- Department eral financial assistance is determined EDGAR by the statute and regulations gov- Secretary erning the Federal programs under (b) Other definitions. The following which an IHE receives or desires to re terms used in this part are defined as ceive assistance.

follows: (Authority: 20 U.S.C. 1145g)

Compliance agreement means an agree

ment between the Secretary and an [55 FR 33581, Aug. 16, 1990, as amended at 61

IHE that is not in full compliance with FR 66225, Dec. 17, 1996]

its drug prevention program certifi8 86.6 When must an IHE submit a cation. The agreement specifies the

drug prevention program certifi steps the IHE will take to comply fully cation?

with its drug prevention program cer(a) After October 1, 1990, except as

tification, and provides a schedule for provided in paragraph (b) of this sec

the accomplishment of those steps. A tion, an IHE is not eligible to receive

compliance agreement does not excuse funds or any other form of financial as

or remedy past violations of this part. sistance under any Federal program

Institution of higher education meansuntil the IHE has submitted a drug pre

(1) An institution of higher eduvention program certification.

cation, as defined in 34 CFR 600.4; (b)(1) The Secretary may allow an (2) A proprietary institution of highIHE until not later than April 1, 1991, er education, as defined in 34 CFR 600.5; to submit the drug prevention program (3) A postsecondary vocational insticertification, only if the IHE estab tution, as defined in 34 CFR 600.6; and

(4) A vocational school, as defined in 34 CFR 600.7. (Authority: 20 U.S.C. 1145g) [55 FR 33581, Aug. 16, 1990, as amended at 61 FR 66226, Dec. 17, 1996)

Subpart B-Institutions of Higher

Education

(2) Ensure that the disciplinary sanctions described in paragraph (a)(5) of this section are consistently enforced. (Approved by the Office of Management and Budget under control number 1880-0522) (Authority: 20 U.S.C. 1145g) $ 86.101 What review of IHE drug pre

vention programs does the Sec.

retary conduct? The Secretary annually reviews a representative sample of IHE drug prevention programs. (Authority: 20 U.S.C. 1145g)

886.100 What must the IHE's drug pre

vention program include? The IHE's drug prevention program must, at a minimum, include the following:

(a) The annual distribution in writing to each employee, and to each student who is taking one or more classes for any type of academic credit except for continuing education units, regardless of the length of the student's program of study, of,

(1) Standards of conduct that clearly prohibit, at a minimum, the unlawful possession, use, or distribution of illicit drugs and alcohol by students and employees on its property or as part of any of its activities;

(2) A description of the applicable legal sanctions under local, State, or Federal law for the unlawful possession or distribution of illicit drugs and alcohol;

(3) A description of the health risks associated with the use of illicit drugs and the abuse of alcohol;

(4) A description of any drug or alcohol counseling, treatment, or rehabilitation or re-entry programs that are available to employees or students; and

(5) A clear statement that the IHE will impose disciplinary sanctions on students and employees (consistent with local, State, and Federal law), and a description of those sanctions, up to and including expulsion or termination of employment and referral for prosecution, for violations of the standards of conduct required by paragraph (a)(1) of this section. For the purpose of this section, a disciplinary sanction may include the completion of an appropriate rehabilitation program.

(b) A biennial review by the IHE of its program to

(1) Determine its effectiveness and implement changes to the program if they are needed; and

$ 86.102 What is required of an IHE

that the Secretary selects for an.

nual review? If the Secretary selects an IHE for review under $86.101, the IHE shall provide the Secretary access to personnel, records, documents and any other necessary information requested by the Secretary to review the IHE's adoption and implementation of its drug prevention program. (Approved by the Office of Management and Budget under control number 1880-0522) (Authority: 20 U.S.C. 1145g) 886.103 What records and information

must an IHE make available to the Secretary and the public concerning its drug prevention pro

gram? (a) Each IHE that provides the drug prevention program certification required by $86.3(b) shall, upon request, make available to the Secretary and the public a copy of each item required by $ 86.100(a) as well as the results of the biennial review required by $ 86.100(b).

(b)(1) An IHE shall retain the following records for three years after the fiscal year in which the record was created:

(i) The items described in paragraph (a) of this section.

(ii) Any other records reasonably related to the IHE's compliance with the drug prevention program certification.

(2) If any litigation, claim, negotiation, audit, review, or other action involving the records has been started before expiration of the three-year period, the IHE shall retain the records

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