[Federal Register Volume 61, Number 61 (Thursday, March 28, 1996)]
[Notices]
[Pages 13950-13954]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-7490]




[[Page 13949]]

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Part III





Department of Housing and Urban Development





_______________________________________________________________________



Office of Community Planning and Development; Fiscal Year 1995 Funding 
Availability for the Early Childhood Development Program; Notice

  Federal Register / Vol. 61, No. 61 / Thursday, March 28, 1996 / 
Notices  

[[Page 13950]]


DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT

[Docket No. FR-3961-N-01]


Office of Community Planning and Development; Fiscal Year 1995 
Notice of Funding Availability for the Early Childhood Development 
Program

AGENCY: Office of Community Planning and Development, HUD.

ACTION: Notice of Funding Availability (NOFA) for Fiscal Year (FY) 
1995.

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SUMMARY: This NOFA announces the availability of $21 million to assist 
non-profit organizations in providing early childhood development 
services for lower-income families who reside in public housing, and 
for homeless families or those at risk of becoming homeless. In keeping 
with the Clinton Administration's commitment to create communities of 
opportunity by providing a coordinated package of programs to highly 
distressed areas, this competition is limited to non-profit 
organizations that will provide early childhood development services in 
or near public housing located in urban and rural Federally-designated 
Empowerment Zones and Enterprise Communities (EZ/ECs). Funded programs 
will be linked to and build upon the self-sufficiency activities 
outlined in EZ/EC communities' strategic plans.

DATES: An original and three copies of the completed application for 
grant funds must be received in HUD Headquarters prior to 5 p.m. 
Eastern Time on June 26, 1996.

ADDRESSES: Applications will be accepted at the following address: 
Processing and Control Unit, Office of Community Planning and 
Development, Department of Housing and Urban Development, 451 Seventh 
Street, SW, Room 7251, Washington, DC 20410. ATTN: Childhood 
Development Program. By 5 p.m. Eastern Time on the deadline date 
applications will be received at either room 7251 or the South Lobby of 
the Department of Housing and Urban Development at the above address.
    Late applications will be deemed to have been received by the 
deadline date if postmarked by the United States Postal Service no 
later than three days prior to the deadline date. Late express delivery 
items will be deemed to have been received by the deadline date upon 
submission of documentary evidence that they were placed in transit 
with the express delivery service no later than the day before the 
deadline.

FOR FURTHER INFORMATION CONTACT: Elizabeth A. Butler, Office of 
Economic Development, Office of Community Planning and Development, 
Department of Housing and Urban Development, Room 7134, 451 Seventh 
Street, SW, Washington, DC 20410, fax (202) 708-7543. A 
telecommunications device for hearing or speech impaired persons (TTY) 
is available at 1-800-877-8339 (Federal Information Relay Service TTY). 
(Except for the ``800'' number, these are not toll-free telephone 
numbers.)

SUPPLEMENTARY INFORMATION:

I. Paperwork Reduction Act Statement

    The information collection requirements contained in this notice 
have been submitted to the Office of Management and Budget (OMB) for 
review under the provisions of the Paperwork Reduction Act of 1995 (44 
U.S.C. 3501-3520). An agency may not conduct or sponsor, and a person 
is not required to respond to, a collection of information unless the 
collection displays a valid control number. The OMB control number, 
when assigned, will be announced in the Federal Register.

II. Purpose and Substantive Description

(a) Background

    This announcement solicits applications from nonprofit 
organizations serving Federally-designated urban and rural Enterprise 
Zones/Empowerment Communities (EZ/ECs). To ensure that grants are 
provided to the largest number of nonprofit organizations practicable, 
all applicants are limited to $500,000 per project. The average award 
per project is expected to be approximately $200,000. These funds are 
intended to establish childhood development services to facilitate the 
employability of the parents or guardians of children who are residing 
in public housing, and to provide early childhood development services 
to families who are homeless or at risk of becoming homeless.

(b) Program Purpose

    This program is designed to determine the extent to which the 
availability of early childhood development services in or near lower-
income housing projects facilitates the employability of the parents or 
guardians of children who are residing in public housing, and to 
provide early childhood development services in or near lower-income 
housing projects to families who are homeless or at risk of becoming 
homeless. These funds may be used for the operating expenses and/or for 
minor renovations of child care facilities located in or near public 
housing developments.
    All of these funds will be awarded through a competitive process to 
nonprofit agencies establishing or expanding child care services in 
Federally-designated urban and rural EZ/ECs. Any grants awarded must be 
expended for their appropriate activities within eighteen (18) months 
of the date of award. This announcement anticipates that a likely use 
of the grant funds will be to create child care facilities in or near 
public housing developments or to develop ``wrap-around'' child care 
services in or near housing developments currently offering programs.
    Wrap-around child care services means added hours and days of 
service will be provided to allow parents the opportunity to retain, 
train for or seek employment. Proposed wrap-around services must be 
substantially different from services already provided. Funds from 
grants awarded under this announcement may only be used to finance the 
additional hours or days of services.
    To the extent the program is designed to serve children who are 
homeless or at risk of becoming homeless, the services should be 
coordinated with the community's Continuum of Care system or approach 
for assisting homeless persons and preventing homelessness.

(c) Definitions

    (1) A person at risk of becoming homeless means an individual or 
family who is precariously housed and lacks the resources and support 
network needed for stable housing.
    (2) Continuum of Care means a system or approach designed to assist 
homeless families and individuals and prevent homelessness, involving a 
community process for coordinating resources and consisting of four 
basic components:
    (i) A system of outreach and assessment for determining the needs 
and conditions of an individual or family who is homeless, or whether 
assistance is necessary to prevent an individual from becoming 
homeless;
    (ii) Emergency shelters with appropriate supportive services to 
help ensure that homeless individuals and families receive adequate 
emergency shelter and referral to necessary service providers or 
housing finders;
    (iii) Transitional housing with appropriate supportive services to 
help those homeless individuals and families who are not prepared to 
make the transition to permanent housing and independent living; and

[[Page 13951]]

    (iv) Permanent housing, or permanent supportive housing, to help 
meet the long-term needs of homeless individuals and families.
    (3) Empowerment Zone/Enterprise Community (EZ/EC) means an urban or 
rural area so designated by the Secretary of HUD or the Secretary of 
Agriculture pursuant to sections 1391-1393 of the Omnibus Budget 
Reconciliation Act of 1993. For purposes of this NOFA, this term shall 
include Supplemental Empowerment Zones and Enhanced Enterprise 
Communities, as defined below.
    (4) Supplemental Empowerment Zone/Enhanced Enterprise Community 
(SEZ/EEC) means an urban area which was designated by the Secretary of 
HUD as either a Supplemental Empowerment Zone (SEZ) or an Enhanced 
Enterprise Community (EEC) and announced as such in the Notice of 
Designation printed in the Federal Register on February 23, 1995 (60 FR 
10018).
    (5) Full-day child care means provision of child care that permits 
parents or guardians to work at full-time employment.
    (6) Homeless family means:
    (i) An individual or family who lacks a fixed, regular, and 
adequate nighttime residence; and
    (ii) An individual or family who has a primary nighttime residence 
that is:
    (A) A supervised publicly- or privately-operated shelter designed 
to provide temporary living accommodations (including welfare hotels, 
congregate shelters, and transitional housing for the mentally ill);
    (B) An institution that provides a temporary residence for 
individuals intended to be institutionalized; or
    (C) A public or private place not designed for, or ordinarily used 
as, a regular sleeping accommodation for human beings.
    (7) Lower-income families has the meaning given such term in 
section 3(b)(2) of the U.S. Housing Act of 1937.
    (8) Lower-income or public housing has the meanings given such 
terms in section 3(b)(1) of the U.S. Housing Act of 1937.
    (9) Non-profit organization means an organization:
    (i) That no part of the net earnings of which inures to the benefit 
of any member, founder, contributor or individual;
    (ii) That, in the case of a private nonprofit organization, has a 
voluntary board;
    (iii) That has an accounting system, or has designated a fiscal 
agent in accordance with requirements established by the Secretary; and
    (iv) That practices nondiscrimination in the provision of 
assistance.
    (10) Public Housing Agency has the meaning given such term in 
section 3(b)(2) of the United States Housing Act of 1937.

(d) Available Funds

    (1) This announcement solicits applications from non-profit 
organizations that wish to apply for a portion of the $21 million in 
grant funds that are available under HUD's Early Childhood Development 
program. Up to 20 percent of available funds can be awarded to rural 
EZ/ECs.
    (2) The average award per project is expected to be approximately 
$200,000. Individual grants awarded under this announcement shall not 
exceed $500,000, in order to ensure that funds are provided to as large 
a number of EZ/EC communities as possible. An EZ/EC cannot receive more 
than $1 million. It should be noted that while an applicant may apply 
for funds to establish or expand services for more than one project, no 
single project will be funded for more than $500,000. The grants are 
intended to cover operating expenses or one-time renovation costs and 
will be funded for a period of eighteen (18) months. HUD reserves the 
right to fund less than the full amount requested in any application.

(e) Eligible Applicants

    Applicants must be non-profit organizations, whose service areas 
include an EZ/EC, that wish to locate child care facilities in or near 
public housing developments by:
    (1) Establishing one or more full-day child care centers or family 
day care homes, or
    (2) Expanding current part-day centers for EZ/EC residents. Family-
based facilities may be in the homes of one or more residents of a 
public housing development.

(f) Eligible Activities

    Awarded funds may only be used for operating expenses and minor 
renovations of facilities necessary for the provision of childhood 
development services in or near public housing developments located in 
EZ/ECS. Funds may not be used for new construction of a facility.
    (1) Operating expenses include such expenses as planning and 
development costs, administration, leasing and/or the purchase of 
equipment and/or leasing vehicles, maintenance, minor or routine 
repairs, security, utilities, furnishings, equipment and supplies 
(including curriculum), insurance, and staff salaries.
    (2) Minor renovations include the reconfiguration of space; 
installation of bathrooms or kitchens; renovations necessary to achieve 
compliance with physical accessibility standards for persons with 
disabilities or required to meet State or local licensing and building 
code standards; landscaping; painting; and lighting. Minor renovations 
does not include the cost associated with lead-based paint abatement 
since removal of lead-based paint is funded through another HUD 
program.

III. Special Requirements

    Interested applicants must adhere to the following requirements 
when developing a proposal:
    (a) The program should not propose to serve children of the same 
ages as those currently being served by existing child care programs in 
or near the targeted public housing development. This prohibition does 
not apply to those applicants who propose to extend the hours of child 
care services provided by a center already located in or near the 
development.
    (b) The appropriate public housing authority must agree to provide, 
at nominal or no cost, suitable facilities to the grantee for provision 
of full-day child care services.
    (c) The full-day child care services program must serve pre-school 
and school children to permit parents or guardians to obtain, retain or 
train for employment.
    (d) The full-day child care center must hire qualified staff who 
have received appropriate training specific to age groups served to 
carry out activities that support early childhood development.
    (e) The full-day child care services program must involve the 
parents of children benefiting from such program, to the extent 
practicable, in the classroom.
    (f) To the extent practicable, the full-day child care services 
program must provide opportunities for the employment of residents from 
the public housing development area, especially elderly residents.
    (g) The full-day child care services and facilities must comply 
with all applicable state and local laws, regulations and ordinances.

IV. Criteria for Review and Evaluation of the Grant Application

    The following are the criteria for the review and evaluation of 
grant applications which HUD will use in selecting grantees:
    (a) Program Quality: comprehensiveness and effectiveness of

[[Page 13952]]
the proposed program. (Maximum: 25 points). The application should 
describe:
    (1) The process by which the full-day child care center or family 
day care home will become operational within a reasonable period of 
time. Applicants should include items such as a timetable covering the 
projected beginning and ending dates of the minor renovations, 
projected date by which staff will be hired, and projected date for 
beginning operations.
    (2) How families and children who are in need of full-day child 
care services and who are residents of public housing or are homeless 
or at risk of becoming homeless will be identified and recruited.
    (3) The range of ages and number of children that will be cared 
for, the adult/child ratios and group sizes by age, the operating hours 
of the full-day child care, and the cost per child of providing 
services.
    (4) What measures will be taken to ensure the health and safety of 
children and staff participating in the program.
    (5) How quality full-day child care services will continue to be 
provided at a reasonable cost at the end of the grant period, including 
an adequate plan for monitoring the quality of programs and services.
    (6) The consistency of care delivered to each child by a particular 
caregiver or caregiver team.
    (b) Capability: the qualifications, experience, or potential 
capabilities of the applicant and participating parties (Maximum: 25 
points). The application should describe:
    (1) The ability and experience of applicant, co-applicants and/or 
subcontractors to perform functions.
    (2) The qualifications of proposed staff, such as a Child 
Development Associate Credential or similar standard.
    (c) Objectives: the extent to which the application reflects the 
purpose of the program. (Maximum: 25 points). The application should 
describe:
    (1) The extent to which the child care services will serve and 
assist the parents or guardians to seek, retain or train for 
employment.
    (2) The community benefit added by the service.
    (3) The public housing development the services will be in or near, 
including street address and the number of resident children in need of 
proposed services.
    (4) How opportunities for employment will be provided, to the 
extent practicable, by the program to public housing development 
residents.
    (d) Coordination and Resources: partnerships formed with and 
participation of the community stakeholders. (Maximum: 25 points). The 
application should describe:
    (1) How community stakeholders, including parents and the public 
housing authority, have worked in partnership in preparing program 
design and implementation.
    (2) The extent to which the services will be coordinated with 
current supportive services, such as Americorps' VISTA and Foster 
Grandparent programs or similar initiatives.
    (3) If the program will serve children who are homeless or at risk 
of becoming homeless, how the services will be coordinated with the 
community's Continuum of Care system or approach.
    (4) Other resources; funds, staff, in-kind or other, committed to 
support the proposed program, including letters of commitment.
    (5) Assurances or firm commitments from community sources to 
continue the project funding beyond the initial funding period.
    (e) EZ/EC Performance: Progress made by the EZ/EC in the 
implementation of its strategic plan and benchmark activities. 
(Maximum: 15 points and two pages). Application should describe 
achievements made in:
    (1) Job creation and business expansion.
    (2) Job training and retention.
    (3) Advancing self-sufficiency.
    (4) Human services delivery.
    (5) Youth development.
    (6) Other activities supportive of the purpose of this NOFA.

V. Application Process

    (a) Nonprofit organizations seeking Childhood Development Program 
assistance must make a specific request for that assistance, in 
accordance with this NOFA.
    (b) Timing of Submission. One original and three copies of 
applications for assistance are due in HUD Headquarters on or before 5 
p.m. Eastern Time on the deadline date. HUD will treat as ineligible 
applications that are received after that deadline. Applications may 
not be sent by facsimile (FAX).
    (c) Other Submission Requirements. All pages of the application 
shall be numbered sequentially. Applications of no more than 22 pages 
should be submitted on 8.5'' x 11'' paper. In addition to the materials 
requested in Section IV of this notice, the nonprofit organization 
shall submit the following:
    (1) SF-424, Application for Federal Assistance;
    (2) The certification regarding lobbying required under 24 CFR part 
87;
    (3) Certification of a Drug-Free Workplace, in accordance with the 
Drug-Free Workplace Act of 1988, and HUD's regulations at 24 CFR part 
24, subpart F;
    (4) A copy of the organization's IRS ruling providing tax-exempt 
status under section 501(c) of the IRS Code of 1986, as amended;
    (5) Line-item budget;
    (6) A written certification stating the project will operate within 
EZ/EC area; and
    (7) A signed statement from the local PHA committing space and/or 
renovation funds to the establishment/expansion of child care facility.
    (d) Each grantee will be required to submit to HUD a progress 
report, in a form prescribed by HUD, within 90 days after the 
completion of the project. Each report shall describe the use of the 
grant funds and include a description and an analysis of the project, 
the approaches taken, and the level of cooperation among participating 
parties.

VI. Technical Deficiencies

    To the extent permitted by law, HUD may advise the applicant of 
technical deficiencies in the applications and permit them to be 
corrected. Due to the requirements of the HUD Reform Act, HUD staff is 
limited in the assistance it is permitted to provide regarding 
applications for grants. The assistance and advice that can be provided 
includes such activities as explaining and responding to questions 
about program requirements, identification of those parts of an 
application that need substantive improvement, the dates by which 
decisions will be made and procedures that are required to be performed 
to process an application. This term, however, does not include 
advising the applicant how to make those improvements.
    In addition, any information published in the Federal Register and 
in this NOFA and any information that has been made public through a 
means other than the Federal Register or NOFA may be discussed.

VII. Other Matters

    (a) Environmental Impact. A Finding of No Significant Impact with 
respect to the environment has been made in accordance with HUD 
regulation at 24 CFR part 50, implementing section 102(2)(C) of the 
National Environmental Policy Act of 1969 (42 U.S.C. 4332). The Finding 
of No Significant Impact is available for public inspection and copying 
between 7:30 am and 5:30 pm weekdays at the Office of the Rules

[[Page 13953]]
Docket Clerk, 451 7th St. SW Room 10276, Washington, DC 20410.
    (b) Environmental Review. Any selected application containing 
funding for minor renovations is subject to environmental review by HUD 
and selection of such an application does not imply HUD approval of any 
particular property for use in the project. HUD will complete an 
environmental review with respect to particular properties, to the 
extent required under 24 CFR part 50, prior to execution of the grant 
agreement. The recipient may not commit HUD or other funds for minor 
renovations until it receives HUD approval of the property. If an 
application is funded only for operating expenses, environmental 
approval by HUD is not required.
    (c) Federalism. The General Counsel, as the Designated Official 
under section 6(a) of Executive Order 12612, Federalism, has determined 
that this NOFA will not have substantial, direct effects on States, on 
their political subdivisions, or on their relationship with the Federal 
Governments, or on the distribution of power and responsibilities 
between them and other levels of governments.
    (d) Family. The General Counsel, as the Designated Official for 
Executive Order 12606, The Family, has determined that the policies 
announced in the NOFA do not have the potential for significant impact 
on family formation, maintenance and general well-being within the 
meaning of the Order. No significant change in existing HUD policies 
and programs will result from issuance of this NOFA, as those policies 
and programs relate to family concerns.
    (e) Prohibition Against Lobbying. The use of funds awarded under 
this NOFA is subject to the disclosure requirements and prohibitions of 
section 319 of the Department of Interior and Related Agencies 
Appropriation Act for Fiscal Year 1990 (31 U.S.C. 1351) and the 
implementing regulations at 24 CFR part 87. These authorities prohibit 
recipients of Federal contracts, grants, or loans from using 
appropriated funds for lobbying the Executive or Legislative Branches 
of the Federal Government in connection with a specific contract, 
grant, or loan. The prohibition also covers the awarding of contracts, 
grants, cooperative agreements, or loans unless the recipient has made 
an acceptable certification regarding lobbying. Under 24 CFR part 87, 
applicants, recipients, and subrecipients of assistance exceeding 
$100,000 must certify that no Federal funds have been or will be spent 
on lobbying activities in connection with the assistance.
    (f) Prohibition Against Advance Disclosure of Funding Decisions. 
HUD's regulations implementing section 103 of the HUD Reform Act are 
codified at 24 CFR part 4 and apply to the funding competition 
announced today. The requirements of part 4 continue to apply until the 
announcement of the selection of successful applicants.
    HUD employees involved in the review of applications and in the 
making of funding decisions are restrained by part 4 from providing 
advance information to any person (other than an authorized employee of 
HUD) concerning funding decisions, or from otherwise giving any 
applicant an unfair competitive advantage. Persons who apply for 
assistance in this competition should confine their inquiries to the 
subject areas permitted by 24 CFR part 4.
    Applicants or employees who have ethics related questions should 
contact the HUD Office of Ethics (202) 708-3815. (This is not a toll-
free number.) For HUD employees who have specific program questions, 
such as whether subject matter can be discussed with persons outside 
HUD, the employee should contact the appropriate Field Office Counsel, 
or Headquarters counsel for the program to which the question pertains.
    (g) Accountability in the Provision of HUD Assistance. HUD's 
regulation implementing section 102 of the HUD Reform Act is codified 
at 24 CFR part 12. Section 102 contains a number of provisions that are 
designed to ensure greater accountability and integrity in the 
provision of certain types of assistance administered by HUD. On 
January 16, 1992 (57 FR 1942), following publication of the final rule, 
HUD published additional information that gave the public (including 
applicants for, and recipients of, HUD assistance) further information 
on the implementation, public access, and disclosure requirements of 
section 102. The requirements of section 102 are applicable to 
assistance awarded under this NOFA.
    (1) Documentation and Public Access Requirements. HUD will ensure 
documentation and other information regarding each application 
submitted pursuant to this NOFA are sufficient to indicate the basis 
upon which assistance was provided or denied. This material, including 
any letters of support, will be made available for public inspection 
for a five-year period beginning not less than 30 days after the award 
of the assistance. Material will be made available in accordance with 
the Freedom of Information Act (5 U.S.C. 552) and HUD's implementing 
regulations at 24 CFR part 15. In addition, HUD will include the 
recipients of assistance pursuant to this NOFA in its Federal Register 
notice of all recipients of HUD assistance awarded on a competitive 
basis. (See 24 CFR 12.14 (a) and 12.6 (b), and the notice published in 
the Federal Register on January 16, 1992 (57 FR 1942) for further 
information on these requirements.)
    (2) Disclosures. HUD will make available to the public for five 
years all applicant disclosure reports (HUD Form 2880) submitted in 
connection with this NOFA. Update reports (also Form 2880) will be made 
available along with the applicant disclosure reports, but in no case 
for a period of less than three years.

    Authority: Section 222 of the Housing and Urban-Rural Recovery 
Act of 1983 and the Departments of Veterans Affairs and Housing and 
Urban Development and Independent Agencies Appropriations Acts of 
1994 and 1995 (P.L. 103-327 and P.L. 103-327, respectively).

Applicant Certifications

    To be Signed By The Authorized Representative of the Applicant and 
Submitted with the Application.
    The Applicant hereby assures and certifies that:
    A. It meets the criteria for eligible applications defined in the 
Early Childhood Development NOFA and has the legal authority to apply 
for Federal assistance and the institutional, managerial and financial 
capability to ensure proper planning, management and completion of the 
project described in this application and it shall comply with all 
applicable Federal and state civil rights and housing laws and 
implementing regulations as those requirements now exist, or as they 
may be enacted, promulgated or amended from time to time.
    B. It will comply with the requirements of the Fair Housing Act (42 
U.S.C. 3601-19) and implementing 24 CFR Part 100, Part 109 and Part 
110; Executive Order 11063, as amended (Equal Opportunity in Housing) 
and implementing 24 CFR 107; Titles II and V of the Americans with 
Disabilities Act, 42 U.S.C. Secs. 12101 et seq.; and Title VI of the 
Civil Rights Act of 1964 (42 U.S.C. 2000d) (Nondiscrimination in 
Federally Assisted Programs) and implementing at 24 CFR Part 1, or, for 
applicants which are Indian Tribes or Indian Housing Authorities, the 
Indian Civil Rights Act (25 U.S.C. 1201 et seq.).
    C. It will comply with the requirements of the Age Discrimination 
Act of 1975 (42 U.S.C. 6101-07) and implementing 24 CFR 146, and 
Section 504 of the Rehabilitation Act of 19973

[[Page 13954]]
(29 U.S.C. 794) and implementing 24 CFR 8.
    D. It will comply with the requirements of Executive Order 11426, 
as amended (Equal Employment Opportunity) and implementing 41 CFR Part 
60 and the requirements of Executive Orders 11625, 12432, and 12138, 
which state that recipients must make efforts to encourage the use of 
minority-and women-owned business enterprises in connection with funded 
activities.
    E. It will comply with the requirements of Section 3 of the Housing 
and Urban Development Act of 1968, (U.S.C. 1701u) (Employment 
Opportunities for Lower Income Persons in Connection with Assisted 
Projects); and Section 109 of the Housing and Community Development Act 
of 1974, 42 U.S.C. 5309.
    F. It will comply with the requirements of section 1352, Title 31, 
U.S.C. and the implementing 24 CFR Part 87, and, if this application is 
requesting more than $100,000, it certifies that:
    (1) No Federally 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 or modification of 
this grant.
    (2) If any funds other than Federally appropriated funds have been 
paid or will be paid to any person for influencing or attempting to 
influence any person defined in (1) above in connection with this 
Federal grant, 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 this 
grant) and that all subrecipients shall certify and disclose 
accordingly.
    Any person who fails to file the required certification shall be 
subject to a civil penalty of not less than $10,000 and of not more 
than $100,000 for each such failure. Indian Housing Authorities (IHAs) 
established by an Indian tribe as a result of the exercise of its 
sovereign power are excluded from coverage, but IHAs established under 
state law are not excluded from coverage.
    G. It and its principals: (1) are not presently debarred suspended, 
proposed for debarment, declared ineligible, or voluntarily excluded 
from covered transactions (see 24 CFR 24,.110) 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 embezzlement, theft, forgery, bribery, 
falsification or destruction of records, making false statements, or 
receiving stolen property; (3) are not presently indicated for or 
otherwise criminally or civilly charged by a governmental entity 
(Federal, State or local) with the commission of any of the offenses 
enumerated in (2) above; and (4) have not within a three-year period 
preceding this application had one or more public transactions 
terminated for cause or default. Where the applicant is unable to 
certify any of the statements in this certification, such applicant 
shall attach an explanation behind this page.

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Signature of Authorized Certifying Official and Date

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Title

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Organization

Certification Regarding Drug-Free Workplace Requirements

Instruction for Certification

    1. By submitting this application, the applicant is providing 
certification set out below.
    2. The certification set out below is a material representation of 
fact upon which reliance will be placed if HUD determines to award a 
grant to the applicant. If it is later determined that the applicant 
knowingly rendered a false certification, or otherwise violates the 
requirements of the Drug-Free Workplace Act, HUD, in addition to any 
other remedies available to the Federal Government, may take action 
authorized under the Drug-Free Workplace Act.

Certification Regarding Drug-Free Workplace Requirements

    A. The applicant certifies that it will provide drug-free workplace 
by:
    (a) 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;
    (b) establishing an ongoing 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 upon employees for drug abuse 
violations occurring in the workplace;
    (c) 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);
    (d) 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 
the violation occurring in the workplace no later than five days after 
such conviction:
    (e) notifying HUD within ten days after receiving notice under 
subparagraph (d)(2) from an employee or otherwise receiving actual 
notice of such conviction.
    (f) taking one of the following actions, within 30 days of 
receiving notice under subparagraph (d)(2), with respect to any 
employee who is so convicted:
    (1) taking appropriate personnel action against such an employee, 
up to an 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;
    (g) making a good faith effort to continue to maintain a drug-free 
workplace through implementation of paragraphs (a) through (f) above.
    B. The applicant shall insert in the space provided below the 
site(s) for the performance of work done in connection with the 
specific grant.

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Place of Performance (street address, city, state and zip code)

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Signature of Authorized Certifying Official and Date

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Title

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Organization

    Dated: March 12, 1996.
Andrew Cuomo,
Assistant Secretary for Community Planning and Development.
[FR Doc. 96-7490 Filed 3-27-96; 8:45 am]
BILLING CODE 4210-29-P