ASSURANCES AND CERTIFICATIONS
American Recovery and Reinvestment Act of 2009
PROGRAM YEAR 2009
By signing the WIA program agreement on the line below, the Respondent’s signatory
official is providing the assurances and certifications referenced therein as detailed in
the attached documents.
Organization Name City/State/Zip
Official’s Name/Title Signature/Date
NOTE: Attach the original signed and completed Assurances and Certifications
only to the original copy of the proposal. Do not attach it to the proposal copies.
Assurances and Certifications
South Dakota Department of Labor (DOL) will not award a contract if the Respondent
has failed to accept the ASSURANCES AND CERTIFICATIONS contained in this
section. In performing its responsibilities under the proposal and agreement, the
Respondent herein certifies and assures that it will fully comply with the following:
A. Assurances and Conditions
B. Debarment and Suspension Certification (29 CFR Part 98)
C. Certification Regarding Lobbying (29 CFR Part 93)
D. Drug-free Workplace Certification (29 CFR Part 98)
E. Nondiscrimination & Equal Opportunity Assurance (29 CFR Part 37)
F. Grievance Policy
By signing the agreement, the Respondent has provided the above assurances and
certifications as detailed below:
As the duly authorized representative of the Respondent, I certify that the Respondent:
1. Has the legal authority to apply for federal assistance and the institutional
managerial and financial capability (including funds sufficient to pay the non-federal
share of project costs) to ensure proper planning, management and completion of
the project described in this proposal.
2. Will give the DOL, through any authorized representative, access to and the right to
examine all records, books, papers or documents related to the award; and will
establish a proper accounting system in accordance with generally accepted
accounting standards or agency directives.
3. Will establish safeguards to prohibit employees from using their positions for a
purpose that constitutes or presents the appearance of personal or organizational
conflict of interest or personal gain.
4. Will comply with all federal statutes relating to nondiscrimination. These include but
are not limited to: (a) Title V of the Civil Rights Act of 1964 (P.L. 88-352) which
prohibits discrimination on the basis of race, color or national origin; (b) Title IX of
the Education Amendments of 1972, as amended (20 U.S.C. 1681-1683; and 1685-
1686), which prohibits discrimination on the basis of handicaps; (c) Section 504 of
the Rehabilitation Act of 1973, as amended (29 U.S.C. 794), which prohibits
discrimination on the basis of handicaps; (d) the Age Discrimination Act of 1975, as
amended (42 U.S.C. 6101-6107), which prohibits discrimination on the basis of age;
(e) the Drug Abuse Office and Treatment Act of 1972 (P.L. 92-255) as amended,
relating to nondiscrimination on the basis of drug abuse; (f) the Comprehensive
Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970
(P.L. 91-616) as amended, relating to nondiscrimination on the basis of alcohol
abuse or alcoholism; (g) Sections 523 and 527 of the Public Health Service Act of
1912 (42 U.S.C. 290 dd.3 and 290 ee-3), as amended, relating to confidentiality of
alcohol and drug abuse patient records; (h) Title VIII of the Civil Rights Act of 1968
(42 U.S.C. 3601 et seq.) as amended, relating to nondiscrimination in the sale, rental
or financing of housing; (i) any other nondiscrimination provisions in the specific
statute(s) under which application for Federal assistance is being made; and (j) the
requirements of any other non-discrimination statute(s) which may apply to the
5. Will comply with the provision of the Hatch Act (5 U.S.C. 1501-1508 and 7324-
7328), which limits the political activities of employees whose principal employment
activities are funded in whole or in part with federal funds.
6. Will comply, as applicable, with the provisions of the Davis-Bacon Act (40 U.S.C.
276a to 276a 7), the Copeland Act (40 U.S.C. 276c and 18 U.S.C. 874), and the
Contract Work Hours and Safety Standards Act (40 U.S.C. 327-333), regarding labor
standards for federally assisted construction subagreements.
7. Will cause to be performed the required financial and compliance audits in
accordance with the Single Audit Act Amendments of 1996 and OBM Circular No. A-
133, audits of states, local governments and non-profit organizations. The
Respondent will furnish a copy of the annual report to DOL. This provision shall not
include those individuals or vendors exempted from this requirement under the DOL
The Respondent agrees to:
1. Comply with Workforce Investment Act (WIA) and any appropriate state and federal
laws, rules and regulations. Copies of the Act and the regulations are available from
2. Ensure the WIA participant is provided with appropriate supervision, sufficient
materials and equipment to perform assigned duties, and safe and healthy working
conditions; and ensure adherence to all applicable child-labor laws.
3. Maintain and retain management, program and participant records for three years as
set in the Contractor’s Guide.
4. Notify the DOL local office representative of any problems, complaints or changes in
participant status within ten (10) working days.
5. Establish a local grievance procedure or adopt the grievance procedure established
by the DOL. A local established grievance procedure shall provide for, upon request
by the complainant, a review of the local decision by the DOL.
6. Develop programs that contribute to occupational development, upward mobility,
development of new careers and overcoming sex stereotyping in occupations
traditional for the other sex.
7. Maintain at the Respondent’s sole cost and expense, adequate general liability;
worker’s compensation; professional liability and automobile liability insurance
during the period of the agreement.
8. Hold harmless and indemnify the State of South Dakota, its officers and employees
from and against any or all actions, suits, damages, liability or other proceedings that
may arise as a result of the Respondent performing services hereunder. This section
does not require the Respondent to be responsible for, or defend against, claims in
damages arising solely from acts or omissions of the state, its officers or employees.
9. Provide benefits and working conditions to all individuals employed in subsidized
jobs at the same level and to the same extent as other employees working a similar
length of time and doing the same work.
The Respondent further agrees that:
1. WIA funds may not be spent on the employment or training of participants in
sectarian activities. Participants shall not be employed in building, operating or
maintaining any part of any facility that is used for sectarian instruction or religious
2. No current employed worker shall be displaced by any WIA participant. This includes
partial displacement such as reduction in the hours of non-overtime work, wages or
3. No funds under this agreement may be used to promote or discourage union
4. No individuals may participate in DOL WIA programs if a member of the person’s
immediate family is directly supervised by or directly supervises that individual.
5. No fees may be charged to a participant for referral or placement in a DOL program.
6. No DOL funds may be used, or proposed to use, to encourage or to induce the
relocation of establishments, or parts thereof, that results in the loss of employment
for any employee of such establishment at the original location.
7. No participant shall be employed or job opening filled (a) when any other individual
is on layoff from the same or any substantially equivalent job, or (b) when the
Respondent has terminated the employment of any regular employee without cause
or otherwise reduced its work force with the intention of filling the vacancy so
created by hiring a participant whose wages are subsidized under the Act.
8. A program or activity authorized under WIA must not impair existing contracts for
services or collective bargaining agreements.
9. No DOL funds will be used to provide services to non-eligible individuals.
10. Participants shall be compensated at the same rate, including periodic increases, as
other persons employed in the same or similar jobs.
11. Expenditures of DOL funds by the Respondent must be in accordance with this
agreement. It is understood and agreed that the effective date of this contract is the
date of commencement of services as provided that any and all appropriate cost that
are deemed allowable for the program and costs incurred by the Respondent
between the said effective date and the date on which this contract is fully executed
are hereby approved and ratified for payment.
12. All material and equipment purchased with DOL funds remains the property of the
13. Availability of continued funding to the Respondent is dependent upon the Workforce
Development Council’s and the DOL’s continued receipt of adequate funds from the
14. The agreement may be modified at any time upon mutual consent of both parties
and may be terminated by either party with a thirty (30)-day written notice.
15. Failure to comply with any of these conditions and assurances or non-performance
of the terms of the agreement may result in immediate termination of the agreement.
16. The DOL reserves the right to reduce or completely withdraw the funds obligated
under the contract in the event that the Respondent fails to expend or show
adequate progress in utilizing the funds within a reasonable time period.
B. Certification Regarding Debarment, Suspension and Other Responsibility
Matters – Primary Covered Transactions.
The prospective primary participant 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
2. Have not within a three-year period preceding this proposal been convicted 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
3. Are not presently indicted or otherwise criminally or civilly charged by a government
entity (federal, state or local) with commission of any of the offenses enumerated in
paragraph (1)(b) of this certification.
4. Have not within a three-year period preceding this proposal had one or more public
transactions (federal, state or local) terminated for cause or default.
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
C. Certification Regarding Lobbying – Certification for Contracts, Grants, Loans
and Cooperative Agreements.
The Respondent 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 Congress, or any employee of a Member of Congress in connection
with the awarding of any federal contract, the making of any federal grant, the
making of any federal loan, the entering into 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 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 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
subrecipients shall certify and disclose accordingly. This certification is a material
representative 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.C. 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.
D. Certification Regarding Drug-free Workplace Requirements.
The Respondent 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 Respondent’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 Respondent’s policy of maintaining a drug-free workplace.
c. Any available drug counseling, rehabilitation and employee assistance
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 contract be given a copy of the statement required by paragraph D (1)
4. Notifying the employee in the statement required by paragraph D (1) that, as a
condition of employment under the contract, the employee will
a. Abide by the terms of statement
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 (5)
calendar days after such conviction.
5. Notifying the agency in writing, within ten (10) calendar days after receiving notice
under subparagraph (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 contract officer or other designee on whose contract activity
their 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/contract.
6. Taking one of the following actions within thirty (30) calendar days of receiving
notice under subparagraph (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.
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
7. Making a good faith effort to continue to make a drug-free workplace through
implementation of paragraphs (1), (2), (3), (4), (5) and (6).
The Respondent may insert in the space provided below the site(s) for the performance
of work done in connection with the specific contract, including site, street address, city,
county, state, zip code.
E. Nondiscrimination & Equal Opportunity Assurance:
As a condition to the contract award from DOL under Title I of WIA, the Respondent
assures that it will comply fully with the nondiscrimination and equal opportunity
provisions of the following laws:
1. Section 188 of the Workforce Investment Act of 1998 (WIA), which prohibits
discrimination against all individuals in the United States on the basis of race, color,
religion, sex, national origin, age, disability, political affiliation or belief, and against
beneficiaries on the basis of either citizenship/status as a lawfully admitted
immigrant authorized to work in the United States or participation in any WIA Title I-
financially assisted program or activity.
2. Title VI of the Civil Rights Act of 1964, as amended, which prohibits discrimination
on the basis of race, color or national origin.
3. Section 504 of the Rehabilitation Act of 1973, as amended, which prohibits
discrimination against qualified individuals with disabilities.
4. The Age Discrimination Act of 1975, as amended, which prohibits discrimination on
the basis of age.
5. Title IX of the Education Amendments of 1972, as amended, which prohibits
discrimination on the basis of sex in educational programs.
The Respondent also assures that it will comply with 29 CFR Part 37 and all other
regulations implementing the laws listed above. This assurance applies to the
Respondent’s operation of the WIA Title I-financially assisted program or activity, and to
all agreements the Respondent makes to carry out the WIA Title I-financially assisted
program or activity. The Respondent understands that the United States has the right to
seek judicial enforcement of this assurance.
F. Grievance Policy
1. A party asserting a violation, misinterpretation or inequitable application of the rules
or procedures related to the contract may file a grievance with the Respondent. The
grievance shall be filed within twenty (20) calendar days after the Grievant, through
the use of reasonable diligence, should have had knowledge of the occurrence that
gave rise to the grievance. A representative having authority to act on behalf of the
Respondent shall meet with the Grievant within ten (10) calendar days after the
grievance is filed. Within ten (10) calendar days after the meeting, with an allowance
of time when the disposition is mailed, the representative shall notify the Grievant in
writing about the disposition of the grievance and provide a rationale for the
2. Within ten (10) calendar days after receipt of the above disposition, the Grievant
may, if the grievance remains unresolved, appeal to the South Dakota Department
3. If a Grievant fails to appeal within the time limits established, the grievance shall be
considered void. If the Respondent fails to respond within the time limits, the
grievance shall be considered resolved based upon the requested remedy. Time
limits can be waived only upon a showing of reasonable excuse to the satisfaction of