CERTIFICATIONS AND ASSURANCES

**For Use with**

**SF 424, Block 21**

**SF 424 (R&R), Block 18**

**SF 424 Mandatory, Block 17**

**SF 424 Individual, Block 7**

[PART 1. GOVERNMENT-WIDE CERTIFICATION]{.underline}

A. [Certification Regarding Lobbying Restrictions in 31 U.S.C.
1352]{.underline}

> I certify, to the best of my knowledge and belief, that:
>
> \(1\) No Federal appropriated funds have been paid or will be paid, by
> or on behalf of the applicant, 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 Federal grant, the making of any Federal
> loan, the entering into 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 an employee of a Member of
> Congress in connection with the Federal contract, grant, loan, or
> cooperative agreement, the applicant shall complete and submit
> Standard Form - LLL, \"Disclosure Form to Report Lobbying,\" in
> accordance with its instructions.
>
> \(3\) The applicant shall require that the language of this
> certification be included in the award documents for all subawards at
> all tiers (including subcontracts, sub-grants, and contracts under
> grants, loans, and cooperative agreements) and that all subrecipients
> shall certify and disclose accordingly.
>
> This certification is a material representation of fact upon which
> reliance will be placed when entering into any transaction made or
> entered into as a result of this application. Submission of this
> certification is a prerequisite for making or entering into a
> transaction imposed by section 1352, title 31, U.S. Code. Any person
> who fails to file the required certificate shall be subject to a civil
> penalty of not less than \$10,000, and not more than \$100,000 for
> each such failure.

[PART 2. DOE‑SPECIFIC ASSURANCES]{.underline}

.

> ATTACHMENTS
>
> A. [NATIONAL POLICY ASSURANCES TO BE INCORPORATED AS AWARD
> TERMS](http://professionals.pr.doe.gov/ma5/MA-5Web.nsf/FinancialAssistance/NationalPolicyAssurances?OpenDocument)
>
> B. DOE F 1600.5 Assurance of Compliance -- Nondiscrimination in
> Federally Assisted Programs

+-----------------------+-----------------------+-----------------------+
| *DOE F 1600.5*        | **U.S. Department of  | OMB Control No.       |
|                       | Energy**              |                       |
+-----------------------+-----------------------+-----------------------+
| *(06-94)*             | **Assurance of        | 1910-0400             |
|                       | Compliance**          |                       |
| *All Other Editions   |                       |                       |
| are Obsolete*         |                       |                       |
+-----------------------+-----------------------+-----------------------+
| **Nondiscrimination   |                       |                       |
| in Federally Assisted |                       |                       |
| Programs**            |                       |                       |
+-----------------------+-----------------------+-----------------------+

**[OMB Burden Disclosure Statement]{.underline}**

Public reporting burden for this collection of information 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. Send comments regarding this burden estimate or any other
aspect of this collection of information, including suggestions for
reducing this burden, to Office of Information Resources Management
Policy, Plans, and Oversight, Records Management Division, HR-422 - GTN,
Paperwork Reduction Project (1900-0400), U.S. Department of Energy, 1000
Independence Avenue, S.W., Washington, DC 20585; and to the Office of
Management and Budget (OMB), Paperwork Reduction Project (1900-0400),
Washington, DC 20503.

The Applicant hereby AGREES to comply with Title VI of the Civil Rights
Act of 1964 (Pub. L.88-352), Section 16 of the Federal Energy
Administration Act of 1974 (Pub.L.93-275), Section 401 of the Energy
Reorganization Act of 1974 (Pub.L.93-438), Title IX of the Education
Amendments of 1972, as amended (Pub.L.92-318, Pub.L.93-568, and
Pub.L.94-482), Section 504 of the Rehabilitation Act of 1973
(Pub.L.93-112), the Age Discrimination Act of 1975 (Pub.L.94-135), Title
VIII of the Civil Rights Act of 1968 (Pub.L.90-284), the Department of
Energy Organization Act of 1977 (Pub.L.95-91), and the Energy
Conservation and Production Act of 1976, as amended (Pub.L.94-385) and
Title 10, Code of Federal Regulations, Part 1040. In accordance with the
above laws and regulations issued pursuant thereto, the Applicant agrees
to assure that no person in the United States shall, on the ground of
race, color, national origin, sex, age, or disability, be excluded from
participation in, be denied the benefits of, or be otherwise subjected
to discrimination under any program or activity in which the Applicant
receives Federal assistance from the Department of Energy.

**Applicability and Period of Obligation**

In the case of any service, financial aid, covered employment,
equipment, property, or structure provided, leased, or improved with
Federal assistance extended to the Applicant by the Department of
Energy, this assurance obligates the Applicant for the period during
which Federal assistance is extended. In the case of any transfer of
such service, financial aid, equipment, property, or structure, this
assurance obligates the transferee for the period during which Federal
assistance is extended. If any personal property is so provided, this
assurance obligates the Applicant for the period during which it retains
ownership or possession of the property. In all other cases, this
assurance obligates the Applicant for the period during which the
Federal assistance is extended to the Applicant by the Department of
Energy.

**Employment Practices**

Where a primary objective of the Federal assistance is to provide
employment or where the Applicant\'s employment practices affect the
delivery of services in programs or activities resulting from Federal
assistance extended by the Department, the Applicant agrees not to
discriminate on the ground of race, color, national origin, sex, age, or
disability, in its employment practices. Such employment practices may
include, but are not limited to, recruitment advertising, hiring, layoff
or termination, promotion, demotion, transfer, rates of pay, training
and participation in upward mobility programs; or other forms of
compensation and use of facilities.

**Subrecipient Assurance**

The Applicant shall require any individual, organization, or other
entity with whom it subcontracts, subgrants, or subleases for the
purpose of providing any service, financial aid, equipment, property, or
structure to comply with laws cited above. To this end, the subrecipient
shall be required to sign a written assurance form, however, the
obligation or both recipient and subrecipient to ensure compliance is
not relieved by the collection or submission of written assurance forms.

**Data Collection and Access to Records**

The Applicant agrees to compile and maintain information pertaining to
programs or activities developed as a result of the Applicant\'s receipt
of Federal assistance from the Department of Energy. Such information
shall include, but is not limited to, the following: (1) the manner in
which services are or will be provided and related data necessary for
determining whether any persons are or will be denied such services on
the basis of prohibited discrimination; (2) the population eligible to
be served by race, color, national origin, sex, age, and disability; (3)
data regarding covered employment including use or planned use of
bilingual public contact employees serving beneficiaries of the program
where necessary to permit effective participation by beneficiaries
unable to speak or understand English; (4) the location of existing or
proposed facilities connected with the program and related information
adequate for determining whether the location has or will have the
effect of unnecessarily denying access to any person on the basis of
prohibited discrimination; (5) the present or proposed membership by
race, color, national origin, sex, age, and disability, in any planning
or advisory body which is an integral part of the program; and (6) any
additional written data determined by the Department of Energy to be
relevant to its obligation to assure compliance by recipients with laws
cited in the first paragraph of this assurance.

The Applicant agrees to submit requested data to the Department of
Energy regarding programs and activities developed by the Applicant from
the use of Federal assistance funds extended by the Department of
Energy, Facilities of the Applicant (including the physical plants,
building, or other structures) and all records, books, accounts, and
other sources of information pertinent to the Applicant\'s compliance
with the civil rights laws shall be made available for inspection during
normal business hours on request of an officer or employee of the
Department of Energy specifically authorized to make such inspections.
Instructions in this regard will be provided by the Director, Office of
Civil Rights, U.S. Department of Energy.

This assurance is given in consideration of and for the purpose of
obtaining any and all Federal grants, loans, contracts (excluding
procurement contracts), property, discounts or other Federal assistance
extended after the date hereto, to the Applicants by the Department of
Energy, including installment payments on account after such data of
application for Federal assistance which are approved before such date.
The Applicant recognizes and agrees that such Federal assistance will be
extended in reliance upon the representation and agreements made in this
assurance and that the United States shall have the right to seek
judicial enforcement of this assurance. This assurance is binding on the
Applicant, the successors, transferees, and assignees, as well as the
person(s) whose signature appears below and who are authorized to sign
this assurance on behalf of the Applicant.

**Applicant Certification**

The Applicant certifies that it has complied, or that, within 90 days of
the date of the grant, it will comply with all applicable requirements
of 10 C.F.R. § 1040.5 (a copy will be furnished to the Applicant upon
written request to DOE).