Guidelines for Grant and Contract Management

311. Certifications

The University is required to include certifications regarding non-discrimination, Federal debt status, debarment and suspension, and drug-free workplace with all proposals submitted to Federal sponsors. A certification regarding lobbying is required if an award exceeding $100,000 is expected to result from submission of a proposal. This guideline reprints certifications submitted for nondiscrimination, debt status, debarment and suspension, drug free workplace, and lobbying. - January 2000

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Certification Regarding Non-Discrimination

The applicant (other than an individual who submits an application) certifies that it will comply with the following nondiscrimination statutes and their implementing regulations:

  1. Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d et seq.), which provides that no person in the United States shall, on the ground of race, color, or national origin, be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination under any program or activity for which the applicant received federal financial assistance;

  2. Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. 794), which prohibits discrimination on the basis of handicap in programs and activities receiving federal financial assistance;

  3. Title IX of the Education Amendments of 1972, as amended (20 U.S.C. 1681 et seq.), which prohibits discrimination on the basis of sex in education programs and activities receiving federal financial assistance; and

  4. the Age Discrimination Act of 1975, as amended (42 U.S.C. 6101 et seq.), which prohibits discrimination on the basis of age in programs and activities receiving federal financial assistance, except that actions which reasonably take age into account as a factor necessary for the normal operation or achievement of any statutory objective of the project or activity shall not violate this statute. Certification Regarding Federal Debt Status (OMB Circular A-129) The applicant certifies to the best of its knowledge and belief that it is not delinquent in the repayment of any federal debt.

Certification Regarding Debarment and Suspension (45 CFR 1169)

The prospective primary participant (applicant) certifies to the best of its knowledge and belief that it and its principals:

  1. are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any federal department or agency;

  2. 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;

  3. 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 (b) of this certification; and

  4. 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.

Certification Regarding Drug-Free Workplace

The grantee certifies that it will provide a drug-free workplace by

  1. publishing a statement notifying employees that the unlawful manufacture, distribution, dispensation, possession or use of the controlled substance is prohibited in the grantee's workplace and specifying the actions that will be taken against employees for violation of such prohibitions;

  2. 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 on employees for drug abuse violations;

  3. 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);

  4. 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 not later than five days after such conviction;

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

  6. taking one of the following actions 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; and

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

Authorizing Official of Applicant Institution : Susan Boone, Interim Director of University Research Administration

Name and Title (Print or Type) :
Signature:
Date :

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Certification Regarding Lobbying

The undersigned certifies, to the best of his or her knowledge and belief, that:

  1. No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, 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 the awarding of any Federal contract, the making of any cooperative agreement, and the extension, continuation, renewal, amendment or modification of any Federal contract, grant, loan, or cooperative agreement.

  2. If any funds other than Federal appropriated 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 any employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions.

  3. The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all sub-recipients shall certify and disclose accordingly. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification 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 certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.

Typed Name and Address:
Susan Boone
Interim Director
University Research Administration
The University of Chicago
970 East 58th Street
Chicago, Illinois 60637
Signature and Title:
(Date):

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