AD - 1049 Certification Regarding Drug-Free Workplace Requirements

This form is available electronically.

Form Approved - OMB No. 0505-0027
Expiration Date: 12/31/2018

United States Department of Agriculture

AD-1049

Certification Regarding Drug-Free Workplace Requirements (Grants)
Alternative I – For Grantees Other Than Individuals
The following statement is made in accordance with the Privacy Act of 1974 (5 U.S.C. § 552(a), as amended). This
certification is required by the regulations implementing §§ 5151-5160 of the Drug-Free Workplace Act of 1998 (Pub.
L.100-690, Title V, Subtitle D: 41 U.S.C. § 8101 et seq.), and 2 C.F.R. Parts 182 and 421. The regulations were amended
and published on June 15, 2009, in 74 Fed. Reg. 28150-28154 and on December 8, 2011, in 76 Fed. Reg. 76610-76611.
Copies of the regulations may be obtained by contacting the Department of Agriculture agency offering the grant.
According to the Paperwork Reduction Act of 1995 an agency may not conduct or sponsor, and a person is not required to
respond to a collection of information unless it displays a valid OMB control number. The valid OMB control number for this
information collection is 0505-0027. The time required to complete this information collection is estimated to average 15
minutes per response, including the time for reviewing instructions, searching existing data sources, gathering and
maintaining the data needed, and completing and reviewing the collection of information. The provisions of appropriate
criminal and civil fraud privacy, and other statutes may be applicable to the information provided.

(Read Instructions On Page Three Before Completing Certification)
A. The grantee certifies that it will or will continue to provide a drug-free workplace by:
1. 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;
2. Establishing an ongoing drug-free awareness program to inform employees about –
a. The dangers of drug abuse in the workplace;
b. The grantee’s policy of maintaining a drug-free workplace;
c. Any available drug counseling, rehabilitation, and employee assistance programs; and
d. The penalties that may be imposed upon employees for drug-abuse violations occurring in the workplace.
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.1.).
4. Notifying the employee in the statement required by paragraph (A.1.) that, as a condition of employment under
grant, the employee will –
a. Abide by the terms of the statement; and
b. 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;
5. Notifying the agency in writing, within ten calendar days after receiving notice under subparagraph (A.4.b.)
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 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;

6. Taking one of the following actions, within 30 calendar days of receiving notice under subparagraph (A.4.b.),
with respect to any employee who is so convicted –
a. 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
b. 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;
7. Making a good faith effort to continue to maintain a drug-free workplace through implementation of paragraphs
(A.1. through A.6.).
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)

Delete Entry

Street1:
Street2:
City:

County:

Country:
State:
Province:
Zip / Postal Code:
Add Place of Performance
Check

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

ORGANIZATION NAME

PR/AWARD NUMBER OR PROJECT NAME

NAME(S) AND TITLE(S) OF AUTHORIZED REPRESENTATIVE(S)
Prefix:
First Name:
Middle Name:
Last Name:
Suffix:
Title:
SIGNATURE(S)

DATE

The U.S. Department of Agriculture (USDA) prohibits discrimination in all of its programs and activities on the basis of race, color, national origin, age,
disability, and where applicable, sex, marital status, familial status, parental status, religion, sexual orientation, political beliefs, genetic information,
reprisal, or because all or part of an individual’s income is derived from any public assistance program. (Not all prohibited bases apply to all programs).
Persons with disabilities who require alternative means for communication of program information (Braille, large print, audiotape, etc.) should contact
USDA’s TARGET Center at (202) 720-2600 (voice and TDD). To file a complaint of discrimination, write to USDA, Assistant Secretary for Civil Rights,
Office of the Assistant Secretary for Civil Rights, 1400 Independence Avenue, S.W., Stop 9410, Washington, DC 20250-9410, or call toll-free at
(866) 632-9992 (English) or (800) 877-8339 (TDD) or (866) 377-8642 (English Federal-relay) or (800) 845-6136 (Spanish Federal-relay). USDA is an
equal opportunity provider and employer.

Form AD-1049 (REV 12/15)

Instructions for Certification
(1) By signing and submitting this form, the grantee is providing the certification set out on pages one and two in
accordance with these instructions.
(2) The certification set out on pages one and two 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) 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.
(4) 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).
(5) 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 (3) above.
(6) 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 21 C.F.R. §§ 1308.11-1308.15.
· “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).

Form AD-1049 (REV 12/15)