1、309 Office of National Drug Control Policy Pt. 1405 APPENDIX TO PART 1404COVERED TRANSACTIONS PART 1405GOVERNMENTWIDE REQUIREMENTS FOR DRUG-FREE WORKPLACE (FINANCIAL ASSIST-ANCE) Subpart APurpose and Coverage Sec. 1405.100 What does this part do? 1405.105 Does this part apply to me? 1405.110 Are any
2、 of my Federal assistance awards exempt from this part? 1405.115 Does this part affect the Federal contracts that I receive? Subpart BRequirements for Recipients Other Than Individuals 1405.200 What must I do to comply with this part? 1405.205 What must I include in my drug- free workplace statement
3、? 1405.210 To whom must I distribute my drug-free workplace statement? 1405.215 What must I include in my drug- free awareness program? 1405.220 By when must I publish my drug- free workplace statement and establish my drug-free awareness program? 1405.225 What actions must I take con-cerning employ
4、ees who are convicted of drug violations in the workplace? 1405.230 How and when must I identify workplaces? Subpart CRequirements for Recipients Who Are Individuals 1405.300 What must I do to comply with this part if I am an individual recipient? VerDate Mar2010 07:57 May 04, 2011 Jkt 223073 PO 000
5、00 Frm 00319 Fmt 8010 Sfmt 8010 Y:SGML223073.XXX 223073ER26NO03.000erowe on DSK5CLS3C1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-310 21 CFR Ch. III (4111 Edition) 1405.100 1405.301 Reserved Subpart DResponsibilities of Office of Na-
6、tional Drug Control Policy Awarding Officials 1405.400 What are my responsibilities as an Office of National Drug Control Policy awarding official? Subpart EViolations of This Part and Consequences 1405.500 How are violations of this part de-termined for recipients other than indi-viduals? 1405.505
7、How are violations of this part de-termined for recipients who are individ-uals? 1405.510 What actions will the Federal Gov-ernment take against a recipient deter-mined to have violated this part? 1405.515 Are there exceptions to those ac-tions? Subpart FDefinitions 1405.605 Award. 1405.610 Controll
8、ed substance. 1405.615 Conviction. 1405.620 Cooperative agreement. 1405.625 Criminal drug statute. 1405.630 Debarment. 1405.635 Drug-free workplace. 1405.640 Employee. 1405.645 Federal agency or agency. 1405.650 Grant. 1405.655 Individual. 1405.660 Recipient. 1405.665 State. 1405.670 Suspension. AUT
9、HORITY: 21 U.S.C. 1701; 41 U.S.C. 701, et seq. SOURCE: 68 FR 66557, 66581, 66582, Nov. 26, 2003, unless otherwise noted. Subpart APurpose and Coverage 1405.100 What does this part do? This part carries out the portion of the Drug-Free Workplace Act of 1988 (41 U.S.C. 701 et seq., as amended) that ap
10、plies to grants. It also applies the provisions of the Act to cooperative agreements and other financial assist-ance awards, as a matter of Federal Government policy. 1405.105 Does this part apply to me? (a) Portions of this part apply to you if you are either (1) A recipient of an assistance award
11、from the Office of National Drug Con-trol Policy; or (2) A(n) Office of National Drug Con-trol Policy awarding official. (See defi-nitions of award and recipient in 1405.605 and 1405.660, respectively.) (b) The following table shows the subparts that apply to you: If you are . . . see subparts . . .
12、 (1) A recipient who is not an individual . A, B and E. (2) A recipient who is an individual . A, C and E. (3) A(n) Office of National Drug Control Policy awarding official A, D and E. 1405.110 Are any of my Federal as-sistance awards exempt from this part? This part does not apply to any award that
13、 the Director of National Drug Control Policy determines that the application of this part would be inconsistent with the international ob-ligations of the United States or the laws or regulations of a foreign govern-ment. 1405.115 Does this part affect the Federal contracts that I receive? It will
14、affect future contract awards indirectly if you are debarred or sus-pended for a violation of the require-ments of this part, as described in 1405.510(c). However, this part does not apply directly to procurement con-tracts. The portion of the Drug-Free Workplace Act of 1988 that applies to Federal
15、procurement contracts is car-ried out through the Federal Acquisi-tion Regulation in chapter 1 of Title 48 of the Code of Federal Regulations (the drug-free workplace coverage currently is in 48 CFR part 23, subpart 23.5). VerDate Mar2010 07:57 May 04, 2011 Jkt 223073 PO 00000 Frm 00320 Fmt 8010 Sfm
16、t 8010 Y:SGML223073.XXX 223073erowe on DSK5CLS3C1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-311 Office of National Drug Control Policy 1405.220 Subpart BRequirements for Recipients Other Than Individuals 1405.200 What must I do to c
17、omply with this part? There are two general requirements if you are a recipient other than an in-dividual. (a) First, you must make a good faith effort, on a continuing basis, to main-tain a drug-free workplace. You must agree to do so as a condition for receiv-ing any award covered by this part. Th
18、e specific measures that you must take in this regard are described in more detail in subsequent sections of this subpart. Briefly, those measures are to (1) Publish a drug-free workplace statement and establish a drug-free awareness program for your employees (see 1405.205 through 1405.220); and (2
19、) Take actions concerning employ-ees who are convicted of violating drug statutes in the workplace (see 1405.225). (b) Second, you must identify all known workplaces under your Federal awards (see 1405.230). 1405.205 What must I include in my drug-free workplace statement? You must publish a stateme
20、nt that (a) Tells your employees that the un-lawful manufacture, distribution, dis-pensing, possession, or use of a con-trolled substance is prohibited in your workplace; (b) Specifies the actions that you will take against employees for violating that prohibition; and (c) Lets each employee know th
21、at, as a condition of employment under any award, he or she: (1) Will abide by the terms of the statement; and (2) Must notify you in writing if he or she is convicted for a violation of a criminal drug statute occurring in the workplace and must do so no more than five calendar days after the con-v
22、iction. 1405.210 To whom must I distribute my drug-free workplace statement? You must require that a copy of the statement described in 1405.205 be given to each employee who will be en-gaged in the performance of any Fed-eral award. 1405.215 What must I include in my drug-free awareness program? Yo
23、u must establish an ongoing drug- free awareness program to inform em-ployees about (a) The dangers of drug abuse in the workplace; (b) Your policy of maintaining a drug-free workplace; (c) Any available drug counseling, re-habilitation, and employee assistance programs; and (d) The penalties that y
24、ou may im-pose upon them for drug abuse viola-tions occurring in the workplace. 1405.220 By when must I publish my drug-free workplace statement and establish my drug-free awareness program? If you are a new recipient that does not already have a policy statement as described in 1405.205 and an ongo
25、ing awareness program as described in 1405.215, you must publish the state-ment and establish the program by the time given in the following table: If . . . then you . . . (a) The performance period of the award is less than 30 days must have the policy statement and program in place as soon as poss
26、ible, but before the date on which performance is ex-pected to be completed. (b) The performance period of the award is 30 days or more . must have the policy statement and program in place within 30 days after award. (c) You believe there are extraordinary circumstances that will require more than
27、30 days for you to publish the policy state-ment and establish the awareness program.may ask the Office of National Drug Control Policy awarding official to give you more time to do so. The amount of addi-tional time, if any, to be given is at the discretion of the awarding official. VerDate Mar2010
28、 07:57 May 04, 2011 Jkt 223073 PO 00000 Frm 00321 Fmt 8010 Sfmt 8010 Y:SGML223073.XXX 223073erowe on DSK5CLS3C1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-312 21 CFR Ch. III (4111 Edition) 1405.225 1405.225 What actions must I take c
29、oncerning employees who are con-victed of drug violations in the workplace? There are two actions you must take if an employee is convicted of a drug violation in the workplace: (a) First, you must notify Federal agencies if an employee who is engaged in the performance of an award informs you about
30、 a conviction, as required by 1405.205(c)(2), or you otherwise learn of the conviction. Your notification to the Federal agencies must (1) Be in writing; (2) Include the employees position title; (3) Include the identification num-ber(s) of each affected award; (4) Be sent within ten calendar days a
31、fter you learn of the conviction; and (5) Be sent to every Federal agency on whose award the convicted em-ployee was working. It must be sent to every awarding official or his or her of-ficial designee, unless the Federal agency has specified a central point for the receipt of the notices. (b) Secon
32、d, within 30 calendar days of learning about an employees convic-tion, you must either (1) Take appropriate personnel action against the employee, up to and includ-ing termination, consistent with the requirements of the Rehabilitation Act of 1973 (29 U.S.C. 794), as amended; or (2) Require the empl
33、oyee to partici-pate satisfactorily in a drug abuse as-sistance or rehabilitation program ap-proved for these purposes by a Federal, State or local health, law enforcement, or other appropriate agency. 1405.230 How and when must I iden-tify workplaces? (a) You must identify all known workplaces unde
34、r each Office of Na-tional Drug Control Policy award. A failure to do so is a violation of your drug-free workplace requirements. You may identify the workplaces (1) To the Office of National Drug Control Policy official that is making the award, either at the time of appli-cation or upon award; or
35、(2) In documents that you keep on file in your offices during the perform-ance of the award, in which case you must make the information available for inspection upon request by Office of National Drug Control Policy officials or their designated representatives. (b) Your workplace identification fo
36、r an award must include the actual ad-dress of buildings (or parts of build-ings) or other sites where work under the award takes place. Categorical de-scriptions may be used (e.g., all vehi-cles of a mass transit authority or State highway department while in op-eration, State employees in each loc
37、al unemployment office, performers in concert halls or radio studios). (c) If you identified workplaces to the Office of National Drug Control Policy awarding official at the time of application or award, as described in paragraph (a)(1) of this section, and any workplace that you identified changes
38、 during the performance of the award, you must inform the Office of National Drug Control Policy awarding official. Subpart CRequirements for Recipients Who Are Individuals 1405.300 What must I do to comply with this part if I am an individual recipient? As a condition of receiving a(n) Of-fice of N
39、ational Drug Control Policy award, if you are an individual recipi-ent, you must agree that (a) You will not engage in the unlaw-ful manufacture, distribution, dis-pensing, possession, or use of a con-trolled substance in conducting any ac-tivity related to the award; and (b) If you are convicted of
40、 a criminal drug offense resulting from a violation occurring during the conduct of any award activity, you will report the con-viction: (1) In writing. (2) Within 10 calendar days of the conviction. (3) To the Office of National Drug Control Policy awarding official or other designee for each award
41、 that you currently have, unless 1405.301 or the award document designates a central point for the receipt of the notices. When notice is made to a central point, it must include the identification num-ber(s) of each affected award. VerDate Mar2010 07:57 May 04, 2011 Jkt 223073 PO 00000 Frm 00322 Fm
42、t 8010 Sfmt 8010 Y:SGML223073.XXX 223073erowe on DSK5CLS3C1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-313 Office of National Drug Control Policy 1405.605 1405.301 Reserved Subpart DResponsibilities of Of-fice of National Drug Contro
43、l Policy Awarding Officials 1405.400 What are my responsibilities as a(n) Office of National Drug Con-trol Policy awarding official? As a(n) Office of National Drug Con-trol Policy awarding official, you must obtain each recipients agreement, as a condition of the award, to comply with the requireme
44、nts in (a) Subpart B of this part, if the re-cipient is not an individual; or (b) Subpart C of this part, if the re-cipient is an individual. Subpart EViolations of this Part and Consequences 1405.500 How are violations of this part determined for recipients other than individuals? A recipient other
45、 than an individual is in violation of the requirements of this part if the Director of National Drug Control Policy determines, in writing, that (a) The recipient has violated the re-quirements of subpart B of this part; or (b) The number of convictions of the recipients employees for violating cri
46、minal drug statutes in the work-place is large enough to indicate that the recipient has failed to make a good faith effort to provide a drug-free workplace. 1405.505 How are violations of this part determined for recipients who are individuals? An individual recipient is in viola-tion of the requir
47、ements of this part if the Director of National Drug Control Policy determines, in writing, that (a) The recipient has violated the re-quirements of subpart C of this part; or (b) The recipient is convicted of a criminal drug offense resulting from a violation occurring during the conduct of any awa
48、rd activity. 1405.510 What actions will the Fed-eral Government take against a re-cipient determined to have violated this part? If a recipient is determined to have violated this part, as described in 1405.500 or 1405.505, the Office of Na-tional Drug Control Policy may take one or more of the foll
49、owing actions (a) Suspension of payments under the award; (b) Suspension or termination of the award; and (c) Suspension or debarment of the recipient under 21 CFR Part 1404, for a period not to exceed five years. 1405.515 Are there any exceptions to those actions? The Director of National Drug Con-trol Policy may waive with respect to a particular award, in writing, a sus-pensi
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