Governmentwide Debarment and Suspension (Nonprocurement and

Governmentwide Requirements for Drug -- Free Workplace (Grants).




 ___.600  Purpose.


 ___.605  Definitions.


 ___.610 Coverage.


 ___.615 Grounds for suspension of payments, suspension or termination of grants, or suspension or debarment.


 ___.620  Effect of violation.


 ___.625  Exception provisions.


 ___.630  Certification requirements and procedures.


 ___.635  Reporting of and employee sanctions for convictions of criminal drug offenses.


Appendix Certification Regarding Drug-Free Workplace Requirements






Authority: E.O. 12549; sec. 5151 - 5160 of the Drug - Free Workplace Act of 1988 (Pub. L. 100 - 690, Title V, Subtitle D; 41 U.S.C. 701 et seq.); 5 U.S.C. 301. 




Cross Reference: See also Office of Management and Budget notice published at 55 FR 21679, May 25, 1990.




Source: 55 FR 21688, 21702, May 25, 1990, unless otherwise noted.




Editorial Note 1: A nomenclature change affecting this part appears at 53 FR 19200, May 26, 1988.




Editorial Note 2: For additional information, see related documents published at 52 FR 20360, May 29, 1987, 53 FR 19160, May 26, 1988, and 53 FR 34474, September 6, 1988.






___.600  Purpose. 


The purpose of this subpart is to carry out the

Drug-Free Workplace Act of 1988 by requiring that -- 


 A grantee, other than an individual, shall certify to

the agency that it will provide a drug-free workplace; 


A grantee who is an individual shall certify to the

agency 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. 


Requirements implementing the Drug-Free Workplace Act

of 1988 for contractors with the agency are found at 48 CFR

subparts 9.4, 23.5, and 52.2. 





___.605   Definitions. 


Except as amended in this section, the definitions of

76.105 apply to this subpart.




For purposes of this subpart -- 


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 at 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; 




 Drug-free workplace means a site for the performance

of work done in connection with a specific grant at which

employees of the grantee are prohibited from engaging in the

unlawful manufacture, distribution, dispensing, possession, or

use of a controlled substance; 




Employee means the employee of a grantee directly

engaged in the performance of work under the grant, including: 




All direct charge employees; 




All indirect charge employees, unless their impact

or involvement is insignificant to the performance of the grant;

and, 




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

payroll; or employees of subrecipients or subcontractors in

covered workplaces); 


     Federal agency or agency means any United States

executive department, military department, government

corporation, government controlled corporation, any other

establishment in the executive branch (including the Executive

Office of the President), or any independent regulatory agency; 




Grant means an award of financial assistance,

including a cooperative agreement, in the form of money, or

property in lieu of money, by a Federal agency directly to a

grantee. The term grant includes block grant and entitlement

grant programs, whether or not exempted from coverage under the

grants management government-wide common rule on uniform

administrative requirements for grants and cooperative

agreements. The term does not include technical assistance that

provides services instead of money, or other assistance in the

form of loans, loan guarantees, interest subsidies, insurance, or

direct appropriations; or any veterans' benefits to individuals,

i.e., any benefit to veterans, their families, or survivors by

virtue of the service of a veteran in the Armed Forces of the

United States; 




Grantee means a person who applies for or receives a

grant directly from a Federal agency (except another Federal

agency); 




 Individual means a natural person; 




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. 





 ___.610  Coverage. 


This subpart applies to any grantee of the agency. 




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. 




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. 





___.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

official designee determines, in writing, that --  




The grantee has made a false certification under

___.630; 




With respect to a grantee other than an individual -- 




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 




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. 


With respect to a grantee who is an individual -- 


The grantee has violated the certification by failing

to carry out its requirements (Alternate II to Appendix C); or 




The grantee is convicted of a criminal drug offense

resulting from a violation occurring during the conduct of any

grant activity. 



___.620  Effect of violation. 


In the event of a violation of this subpart as

provided in ___.615, and in accordance with applicable law, the

grantee shall be subject to one or more of the following actions:




Suspension of payments under the grant; 




Suspension or termination of the grant; and 




Suspension or debarment of the grantee under the

provisions of this part. 


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

___.320(a)(2) of this part). 



 ___.625  Exception provision. 

        The agency head may waive with respect to a particular

grant, in writing, a suspension of payments under a grant,

suspension or termination of a grant, or suspension or debarment

of a grantee if the agency head determines that such a waiver

would be in the public interest. This exception authority cannot

be delegated to any other official. 



 ___.630  Certification requirements and procedures. 




As a prior condition of being awarded a grant,

each grantee shall make the appropriate certification to the

Federal agency providing the grant, as provided in Appendix C to

this part. 




 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 no-cost time extension of such a

grant. However, the grantee shall make a one-time drug-free

workplace certification for a non-automatic continuation of such

a grant made on or after March 18, 1989. 




         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. 




 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. 




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. 




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. 




 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. 




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. 




 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. 




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. 



 ___.635  Reporting of and employee sanctions for convictions of

criminal drug offenses. 




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: 


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. 




Within 30 calendar days of receiving notice of the

conviction, the grantee shall do the following with respect to

the employee who was convicted. 


Take appropriate personnel action against the

employee, up to and including termination, consistent with

requirements of the Rehabilitation Act of 1973, as amended; or 




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. 




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. 




(Approved by the Office of Management and Budget under control

number 0991 - 0002) 




55 FR 21688, 21702, May 25, 1990



Appendix Certification Regarding Drug-Free Workplace Requirements






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