Research Administration Office

University of California

Memo Operating Guidance

No. 89-8

Supplement No. 1

April 12, 1989

Subject: Certification Regarding Drug-Free Workplace, Department of Energy

Enclosure i is a copy of the Certification Regarding Drug-Free Workplace Requirements, dated February 27, 1989, that should be used when submitting a proposal or accepting an award from the San Francisco Operations Office of the Department of Energy.

Enclosure 2 is a copy of page 3 of the Certification Regarding Drug-Free Workplace Requirements, dated March 17, 1989, that should not be used. The Certification signature page in Enclosure 2 includes a paragraph beginning with "this assurance is given" that is inappropriate because it extends the Scope of the assurance, refers to "judicial enforcement", and states that it is "binding on ... the authorized official". DOE SAN agrees that this paragraph is inappropriate and has requested that we use the certification provided in Enclosure 1 which does not include the objectionable paragraph. DOE SAN mailed the Certification containing the objectionable paragraph to grantees between March 17 and April 7, 1989. Therefore, they have requested that we submit revised certifications using the Enclosure 1 format for any certifications we submitted using the Enclosure 2 format.

The objectionable paragraph in the Enclosure 2 certification originated from DOE Headquarters Policy Office. Although Ed Sharp, from the DOE Policy Office, has agreed that the paragraph is inappropriate and will not appear in any final certification approved by DOE, it is not clear whether other DOE offices may have picked up on DOE Headquarters original model format and incorporated the paragraph. Contract and Grant Officer's should not sign any DOE certification which incorporates the objectionable paragraph shown on Enclosure 2. Please forward to our office any examples of other DOE office use of a certification incorporating the objectionable paragraph.

Refer: Barbara Yoder

ATSS 8-582-2886

(415) 642-2886

Subject Index: 02,12

Organization Index: U-115, F-275

University Contracts and

Grants Coordinator



Enclosure 1

C& G 89-8

Supplement No. 1


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 was placed when the agency determined to award 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.

Certification Regarding Drug-Free Workplace Requirements

Alternate I

A. The grantee certifies that it will 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 a 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 of any criminal drug statute conviction for a violation occurring in the workplace no later than five days after such conviction;

(e) Notifying the agency within ten days after receiving notice under subparagraph (d)(2) from an employee or otherwise receiving actual notice of such conviction;

(f) Taking one of the following actions, within 30 days of receiving notice under subparagraph (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; 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 agency;

(g) Making a good faith effort to continue to maintain a drug-free workplace through implementation of paragraphs.(a.), (b), (c), (d), (e1 and (f).

The grantee shall 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)

Alternate II

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.


Grantee Name and Address:

Applicability of Certification (Check Appropriate Box): [ ] Alternate I applies

[ ] Alternate II applies

Application or Grant Agreement Number (Complete this block of information unless the next block of information is applicable):

Annual Certification Period (If grantee is a State agency and elects to treat this certification as a single annual certification covering all of that State agency's workplaces for the performance of work done in connection with grants under a number of different programs received from the same Federal agency, so indicate such an election by specifying in the space below the inclusive dates of the annual certification period):

Annual Certification Period: ___ thru ___

Typed Name and Title: