The Arkansas Department of Human Services, Division of County
Operations, Office of Community Services, is responsible for the program. Lorie
Williams is the Assistant Director.
ALLOCATION OF FUNDS
Federal policy places certain restrictions on the use
of the block grant funds: no more than 10% of the funds can be used for
administrative costs; up to 15% of funds may be used for weatherization
services and up to 5% may be used for Assurance 16 activities.
The Division proposes to use the Federal Fiscal (FFY) 2016 block grant
funds as follows: Regular (Winter) Energy Assistance Program (53%), Crisis
Intervention Program (17%), Weatherization Assistance Program (15%),
Administration (10%) and Assurance 16 (5%).
ALLOWABLE SERVICES
The purpose of the Low-Income Home Energy Assistance Program (LIHEAP)
Block Grant is to provide funds to help eligible low-income households with the
costs of home energy by offering assistance benefits, home weatherization
services and Assurance 16 activities.
SERVICES AND ELIGIBILITY
Assistance Program in a manner similar to the prior year. The primary
objective of the HEAP program will be to provide assistance benefits as a
one-time payment to approximately 60,000 households.
The LIHEAP program is implemented by local Community Action Agencies
serving different areas of the state. Households must apply for assistance at
the agency serving their county of residence.
Eligibility for Winter Energy Assistance would be based on the
following criteria:
1.
Households' countable income cannot be more than 60% of the state medium income
poverty guidelines;
2. Households
must have no more than $2,000 in countable resources; for elderly households
(age 60 and over), the limit is $3,000.
Eligibility for Crisis Intervention Assistance is the same as for
Winter Energy Assistance with the following exceptions:
1. Households must have an energy-related
emergency situation;
2. The maximum
benefit of $500.00 per household, combined with the household's own resources,
must be adequate to alleviate the crisis situation.
3. .For the Crisis Intervention Program,
assistance to resolve the household's crisis situation must be provided within
48 hours after a signed application is received by the subgrantee agency. If
the crisis situation is life-threatening, assistance must be provided within 18
hours after a signed application Is received. For the Crisis Intervention
Program,assistance must be provided within 30 days if all eligibility
requierments are met.
Assurance 16 activities are services provided which encourage and
enable housenolds to reduce their home energy neeed and thier need for energy
assistance. These activities may include but are not limited to: Needs
Assessments, Counesling, Energy Education and assistance with energy
vendors.
The Division proposes that the LIHEAP Weatherization Assistance Program
he administered in a manner similar to the prior year. The Weatherization
Assistance Program would make energy-saving improvements to low-income dwelling
units (priority is given to households with elderly and/or individuals with
disabilities) with the following objectives:
1. To aid those individuals least able to
afford high utility costs;
2. To
provide for more healthy dwelling environments; and,
3. To help conserve needed energy.
It is estimated that approximately 486 homes will be weatherized with
the LIHEAP funds at a cost of $5,000 per home. This should result in
substantial long-term energy savings.
GEOGRAPHIC DISTRIBUTION
Each of the eligible entity areas will receive funding based on their
previous funding and the number of low-income persons in their service
area.
APPEALS
Applicants of the Home Energy Assistance Program and Weatherization
Assistance Program have the right to request an administrative
hearing under these programs to contest any adverse action taken on an
application.
PUBLIC COMMENT
Public comment regarding planned uses of the LIHEAP Blocke Grant will
be considered in the Division's determination of fund allocation and
eligibility criteria. Comments may be sent to the Division of County
Operations, Attn: HEAP Unit, P.O. Box 1437 Slot S-330, later than thirty (30)
days from the date of the published newspaper notice regarding this proposal.
The Arkansas Department of Human Services is in compliance with Titles
VI and VII of the Civil Rights Act and operates, manages and delivers services
without regard to age, religion, disability, political affiliation, veteran
status, sex, race, color or national origin.
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ATTACHMENT 3 LOW INCOME HOME ENERGY ASSISTANCE PROGRAM (LIHEAP)
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Use of this model plan is optional. However, the information requested
is required in order to receive a Low Income Home Energy Assistance Program
(LIHEAP) grant in years in which the grantee is not permitted
to file an abbreviated plan. Public reporting burden for this
collection of information is estimated to average 1 hour per
response, including the time for reviewing instructions,
gathering and maintaining the data needed, and reviewing
the collection of information. An agency may not conduct or
sponsor, and a person is not required to respond to, a collection of
information unless it displays a currently valid OMB control
number
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(1)
use the funds available under this title to-
(A)
conduct outreach activities and
provide assistance to low income households in meeting their home energy costs,
particularly those with the lowest incomes that pay a high proportion of
household income for home energy, consistent with paragraph
(5);
(B)
intervene in
energy crisis situations;
(C)
provide low-cost residential
weatherization and other cost-effective energy-related home repair;
and
(D)
plan, develop,
and administer the State's program under this title including leveraging
programs, and the State agrees not to use such funds for any purposes other
than those specified in this title;
(2)
make payments under this title only
with respect to-
(A)
households
in which one or more individuals are receiving-
(i)
assistance under the State program
funded under part A of title IV of the Social Security Act;
(ii)
supplemental security income
payments under title XVI of the Social Security Act;
(iii)
food stamps under the Food Stamp
Act of 1977; or
(iv)
payments under section
415,
521,
541, or
542 of title 38, United States Code,
or under section 306 of the Veterans' and Survivors' Pension Improvement Act of
1978; or
(B) households
with incomes which do not exceed the greater of-
(i) an amount equal to 150 percent of the
poverty level for such State; except that a State may not exclude a household
from eligibility in a fiscal year solely on the basis of household income if
such income is less than 110 percent of the poverty level for such State, but
the State may give priority to those households with the highest home energy
costs or needs in relation to household income. or
(ii) an amount equal to 60
percent of the State median income;
(3) conduct outreach activities designed to
assure that eligible households, especially households with elderly individuals
or disabled individuals, or both, and households with high home energy burdens,
are made aware of the assistance available under this title, and any similar
energy-related assistance available under subtitle B of title VI (relating to
community services block grant program) or under any other provision of law
which carries out programs which were administered under the Economic
Opportunity Act of 1964 before the date of the enactment of this Act;
(4) coordinate its activities under this
title with similar and related programs administered by the Federal Government
and such State, particularly low-income energy-related programs under subtitle
B of title VI (relating to community services block grant program), under the
supplemental security income program, under part A of title IV of the Social
Security Act, under title XX of the Social Security Act, under the low-income
weatherization assistance program under title IV of the Energy Conservation and
Production Act, or under any other provision of law which carries out programs
which were administered under the Economic Opportunity Act of 1964 before the
date of the enactment of this Act;
(5) provide, in a timely manner, that the
highest level of assistance will be furnished to those households which have
the lowest incomes and the highest energy costs or needs in relation to income,
taking into account family size, except that the State may not differentiate in
implementing this section between the households described in clauses 2(A) and
2(B) of this subsection;
(6) to the
extent it is necessary to designate local administrative agencies in order to
carry out the purposes of this title, to give special consideration, in the
designation of such agencies, to any local public or private nonprofit agency
which was receiving Federal funds under any low-income energy assistance
program or weatherization program under the Economic Opportunity Act of 1964 or
any other provision of law on the day before the date of the enactment of this
Act, except that-
(A) the State shall, before
giving such special consideration, determine that the agency involved meets
program and fiscal requirements established by the State; and
(B) if there is no such agency because of any
change in the assistance furnished to programs for economically disadvantaged
persons, then the State shall give special consideration in the designation of
local administrative agencies to any successor agency which is operated in
substantially the same manner as the predecessor agency which did receive funds
for the fiscal year preceding the fiscal year for which the determination is
made;
(7) if the State
chooses to pay home energy suppliers directly, establish procedures to -
(A) notify each participating household of
the amount of assistance paid on its behalf;
(B) assure that the home energy supplier will
charge the eligible household, in the normal billing process, the difference
between the actual cost of the home energy and the amount of the payment made
by the State under this title;
(C)
assure that the home energy supplier will provide assurances that any agreement
entered into with a home energy supplier under this paragraph will contain
provisions to assure that no household receiving assistance under this title
will be treated adversely because of such assistance under applicable
provisions of State law or public regulatory requirements; and
(D) ensure that the provision of vendor
payments remains at the option of the State in consultation with local grantees
and may be contingent on unregulated vendors taking appropriate measures to
alleviate the energy burdens of eligible households, including providing for
agreements between suppliers and individuals eligible for benefits under this
Act that seek to reduce home energy costs, minimize the risks of home energy
crisis, and encourage regular payments by individuals receiving financial
assistance for home energy costs;
(8) provide assurances that,
(A) the State will not exclude households
described in clause (2)(B) of this subsection from receiving home energy
assistance benefits under clause (2), and
(B) the State will treat owners and renters
equitably under the program assisted under this title;
(9) provide that-
(A) the State may use for planning and
administering the use of funds under this title an amount not to exceed 10
percent of the funds payable to such State under this title for a fiscal year;
and
(B) the State will pay from
non-Federal sources the remaining costs of planning and administering the
program assisted under this title and will not use Federal funds for such
remaining cost (except for the costs of the activities described in paragraph
(16));
(10) provide that
such fiscal control and fund accounting procedures will be established as may
be necessary to assure the proper disbursal of and accounting for Federal funds
paid to the State under this title, including procedures for monitoring the
assistance provided under this title, and provide that the State will comply
with the provisions of chapter 75 of title 31, United States
Code (commonly known as the "Single Audit Act");
(11) permit and cooperate with Federal
investigations undertaken in accordance with section 2608;
(12) provide for timely and meaningful public
participation in the development of the plan described in subsection
(c);
(13) provide an opportunity
for a fair administrative hearing to individuals whose claims for assistance
under the plan described in subsection (c) are denied or are not acted upon
with reasonable promptness; and
(14) cooperate with the Secretary with
respect to data collecting and reporting under section 2610.
(15) * beginning in fiscal year 1992,
provide, in addition to such services as may be offered by State Departments of
Public Welfare at the local level, outreach and intake functions for crisis
situations and heating and cooling assistance that is administered by
additional State and local governmental entities or community-based
organizations (such as community action agencies, area agencies on aging and
not-for-profit neighborhood-based organizations), and in States where such
organizations do not administer functions as of September 30, 1991, preference
in awarding grants or contracts for intake services shall be provided to those
agencies that administer the low-income weatherization or energy crisis
intervention programs.
* This assurance is applicable only to States, and to territories
whose annual regular LIHEAP allotments exceed $200,000. Neither territories
with annual allotments of $200,000 or less nor Indian tribes/tribal
organizations are subject to Assurance 15.
(16) use up to 5 percent of such funds, at
its option, to provide services that encourage and enable households to reduce
their home energy needs and thereby the need for energy assistance, including
needs assessments, counseling, and assistance with energy vendors, and report
to the Secretary concerning the impact of such activities on the number of
households served, the level of direct benefits provided to those households,
and the number of households that remain unserved.
Certification to the Assurances: As Chief
Executive Officer, I agree to comply with the sixteen assurances contained in
Title XXVI of the Omnibus Budget Reconciliation Act of 1981, as amended.* By
signing these assurances, I also agree to abide by the standard assurances on
lobbying, debarment and suspension, and a drug-free workplace.
Signature of the Tribal or Board Chairperson or Chief Executive Officer
of the State or
Territory.**
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* Indian tribes/tribal organizations, and territories with annual
regular LIHEAP allotments of $200,000 or less, are not subject to assurance 15,
and thus must only certify to 15 assurances.
** If a person other than the Chief Executive
Officer of the State or territory, or Tribal Chairperson or Board
Chairperson of a tribal organization, is signing the certification to the
assurances, a letter must be submitted delegating such
authority. (PLEASE ATTACH DELEGATION of AUTHORITY.) The delegation
must include authority to sign the assurances, not just to administer the
program.
*** HHS needs the EIN (Entity Identification Number) of the
State, territory or Tribal agency that is to receive the grant
funds before it can issue the grant.
In the above assurances which are quoted from the law, "State" means
the 50 States, the District of Columbia, an Indian Tribe or Tribal
Organization, or a Territory; "title" of the Act refers to Title XXVF of the
Omnibus Budget Reconciliation Act of 1981 (OBRA), as amended, the "Low Income
Home Energy Assistance Act"; "section" means Section 2605 of OBRA; and,
"subsection" refers to Section 2605(b) of OBRA.
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ADDITIONAL CERTIFICATIONS AND REQUIREMENTS
Attached are additional certifications required as follows:
* Lobbying certification, which must be filed by all
States and territories. If applicable, Form LLL, which discloses lobbying
payments, must be submitted. (Tribes and tribal organizations are
EXEMPT.)
* Debarment and suspension certification, which must be
filed by all grantees.
* Drug-free workplace requirement certification, which
must be filed by all grantees, unless the grantee has filed a statewide
certification with the Department of Health and Human Services. STATES
ONLY: If you have filed a statewide certification for the drug-free
workplace requirement, please check here:______
* One of the requirements included in the 1994 reauthorization of the
statute is that state grantees must include in their annual application for
funds a report on the number and income levels of households applying for and
receiving LIHEAP assistance, and on the number of recipient households that
have members who are elderly, disabled, or young children.
All Tribes and those territories with allotments of less than
$200,000 need only submit data on the number of households served by
each component (heating, cooling, weatherization and crisis). The approval for
the collection of information contained in the LIHEAP Household Report
is covered by OMB approval number 0970-0060.
* Though not a part of this application, the report on funds to be
carried over or available for reallotrnent as required by section 2607(a) for
the preceding year must be submitted by August I of each year. A grant award
for the current fiscal year may not be made until the carryover/reallotment
report is received. The approval for the collection of information contained in
the LIHEAP Carryover and Reallotrnent Report is covered by OMB
approval number 0970-0106.
LOW INCOME HOME ENERGY ASSISTANCE PROGRAM (LIHEAP)
PROGRAM INTEGRITY SUPPLEMENT
Recent Audit Findings
No Legislative or Federal audit findings have been reported for
the Low Income Home Energy Assistance Program (LIHEAP) in the last four
years.
Compliance Monitoring
Compliance monitoring is conducted by the LIHEAP staff. The most
common findings are listed below and may be discovered during compliance
monitoring reviews:
* Overpayment of program funds due to improper or no
documentation of household's income and the nonexistence of a crisis as
verified by the household's energy supplier.
* Underpayment of benefits to households due to the use of
excluded income.
* Failure to document and verify payments of program funds to
energy suppliers via payment vouchers, etc.
* Unable to locate all records for compliance
review.
* No notification to household of disposal of
application.
Two reviews, instead of one, will be conducted during a program
year at those agencies that have shown to have a high percentage rate of errors
during the first review. Also, the percentage of case records reviewed by
LIHEAP staff during each program will be increased.
Fraud Reporting Mechanisms
Sub-grantees will be requested to include telephone numbers,
including the Department of Human Services (DHS) Fraud Hotline toll free
number, in program media notices to the general public concerning the LIHEAP
program. During public hearings, which are held each year, the public will be
requested to report any instance of fraud to both the sub-grantee agency and
DHS. Program and hot line telephone numbers are also included on the DHS web
site.
Verifying Applicant
Identities
During the application process, the sub-grantee uses Social
Security Numbers (SSN's) provided by the applicant to cross reference the
applicant's information with other state and federal agencies, i.e. the
Department of Workforce Services, the Social Security Administration, the
Office of Child Support Enforcement and the Department of Human Services (see
Social Security Number Request section).
Social Security Number
Request
Social security numbers are used to verify income and other client
data. An encrypted file containing Social Security Numbers are remitted to
sub-grantees who implement the LIHEAP program. The files are used in compliance
with the Privacy Act of 1374 and clients are informed of how their
SSN numbers will be used by the Department of Human Services.
Please refer to the "Cross Checking against Social Security Numbers against
Government Systems/Databases" section for additional information concerning the
use of SSN numbers to prevent fraud.
Cross Checking Social Security Numbers against
Government Systems/Databases
Applications are processed by sub-grantees using information provided
by state and federal agencies i.e., the Department of Workforce
Services, the Social Security Administration, the Office of Child Support
Enforcement and DHS. Social Security Numbers (SSN's) are an intricate part of
any verification process when cross checking information. Client SSN's
maintained by DHS are used to verify citizenship with the Social Security
Administration,
verify death matches against records maintained by the Department of
Health Bureau of Vital Statistics and compared to a list of incarcerated
persons provided by the Department of Community Corrections.
The sub-grantee agencies who implement the program use Social Security
Numbers provided by the applicant to verify income.
Verifying Applicant Income
I ncome verification is completed by the sub-grantee agencies who
implement the program. All income is verified by using supporting documentation
i.e., check stubs, information from the Department of Workforce Services, the
Social Security Administration, the Office of Child Support Enforcement and
DHS. In addition, the DHS Division of County Operations uses "The Work Number"
to verify recent earned income directly from employers.
Privacy Protection and Confidentiality
The Department of Human Services has extensive policies and procedures
in place to prevent and report fraud and misuse of applicant information.
Policies are provided to CAP agencies to take all measures necessary to prevent
improper use of applicant information. Through collaboration, the state will
study additional measures to implement in the near future.
LI HEAP Benefits Policy
In an effort to prevent fraud, sub-grantee records are reviewed each
year by LIHEAP staff. Additionally, energy suppliers are randomly selected and
contacted to verify and document information contained in the applicant's case
records. Energy suppliers are also monitored to verify utility costs provided
to the sub-grantees as well as conducting a second party review of the payments
made to the suppliers on behalf of the applicants.
Procedures for Unregulated Energy
Vendors
There are no procedures for unregulated energy vendors in place at this
time. We plan to collaborate with other states for ideas and measures which
they are using to prevent fraud and improper payments to these vendors.
Verifying the Authenticity of Energy
Suppliers
Energy supplier authenticity is verified through applicants' energy
bills, by obtaining the list of energy suppliers and a review of a percentage
of suppliers each year. Also, each agency is required to enter into a contract
with each supplier to which payments are made.
Training and Technical Assistance
Training is provided each year to staff of the sub-grantee agencies and
to non-governmental individuals, including energy suppliers and non-profit
agencies. Also, technical assistance is continuously provided during the
program year.
Audits of Local Administering Agencies
Each sub-grantee agency is required to have an audit completed by a
professional audit firm of all programs and components within the agency. The
audit results are provided to DHS for review. Any agency with audit findings is
required to submit a plan of corrective action.
Telephone Hotlines
The DHS Division of County Operations maintains a toll free number (
1-800-422 -6641) to report allegations of fraud and program abuse.
The undersigned states, to the best of his or her knowledge and
belief, that:
If any funds have been paid or will be paid to any person for
influencing or attempting to influence an officer or employee of any agency, a
Member of Congress, an officer or employee of Congress, or an employee of a
Member of Congress in connection with this commitment providing for the United
States to insure or guarantee a loan, the undersigned shall complete and submit
Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its
instructions. Submission of this statement is a prerequisite for making or
entering into this transaction imposed by section 1352, title 31, U.S. Code.
Any person who fails to file the required statement shall be subject to a civil
penalty of not less than $10,000 and not more than $100,000 for each such
failure.
Signature
Title
Organization
CERTIFICATION REGARDING DRUG-FREE WORKPLACE
REQUIREMENTS
This certification is required by the regulations implementing
the Drug-Free Workplace Act of 1988: 45 CFR Part 76, Subpart, F. Sections
76.630(c) and (d)(2) and 76.645(a)(1) and (b) provide that a Federal agency may
designate a central receipt point for STATE-WIDE AND STATE AGENCY-WIDE
certifications, and for notification of criminal drug convictions. For the
Department of Health and Human Services, the central pint is: Division of
Grants Management and Oversight, Office of Management and Acquisition,
Department of Health and Human Services, Room 517-D, 200 Independence
Avenue, SW Washington, DC 20201.
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 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; 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
Alternate I. (Grantees Other Than Individuals)
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 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 agency;
(e) 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 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, 21702, May 25, 1990]
CERTIFICATION REGARDING DEBARMENT, SUSPENSION AND
OTHER
RESPONSIBILITY MATTERS
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 leams 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 voluntarily excluded, as
used in this clause, have the meanings set out in the Definitions and Coverage
sections of the rules implementing 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 Programs.
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 (l)(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.
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 immediate 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 reason of
changed circumstances.
4. The terms
covered transaction, debarred, suspended, ineligible, lower tier covered
transaction, participant, person, primary covered transaction, principal,
proposal, and voluntarily excluded, as used in this clause, have the meaning
set out in the Definitions and Coverage sections of rules implementing
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, [[Page 33043]] 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 farther 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 Exclusion-Lower Tier Covered Transactions
(1) The prospective lower tier participant
certifies, by submission of mis 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.
