[Federal Register Volume 62, Number 95 (Friday, May 16, 1997)]
[Notices]
[Pages 27045-27059]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-12939]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Administration for Children and Families
[Program Announcement No. 97-06]


Family Violence Prevention and Services Program

AGENCY: Office of Community Services, ACF, DHHS.

ACTION: Notice of the availability of funding to States and Native 
American Tribes and Tribal organizations for family violence prevention 
and services.

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SUMMARY: This multi-year announcement supersedes Program Announcement 
No. OCS 95-04, published January 11, 1995 in Volume 60, No.7, pages 
2769-2780 of the Federal Register. This announcement governs the 
proposed award of formula grants under the Family Violence Prevention 
and Services Act to States (including Territories and Insular Areas) 
and Native American Tribes and Tribal organizations. The purpose of 
these grants is to assist States and Tribes in establishing, 
maintaining, and expanding programs and projects to prevent family 
violence and to provide immediate shelter and related assistance for 
victims of family violence and their dependents.
    This announcement sets forth the application requirements, the 
application process, and other administrative and fiscal requirements 
for grants in fiscal years (FY) 1997 through FY 2000.

CLOSING DATES AND APPLICATIONS: Applications for FY 1997 family 
violence grant awards meeting the criteria specified in this 
announcement should be received no later than July 15, 1997. Grant 
applications for FY 1998 through FY 2000 should be received at the 
address specified below by December 15 of each subsequent fiscal year.

ADDRESSES: Applications should be sent to Office of Community Services, 
Administration for Children and Families, Attn: William D. Riley, 5th 
Floor, West Wing, 370 L'Enfant Promenade, SW., Washington, D.C. 20447.

FOR FURTHER INFORMATION CONTACT: William D. Riley (202) 401-5529, James 
Gray (202) 401-5705 or Trudy Hairston (202) 401-5319.

SUPPLEMENTARY INFORMATION:

    Note: We Strongly Recommend That States and Native American 
Tribes and Tribal Organizations Keep a Copy of This Federal Register 
Notice for Future Reference. The Requirements Set Forth in This 
Announcement Will Apply to State and Native American Family Violence 
Program Grants for FY 1997 Through FY 2000. Information Regarding 
Any Changes in Available Funds, State/Tribal Allocations, and 
Administrative and Reporting Requirements Will Be Provided by 
Program Announcement in the Federal Register or by Program 
Instruction.

Part I. Reducing Family and Intimate Violence Through Coordinated 
Prevention and Services Strategies

A. The Importance of Coordination of Services

    Family and intimate violence has serious and far reaching 
consequences for individuals, families and communities. A recent report 
from the National Research Council, ``Understanding Violence Against 
Women'' (1996) concludes that, ``Women are far more likely than men to 
be victimized by an intimate partner (Kilpatrick, et. al., 1992; 
Bachman, 1994; Bachman and Saltzman, 1995) * * * It is important to 
note that attacks by intimates are more dangerous to women than attacks 
by strangers: 52 percent of the women victimized by an intimate sustain 
injuries, compared with 20 percent of those victimized by a stranger 
(Bachman and Saltzman, 1995). Women are also significantly more likely 
to be killed by an intimate than are men. In 1993, 29 percent of female 
homicide victims were killed by their husbands, ex-husbands, or 
boyfriends; only 3 percent of male homicide victims were killed by 
their wives, ex-wives, or girlfriends (Federal Bureau of Investigation, 
1993).''
    The impacts of such family and intimate violence include physical 
injury and death of primary or secondary victims, psychological trauma, 
isolation from family and friends, harm to children witnessing or 
experiencing violence in homes in which the violence occurs, increased 
fear, reduced mobility and employability, homelessness, substance 
abuse, and a host of other health and related mental health 
consequences.
    It is estimated that between 12 percent and 35 percent of women 
visiting emergency rooms with injuries are there because of battering 
(Randall, 1990; Abbot, et. al., 1995). Estimates of the number of women 
who are homeless because of battering range from 27 percent (Knickman 
and Weitzman, 1989) to 41 percent (Bassuk and Rosenberg, 1988) to 63 
percent of all homeless women (D'ercole and Struening, 1990). The 
significant correlation between domestic violence and child abuse 
(Edelson, 1995; Stark and Flitcraft, 1988; Strauss and Gelles, 1990), 
and the use of welfare by battered women as an ``economic escape 
route'' (Raphael, 1995) also suggest the need to coordinate domestic 
violence intervention activities with those addressing child abuse and 
welfare reform activities at the Federal, State and local levels.
    When programs that seek to address these issues operate 
independently of each other, a fragmented, and consequently less 
effective, service delivery and prevention system may be the result. 
Coordination and collaboration among the police, prosecutors, the 
courts, victim services providers, child welfare and family 
preservation services, and medical and mental health service providers 
is needed to provide more responsive and effective services to victims 
of domestic violence and their families. It is essential that all 
interested parties are involved in the design and improvement of 
intervention and prevention activities.
    To help bring about a more effective response to the problem of 
domestic violence, the Department of Health and Human Services (HHS) 
urges States and Native American Tribes receiving funds under this 
grant announcement to coordinate activities funded under this grant 
with other new and existing resources for the prevention of family and 
intimate violence and related issues.

B. On-Going Coordination Efforts

1. Federal Coordination
    In the fall of 1993, a Federal Interdepartmental Work Group 
(including the Departments of Health and Human Services, Justice, 
Education, Housing and Urban Development, Labor, and Agriculture) began 
working together to study cross-cutting issues related to violence, and 
to make recommendations for action in areas such as youth development, 
schools,

[[Page 27046]]

juvenile justice, family violence, sexual assault, firearms, and the 
media. The recommendations formed a framework for ongoing policy 
development and coordination within and among the agencies involved.
    Based on these initial coordination efforts, a new 
interdepartmental strategy was developed for implementing the programs 
and activities enacted in the Violent Crime Control and Law Enforcement 
Act of 1994 (Crime Bill). A Steering Committee on Violence Against 
Women is currently coordinating activities among family violence-
related programs and across agencies and departments. Also, in 1996, 
the Departments of Justice and Health and Human Services announced the 
formation of a National Advisory Council on Violence Against Women to 
help coordinate efforts, assist victims, and advise the Federal 
Government on implementation of the Violence Against Women Act (VAWA).
2. Opportunities for Coordination at the State and Local Level
    The major domestic violence intervention and prevention activities 
funded by the Federal government focus on law enforcement and justice 
system strategies; victim protection and assistance services; and 
prevention activities, including public awareness and education. 
Federal programs also serve related needs, such as housing, family 
preservation and child welfare services, substance abuse treatment, and 
job training.
    We want to call to your attention two major programs, enacted by 
Congress in the past few years, that provide new funds to expand 
services and which require the on-going involvement of State agencies, 
Indian tribes, State Domestic Violence Coalitions, and others 
interested in prevention and services for victims of domestic violence. 
These programs are: Law Enforcement and Prosecution Grants to Reduce 
Violent Crimes Against Women, administered by the Department of 
Justice, (also known as the STOP grants), and the Family Preservation 
and Support Services program, administered by DHHS. Both programs 
(described below) require the State agencies and Indian tribes 
administering these programs to conduct an inclusive, broad-based, 
comprehensive planning process at the State and community level.
    In addition, the Personal Responsibility and Work Opportunity 
Reconciliation Act of 1996, the Welfare Reform law, offers an 
opportunity for those organizations providing domestic violence 
intervention and prevention services to work with State welfare 
agencies in providing safety planning and services to welfare 
recipients who may be battered. We believe the expertise and 
perspective of the family violence prevention and services field will 
be invaluable as decisions are made on how best to use these funds and 
design service delivery improvements.
(a) Law Enforcement and Prosecution Grants To Reduce violence Crimes 
Against Women
    Enacted as part of the Violence Against Women Act (VAWA), this law 
provides an opportunity to respond to violence against women in a 
comprehensive manner. It emphasizes the development of Federal, State 
and local partnerships to assure that offenders are prosecuted to the 
fullest extent of the law, that crime victims receive the services they 
need and the dignity they deserve, and that all parts of the criminal 
justice system have training and funds to respond effectively to both 
offenders and crime victims.
    The Office of Justice Programs (OJP) in the Department of Justice 
(DOJ) implemented a new formula grant program, known informally as the 
Stop Violence Against Women Formula Grants (Services, Training, 
Officers, prosecution) which made available $26 million to States in FY 
1995, $130 million to States in FY 1996, and $145 million to States in 
FY 1997.
    States must allocate at least 25 percent of their funds to law 
enforcement activities, at least 25 percent to prosecution activities, 
and at least 25 percent to nonprofit nongovernmental victims services, 
including underserved populations. These grant funds are to help 
develop, strengthen, and implement effective law enforcement, 
prosecution, and victim assistance strategies. Eligibility for this 
program is limited to the States, Territories and the District of 
Columbia.
    The Violence Against Women Act stipulates that four percent of the 
funds appropriated each year for the STOP program will be awarded to 
Indian tribal governments. The OJP grant regulations and program 
guidelines will address the requirements of both the formula grant and 
the Indian grant programs.
    In order to be eligible for DOJ funds, States must develop a plan 
for implementation. As a part of the planning process, the Violence 
Against Women Act requires that States must consult with nonprofit, 
nongovernmental victims' services programs including sexual assault and 
domestic violence victim services programs. Such a coordinated approach 
will also require a partnership and collaboration among the police, 
prosecutors, the courts, shelter and victims service providers, and 
medical and mental health professionals. OJP expects that States will 
draw into the planning process the experience of existing domestic 
violence task forces and coordinating councils such as the State 
Agencies and the State Domestic Violence Coalitions, as well as 
representatives from key components of the criminal justice system and 
other professionals who interact with women who are victims of 
violence.
(b) Family Preservation and Family Support Services Program
    In August 1993, Congress created a new program entitled ``Family 
Preservation and Support Services'' (Title IV-B of the Social Security 
Act). Funds under this program are awarded to State Child Welfare 
agencies to provide needed services and to help bring about better 
coordination among child and family services programs at the state and 
local level. Many jurisdictions are including domestic violence 
programs and advocacy organizations in their on-going planning and 
services system to better address the needs of victims of family 
violence and their dependents.
    Family preservation services include intensive services assisting 
families at-risk or in crisis, particularly in cases where children are 
at risk of being placed out of the home. Victims of family violence and 
their dependents are considered at-risk or in crisis.
    Family support services include community-based preventive 
activities designed to strengthen parents' ability to create safe, 
stable, and nurturing home environments that promote healthy child 
development. These services also include assistance to parents 
themselves through home visiting and activities such as drop-in center 
programs and parent support groups.
(c) The Personal Responsibility and Work Opportunity Reconciliation Act 
of 1996 (Welfare Reform)
    On August 22, 1996, Public Law 104-193 was enacted which abolished 
Aid to Families with Dependent Children (AFDC) and other related 
programs. Under this new law, the authority and responsibility to 
determine which families will receive assistance (cash and/or services) 
and how much under the new Temporary Assistance to Needy Families 
(TANF) Block Grant, (which replaces AFDC) has been shifted from the 
Federal government to the States; States will also decide which 
programs

[[Page 27047]]

will exist within their States to serve eligible families.
    Under this new law, each State must submit a State plan to the 
Department of Health and Human Services in order to receive TANF block 
grant funds. The plan must certify that local government and private 
sector organizations have been consulted about the plan and have had at 
least 45 days in which to comment. There are two areas of the Act which 
specifically refer to domestic violence: (1) States are allowed to 
exempt 20 percent of their caseload from the 60-month limit on 
receiving welfare benefits for ``reason of hardship or if the family 
includes an individual who has been battered or subjected to extreme 
cruelty'' (Section 408(a)(7)(C)(i)); and (2) the Family Violence 
Amendment, (also known as the Wellstone/Murray Family Violence 
provision), where States have the option to include a certification 
about victims of domestic violence in their State plans which allows 
States to waive certain requirements for certain domestic violence 
victims (Section 402(a)(7)).
(d) The Role and Activities of State Domestic Violence Coalitions in 
Coordination
    State Domestic Violence Coalitions have an important role in 
ensuring that these and other Federal and State initiatives are 
informed by and coordinated with related intervention and prevention 
efforts. It remains important that State coalition efforts to improve 
the judicial, social services, and health systems response to domestic 
violence continue to expand and are coordinated with State agency 
initiatives in these areas.
    In 1966, the National Center for Injury Prevention and Control of 
the Centers for Disease Control and Prevention (CDC) initiated a 
project to compile an inventory of funding sources for domestic 
violence and sexual assault coalitions and community-based programs. 
This included a survey of coalitions and programs to identify the types 
of funding received and the activities this funding supported. The 
survey used the following categories to capture the range of activities 
of many State domestic violence coalitions:
    Services Advocacy includes work to support the growth and 
development of community-based domestic violence programs, including 
the provision of training and technical assistance to those providing 
direct services (e.g., providing training and technical assistance to 
hotline /shelter workers and legal advocates, developing program 
standards for domestic violence programs).
    Systems Advocacy is work to effect policy and procedural change in 
order to improve the institutional response to domestic violence (e.g., 
developing protocols for medical or mental health providers, training 
for those who work in the criminal and civil justice, welfare ,child 
protective services, legal services, and educational systems. The 
development of coordinated community interventions, public policy 
advocacy directed at changing State/local laws, policies, practices 
related to domestic violence, and the development and implementation of 
statewide standards for batterers intervention programs).
    Statewide Planning includes needs assessment and planning 
activities designed to document gaps in current response and prevention 
efforts and to guide future activities.
    Public Awareness/Community Education includes work designed to 
inform and mobilize the general public around domestic violence issues 
(e.g., education programs in elementary, middle and high schools and 
expanded outreach to underserved populations).
    Administration includes activities directed at supporting 
organizational functioning, such as fiscal and programmatic record 
keeping and reporting, state-wide management of programs, and 
fundraising.
    Direct Services are those provided directly to victims of domestic 
violence or to their families, friends, or supporters by a State 
coalition (e.g., State-wide hotline, information and referral, legal 
advocacy services, etc.).
    The above categories are included as an overview of the role that 
State coalitions may play in domestic violence intervention and 
prevention and the types of collaborative activities the Family 
Violence Prevention and Service Act are meant to support.

Part II. Programmatic and Funding Information

A. Background

    Title III of the Child Abuse Amendments of 1984 (Public Law 98-457, 
42 U.S.C. 10401 et seq.) is entitled the ``Family Violence Prevention 
and Services Act'' (the Act). The Act was first implemented in FY 1986, 
reauthorized and amended in 1992 by Public Law 102-295, in 1994 by 
Public Law 103-322, the Violent Crime Control and Law Enforcement Act, 
and in 1996 by Pub. L. 104-235, the Child Abuse Prevention and 
Treatment Act (CAPTA) of 1996.
    The purpose of this legislation is to assist States and Native 
American Tribes and Tribal organizations in supporting the 
establishment, maintenance, and expansion of programs and projects to 
prevent incidents of family violence and to provide immediate shelter 
and related assistance for victims of family violence and their 
dependents.
    During FY 1996, 220 grants were made to States and Native American 
Tribes. The Department also made 52 family violence prevention grant 
awards to nonprofit State domestic violence coalitions.
    In addition, the Department supports the National Resource Center 
for Domestic Violence (NRC) and three Special Issue Resource Centers 
(SIRCs). The SIRCs are the Battered Women's Justice Project; the 
Resource Center on Child Custody and Protection, and the Health 
Resource Center on Domestic Violence. The purpose of the NRC and the 
SIRCs is to provide resource information, training, and technical 
assistance to Federal, State, and Native American agencies, local 
domestic violence prevention programs, and other professionals who 
provide services to victims of domestic violence.
    To carry out a new provision of the Crime Bill, the President 
announced in February, 1996, the Department's funding of a national 
domestic violence hotline to ensure that every woman has access to 
information and emergency assistance wherever and whenever she needs 
it. The national domestic violence hotline is a 24-hour, toll-free 
service which provides crisis assistance, counseling, and local shelter 
referrals to women across the country. Hotline counselors also are 
available for non-English speaking persons and for people who are 
hearing impaired. The hotline number is 1-800-799-SAFE; the TDD number 
for the hearing impaired is 1-800-787-3224

B. Funds Available

    Congress appropriated $62,000,000 for FY 1997 to carry out the 
Family Violence Prevention and Services program. In addition, through 
the Violence Crime Reduction Trust Fund, $10,800,000 was authorized for 
the Grants to Battered Women's Shelter program and $1,200,000 for the 
National Domestic Violence Hotline. The grant award for the National 
Domestic Violence Hotline is made in a separate announcement.
    Of the total appropriated in section 310(a) for fiscal year 1997, 
we will allocate 70 percent of the total ($72,800,000) to the 
designated State agencies administering family violence prevention and 
services programs; 10 percent to the Tribes and Tribal organizations 
for the establishment and operation of shelters, safe houses, and

[[Page 27048]]

the provision of related services; and 10 percent to the State Domestic 
Violence Coalitions to continue their work within the domestic violence 
community by proving technical assistance and training, and advocacy 
services among other activities with local domestic violence programs 
and to encourage appropriate responses to domestic violence within the 
States.
    We also will make 5 percent of the $72,800,000 available to 
continue the support for the National Resource Center and the three 
Special Issue Resource Centers. The remaining 5 percent of the FY 1997 
family violence prevention and services funding will be used to support 
training and technical assistance, collaborative projects with advocacy 
organizations and service providers, data collection efforts, public 
education activities, research and other demonstration activities.

C. State Allocation

    The Secretary is required to make available not less than 70 
percent of amounts appropriated under Section 310(a) for grants to 
States and not less than 10% of amounts appropriated under Section 
310(a) for grants to Native American Tribes and Tribal organizations.
    Family Violence grants to the States, the District of Columbia, and 
the Commonwealth of Puerto Rico are based on population. Each grant 
shall be not less than 1% of the amounts appropriated for grants under 
section 303(a) or $400,000, whichever is the lesser amount. The CAPTA 
reauthorization raised the minimum grant to States from $200,000 to 
$400,000. State allocations are listed as Appendix A at the end of this 
announcement and have been computed based on the formula in section 304 
of the Act.
    For the purpose of computing allotments, the statute provides that 
Guam, American Samoa, the Virgin Islands, the Northern Mariana Islands, 
and the Republic of Palau will each receive grants of not less than 
one-eighth of 1% of the amounts appropriated. However, on October 1, 
1994, Palau became independent and a Compact of Free Association 
between the United States and Palau came into effect. This change in 
the political status of Palau has the following effect on Palau's 
allocation:
    In FY 95, Palau was entitled to 100% of its allocation. Beginning 
in FY 96, its share was to be reduced as follows:
    FY 96--not to exceed 75% of the total amount appropriated for such 
programs in FY 95;
    FY 97--not to exceed 50% of the total amount appropriated for such 
programs in FY 95;
    FY 98--not to exceed 25% of the total amount appropriated for such 
programs in FY 95.

D. Native American Tribal Allocations

    Of the $72,800,000 appropriated for FY 1997, $7,280,000 is 
authorized for grants to Native American Tribes. Native American Tribes 
and Tribal organizations are eligible for funding under this program if 
they meet the definition of such entities as found in subsections (b) 
and (c), respectively, of section 4 of the Indian Self-Determination 
and Education Assistance Act and are able to demonstrate their capacity 
to carry out a family violence prevention and services program.
    A list of currently eligible Native American Tribes is found at 
Appendix B of this Announcement. Any Native American Tribe that 
believes it meets the eligibility criteria and should be included in 
the list of eligible tribes should provide supportive documentation in 
its application and a request for inclusion. (See Native American 
Tribal Application Requirements in Part V.)
    In computing Native American Tribal allocations, we will use the 
latest available population figures from the Census Bureau. Where 
Census Bureau data are unavailable, we will use figures from the BIA 
Indian Population and Labor Force Report. If not all eligible Tribes 
apply, the available funds will be divided proportionally among the 
Tribes which do apply and meet the requirements.
    Because section 304 of the Act specifies a minimum base amount for 
State allocations, we have set a base amount for Native American Tribal 
allocations. Since FY 1986, we have found, in practice, that the 
establishment of a base amount has facilitated our efforts to make a 
fair and equitable distribution of limited grant funds.
    Due to the expanded interest in the prevention of family violence 
and in the provision of services to victims of family violence and 
their dependents, we have received an increasing number of tribal 
applications over the past several years. In order to ensure the 
continuance of an equitable distribution of family violence prevention 
and services funding in response to the increased number of tribes that 
apply, we have changed the funding formula for the allocation of family 
violence funds.
    In addition to the consideration of the applicant tribe being over 
or under a 3,000 member residential census we now consider the ratio of 
the tribe's population to the total population of all the tribes that 
have applied for these funds.
    Native American Tribes which meet the application requirements and 
whose reservation and surrounding Tribal Trust Lands population is:
     Less than 1,500 will receive a minimum base amount of 
$1,500;
     Greater than 1,500 but less than 3,001 will receive a 
minimum base amount of $3,000;
     Between 3,001 and 4,000 will receive a minimum base amount 
of $4,000; and
     Between 4,001 and 5,000 will receive a minimum base amount 
of $5,000.
    The minimum base amounts are in relation to the Tribe's population 
and the progression of an additional $1,000 per 1,000 persons in the 
population range continues until the Tribe's population is 50,000.
    Tribes with a population of 50,000 to 100,000 will receive a 
minimum of $50,000, and Tribes with a population of 100,001 to 150,000 
will receive a minimum of $100,000.
    Once the base amounts have been distributed to the Tribes that have 
applied for family violence funding, the ratio of the Tribe's 
population to the total population of all the applicant Tribes is then 
considered in allocating the remainder of the funds. With the 
distribution of a proportional amount plus a base amount to the Tribes 
we have accounted for the variance in actual population and scope of 
the family violence programs. Under the previous allocation plan we did 
not have a method by which to consider the variance in tribal census 
counts. As in previous years, Tribes are encouraged to apply as 
consortia for the family violence funding.

Part III. General Grant Requirements Applicable to States and Native 
American Tribes

A. Definitions

    States and Native American Tribes should use the following 
definitions in carrying out their programs. The definitions are found 
in section 309 of the Act.
    (1) Family Violence: Any act or threatened act of violence, 
including any forceful detention of an individual, which (a) results or 
threatens to result in physical injury and (b) is committed by a person 
against another individual (including an elderly person) to whom

[[Page 27049]]

such person is or was related by blood or marriage or otherwise legally 
related or with whom such person is or was lawfully residing.
    (2) Shelter: The provision of temporary refuge and related 
assistance in compliance with applicable State law and regulation 
governing the provision, on a regular basis, which includes shelter, 
safe homes, meals, and related assistance to victims of family violence 
and their dependents.
    (3) Related assistance: The provision of direct assistance to 
victims of family violence and their dependents for the purpose of 
preventing further violence, helping such victims to gain access to 
civil and criminal courts and other community services, facilitating 
the efforts of such victims to make decisions concerning their lives in 
the interest of safety, and assisting such victims in healing from the 
effects of the violence. Related assistance includes:
    (a) Prevention services such as outreach and prevention services 
for victims and their children, employment training, parenting and 
other educational services for victims and their children, preventive 
health services within domestic violence programs (including nutrition, 
disease prevention, exercise, and prevention of substance abuse), 
domestic violence prevention programs for school age children, family 
violence public awareness campaigns, and violence prevention counseling 
services to abusers;
    (b) Counseling with respect to family violence, counseling or other 
supportive services by peers individually or in groups, and referral to 
community social services;
    (c) Transportation, technical assistance with respect to obtaining 
financial assistance under Federal and State programs, and referrals 
for appropriate health-care services (including alcohol and drug abuse 
treatment), but does not include reimbursement for any health-care 
services;
    (d) Legal advocacy to provide victims with information and 
assistance through the civil and criminal courts, and legal assistance; 
or
    (e) Children's counseling and support services, and child care 
services for children who are victims of family violence or the 
dependents of such victims.

B. Expenditure Periods

    The family violence prevention funds under the Act may be used for 
expenditures on and after October 1 of each fiscal year for which they 
are granted, and will be available for expenditure through September 30 
of the following fiscal year, i.e., FY 1997 funds may be used for 
expenditures from October 1, 1996 through September 30, 1998.
    Reallotted funds, if any, are available for expenditure until the 
end of the fiscal year following the fiscal year that the funds became 
available for reallotment. FY 1997 grant funds which are made available 
to the States through reallotment, under section 304(d)(1), must be 
expended by the State no later than September 30, 1998.

C. Reporting Requirements: New State Performance Report

    The Crime Bill amended the Act to add new reporting requirements 
for States in section 303(a)(4). This section requires that States file 
a performance report with the Department describing the activities 
carried out, and including an assessment of the effectiveness of those 
activities in achieving the purposes of the grant. A section of this 
performance report must be completed by each grantee or subgrantee that 
performed the direct services contemplated in the State's application 
certifying performance of such services.
    The Performance Report may include examples of success stories 
about the services which were provided and the positive impact on the 
lives of children and families and should include the following 
information: an explanation of the activities carried out, including 
and assessment of the major activities supported by the family violence 
funds, what specific priorities within the State, Tribe, or Tribal 
organization were assessed, and what special emphases were placed on 
these activities; e.g., including under-served populations and a 
description of the specific services and facilities that your agency 
funded, contracted with, or otherwise used in the implementation of 
your program (e.g., shelters, safehouse, related assistance, programs 
for batterers).
    Performance reports are due on an annual basis at the end of the 
calendar year (December 29).
    The statute also requires the Department to suspend funding for an 
approved application if any applicant fails to submit an annual 
performance report or if the funds are expended for purposes other than 
those set forth under this announcement.

D. Reporting Requirements; Departmental Grants Management Reports

    All State and Native American Tribal grantees are reminded that the 
annual Program Reports and annual Financial Status Reports (Standard 
Form 269) are due 90 days after the end of each Federal fiscal year, 
i.e., reports are due on December 29 of each year.

E. Required Certifications

    All applications must submit or comply with the required 
certifications found at Appendix C as follows:
     Anti-Lobbying Certification and Disclosure Form must be 
signed and submitted with the application: If applicable, a standard 
Form LLL, which discloses lobbying payments must be submitted.
     Certification Regarding Drug-Free Workplace Requirements 
and the Certification Regarding Debarment: The signature on the 
application by the chief program official attests to the applicants 
intent to comply with the Drug-Free Workplace requirements and 
compliance with the Debarment Certification. The Drug-Free Workplace 
and Debarment certification do not have to be returned with the 
application.
     Certification Regarding Environmental Tobacco Smoke: The 
signature on the application by the chief program official attests to 
the applicants intent to comply with the requirements of the Pro-
Children Act of 1994 (Act). The applicant further agrees that it will 
require the language of this certification be included in any sub-
awards which contain provisions for children's services and that all 
grantees shall certify accordingly.

Part IV. Application Requirements for States

A. Eligibility: States

    ``States'' as defined in section 309(6) of the Act are eligible to 
apply for funds. The term ``State'' means each of the several States, 
the District of Columbia, the Commonwealth of Puerto Rico, Guam, 
American Samoa, the Virgin Islands, the Commonwealth of the Northern 
Mariana Islands, and the remaining eligible entity previously a part of 
the Trust Territory of the Pacific Islands--the Republic of Palau.
    In the past, Guam, the Virgin Islands and the Commonwealth of the 
Northern Mariana Islands have applied for funds as a part of their 
consolidated grant under the Social Services Block grant (the Republic 
of Palau has applied for funds through the Community Services Block 
Grant). These jurisdictions need not submit an application under this 
Program Announcement if they choose to have their allotment included as 
part of a consolidated grant application.

B. Approval/Disapproval of a State's Application

    The Secretary will approve any application that meets the 
requirements

[[Page 27050]]

of the Act and this announcement and will not disapprove any such 
application except after reasonable notice of the Secretary's intention 
to disapprove has been provided to the applicant and after a 6-month 
period providing an opportunity for applicant to correct any 
deficiencies.
    The notice of intention to disapprove will be provided to the 
applicant within 45 days of the date of the application.

C. Content of the State Application

    The State's application must be signed by the Chief Executive of 
the State or the Chief Program Official designated as responsible for 
the administration of the Act.
    All applications must contain the following information or 
documents:
    (1) The name of the State agency, the name of the Chief Program 
Official designated as responsible for the administration of funds 
under this Act, and the name of a contact person if different from the 
Chief Program Official (section 303(a)(2)(D)).
    (2) A plan describing in detail how the needs of underserved 
populations will be met, including populations underserved because of 
ethnic, racial, cultural, language diversity or geographic isolation 
(section 303(a)(2)(c)).
    (a) Identify the underserved populations that are being targeted 
for outreach and services.
    (b) In meeting the needs of the underserved population, describe 
the domestic violence training that will be provided to the individuals 
who will do the outreach and intervention to these populations. 
Describe the specific service environment, e.g., new shelters, services 
for the battered elderly, women of color etc.
    (c) Describe the public information component of the State's 
outreach program; describe the elements of your program that are used 
to explain domestic violence, the most effective and safe ways to seek 
help, identify available resources, etc.
    (3) Provide a complete description of the process and procedures 
used to involve State domestic violence coalitions and other 
knowledgeable individuals and interested organization to assure an 
equitable distribution of grants and grant funds within the State and 
between rural and urban areas in the State (sections 303(a)(2)(C) and 
311(a)(5)).
    (4) Provide a complete description of the process and procedures 
implemented that allow for the participation of the State domestic 
violence coalition in planning and monitoring the distribution of grant 
funds and determining whether a grantee is in compliance with sections 
303(a)(2)(A), 303(a)(3) and 311(a)(5).
    (5) Provide a copy of the procedures developed and implemented that 
assure the confidentiality of records pertaining to any individual 
provided family violence prevention or treatment services by any 
program assisted under the Act (section 303(a)(2)(E)).
    (6) Include a description of how the State plans to use the grant 
funds, a description of the target population, and the expected results 
from the use of the grant funds (section 303(a)(4)).
    (7) Provide a copy of the law or procedures that the State has 
implemented for the eviction of an abusive spouse from a shared 
household (section 303(a)(2)(F)).
    All applications must contain the following assurances:
    (a) That grant funds under the Act will be distributed to local 
public agencies and nonprofit private organizations (including 
religious and charitable organizations and voluntary associations) for 
programs and projects within the State to prevent incidents of family 
violence and to provide immediate shelter and related assistance for 
victims of family violence and their dependents in order to prevent 
future violent incidents (section 303(a)(2)(A)).
    (b) That not less than 70 percent of the funds distributed shall be 
used for immediate shelter and related assistance to the victims of 
family violence and their dependents and not less than 25 percent of 
the funds distributed shall be used to provide related assistance 
(section 303(f)).
    (c) That not more than 5 percent of the funds will be used for 
State administrative costs (section 303(a)(2)(B)(i)).
    (d) That in distributing the funds, the States will give special 
emphasis to the support of community-based projects of demonstrated 
effectiveness carried out by non-profit private organizations, 
particularly those projects the primary purpose of which is to operate 
shelters for victims of family violence and their dependents and those 
which provide counseling, advocacy, and self-help services to victims 
and their children (section 303(a)(2)(B)(ii)).
    (e) That grants funded by the States will meet the matching 
requirements in section 303(e), i.e., not less than 20 percent of the 
total funds provided for a project under this title with respect to an 
existing program, and with respect to an entity intending to operate a 
new program under this title, not less than 35 percent. The local share 
will be cash or in kind; and the local share will not include any 
Federal funds provided under any authority other than this Title 
(section 303(e)). (This is a new provision added in the 1996 CAPTA 
reauthorization.)
    (f) That grant funds made available under this program by the State 
will not be used as direct payment to any victim or dependent of a 
victim of family violence (section 303(c)).
    (g) That no income eligibility standard will be imposed on 
individuals receiving assistance or services supported with funds 
appropriated to carry out the Act (section 303(d)).
    (h) That the address or location of any shelter-facility assisted 
under the Act will not be made public, except with the written 
authorization of the person or persons responsible for the operation of 
such shelter (section 303(a)(2)(E)).
    (i) That all grants made by the State under the Act will prohibit 
discrimination on the basis of age, handicap, sex, race, color, 
national origin or religion (section 307).
    (j) That funds made available under the FVPSA be used to supplement 
and not supplant other Federal, State, and local public funds expended 
to provide services and activities that promote the purposes of the 
FVPSA.
    (k) That States will comply with the applicable Departmental 
recordkeeping and reporting requirements and general requirements for 
the administration of grants under 45 CFR Parts 74 and 92.

Part V. Application Requirements for Native American Tribes and Tribal 
Organizations

A. Eligibility: Native American Tribes and Tribal Organizations

    As described above, Native American Tribes and Tribal organizations 
are eligible for funding under this program if they meet the definition 
of such entities as found in subsections (b) and (c) of section 4 of 
the Indian Self-Determination and Education Assistance Act and are able 
to demonstrate their capacity to carry out a family violence prevention 
and services program.
    A list of currently eligible Native American Tribes and Tribal 
organizations is found at Appendix B of this Announcement. Any Native 
American Tribe or Tribal organization that believes it meets the 
eligibility criteria and should be included in the list of eligible 
tribes should provide supportive documentation and a request for 
inclusion in its application. (See Application Content Requirements 
below.)
    As in previous years, Native American Tribes may apply singularly 
or as a consortium. In addition, a non-

[[Page 27051]]

 profit private organization, approved by a Native American Tribe for 
the operation of a family violence shelter on a reservation is eligible 
for funding.

B. Approval/Disapproval of a Native American Tribes Application

    The Secretary will approve any application that meets the 
requirements of the Act and this Announcement, and will not disapprove 
an application unless the Native American Tribe or Tribal organization 
has been given reasonable notice of the Department's intention to 
disapprove and an opportunity to correct any deficiencies (section 
303(B)(2)).

C. Native American Tribe/Tribal Organization Application Content 
Requirements

    The application from the Native American Tribe, Tribal 
organization, or nonprofit private organization approved by an eligible 
Native American Tribe, must be signed by the Chief Executive Officer of 
the Native American Tribe or Tribal organization.
    All applications must contain the following information/documents:
    (1) The name of the organization or agency and the Chief Program 
Official designated as responsible for administering funds under the 
Act, and the name, telephone number, and fax number, if available, of a 
contact person in the designated organization or agency.
    (2) A copy of a current resolution stating that the designated 
organization or agency has the authority to submit an application on 
behalf of the Native American individuals in the Tribe(s) and to 
administer programs and activities funded under this program (section 
303(b)(2)).
    (3) A description of the procedures designed to involve 
knowledgeable individuals and interested organizations in providing 
services under the Act (section 303(b)(2)). For example, knowledgeable 
individuals and interested organizations may include: Tribal officials 
or social services staff involved in child abuse or family violence 
prevention, Tribal law enforcement officials, representatives of State 
coalitions against domestic violence, and operators of family violence 
shelters and service programs.
    (4) A description of the Tribe's operation of and/or capacity to 
carry out a family violence prevention and services program. This might 
be demonstrated in ways such as the following:
    (a) The current operation of a shelter, safehouse, or family 
violence prevention program;
    (b) The establishment of joint or collaborative service agreements 
with a local public agency or a private non-profit agency for the 
operation of family violence prevention activities or services; or
    (c) The operation of social services programs as evidenced by 
receipt of ``638'' contracts with the Bureau of Indian Affairs (BIA); 
Title II Indian Child Welfare grants from the BIA; Child Welfare 
Services grants under Title IV-B of the Social Security Act; or Family 
Preservation and Family Support grants under title IV-B of the Social 
Security Act.
    (5) A description of the services to be provided, how the Native 
American Tribe or Tribal organization plans to use the grant funds to 
provide the direct services, to whom the services will be provided, and 
the expected results of the services.
    (6) Documentation of the procedures that assure the confidentiality 
of records pertaining to any individual provided family violence 
prevention or treatment services by any program assisted under the Act 
(section 303(a)(2)(E)).
    (7) The EIN number of the Native American tribe, Tribal 
organization, or non-profit organization submitting the application.
    Each application must contain the following assurances:
    (a) That not less than 70 percent of the funds shall be used for 
immediate shelter and related assistance for victims of family violence 
and their dependents and not less than 25% of the funds distributed 
shall be used to provide related assistance (section 303(f)).
    (b) That grant funds made available under the Act will not be used 
as direct payment to any victim or dependent of a victim of family 
violence (section 303(c)).
    (c) That the address or location of any shelter or facility 
assisted under the Act will not be made public, except with the written 
authorization of the person or persons responsible for the operations 
of such shelter (section 303(a)(2)(E)).
    (d) That law or procedure has been implemented for the eviction of 
an abusing spouse from a shared household (section 303(a)(2)(F)).

Part VI. Other Information

A. Notification Under Executive Order 12372

    For States, this program is covered under Executive Order 12372, 
``Intergovernmental Review of Federal Programs,'' for State plan 
consolidation and implication only--45 CFR 100.12. The review and 
comment provisions of the Executive Order and Part 100 do not apply. 
Federally-recognized Native American Tribes are exempt from all 
provisions and requirements of E.O. 12372.

B. Paperwork Reduction Act

    In accordance with the Paperwork Reduction Act of 1980 (Pub. L. 96-
511), the application requirements contained in this notice have been 
approved by the Office of Management and Budget under control number 
0970-0062.

C. Certifications

    Applications must comply with the required certifications found at 
Appendix C as follows:
    Anti-Lobbying Certification and Disclosure Form. Pursuant to 45 CFR 
Part 93, the certification must be signed and submitted with the 
application. If applicable, a standard form LLL, which discloses 
lobbying payments must be submitted.
    Certification Regarding Drug-Free Workplace Requirements and the 
Certification Regarding Debarment: The signature on the application by 
the chief program official attests to the applicants intent to comply 
with the Drug-Free Workplace requirements and compliance with the 
Debarment Certification. The Drug-Free Workplace and Debarment 
certifications do not have to be returned with the application.
    Certification Regarding Environmental Tobacco Smoke: The signature 
on the application by the chief program official attests to the 
applicants intent to comply with the requirements of the Pro-Children 
Act of 1994. The applicant further agrees that it will require the 
language of this certification be included in any sub-awards which 
contain provisions for children's services and that all grantees shall 
certify accordingly.

(Catalog of Federal Domestic Assistance number 93.671, Family 
Violence Prevention and Services)

    Dated: May 8, 1997.
Donald Sykes,
Director, Office of Community Services.

BILLING CODE 4184-01-P

[[Page 27052]]

[GRAPHIC] [TIFF OMITTED] TN16MY97.002



BILLING CODE 4184-01-C

[[Page 27053]]



                               Appendix B                               
------------------------------------------------------------------------
            State                             Tribe name                
------------------------------------------------------------------------
AK..........................  Chevak Native Village                     
AK..........................  Lime Village                              
AK..........................  Village of Aniak                          
AK..........................  Anvic Village                             
AK..........................  Village of Artic Village                  
AK..........................  Native Village of Atka                    
AK..........................  Levelock Village                          
AK..........................  Village of Atmautluak                     
AK..........................  Atqasuk Village                           
AK..........................  New Stuyahok Village                      
AK..........................  Village of Chefomak                       
AK..........................  Village of Anaktuvuk Pass                 
AK..........................  Chickaloon Native Village                 
AK..........................  Native Village of Chignik                 
AK..........................  Native Village of Larsen Bay              
AK..........................  Native Village of Chignik                 
AK..........................  Chignik Lake Village                      
AK..........................  Chilkat Indian Village                    
AK..........................  Chilkoot Indian Association               
AK..........................  Native Village of Kwinhagak               
AK..........................  Native Village of Chenega (IRA)           
AK..........................  Native Village of Mekoryuk                
AK..........................  Nenana Native Association                 
AK..........................  Native Village of Nelson Lagoon           
AK..........................  Native Village of Napaskiak               
AK..........................  Native Village of Napaimute               
AK..........................  Native Village of Napakiak (IRA)          
AK..........................  Native Village of Nanwalek                
AK..........................  Naknek Native Village                     
AK..........................  Asa' Carsarmuit Tribe of Mt.              
AK..........................  Angoon Community                          
AK..........................  Mentasta Lake Village                     
AK..........................  Yupiit of Andreafski                      
AK..........................  McGrath Native Village                    
AK..........................  Native Village of Mary's Igloo            
AK..........................  Native Village of Marshall (aka)          
AK..........................  Manokotak Village                         
AK..........................  Manley Hot Springs Village                
AK..........................  Village of Lower Kalskag                  
AK..........................  Native Village of Ambler                  
AK..........................  Metlakatla Indian Community               
AK..........................  Koyukuk Native Village                    
AK..........................  Native Village of Mento (IRA)             
AK..........................  Native Village of Kipnuk                  
AK..........................  Native Village of Kwigillingok (IRA)      
AK..........................  Healy Lake Village                        
AK..........................  Knit Tribe                                
AK..........................  Holy Cross Village                        
AK..........................  Hoonah Indian Association                 
AK..........................  Native Village of Hooper Bay              
AK..........................  Hughes Village                            
AK..........................  Native Village of Kluti-Kaah              
AK..........................  Native Village of Kobuk                   
AK..........................  Native Village of Kivalina (IRA)          
AK..........................  Kokhanok Village                          
AK..........................  Huslia Village                            
AK..........................  King Island Native Community (IRA)        
AK..........................  Agdaagux Tribe of King Cove               
AK..........................  Native Village of Kiana                   
AK..........................  Native Village of Karluk (IRA)            
AK..........................  Organized Village of Kasaan               
AK..........................  Native Village of Kasiglik                
AK..........................  Kenaitze Indian Tribe (IRA)               
AK..........................  Ketchikan Indian Corporation              
AK..........................  Klawock Cooperative                       
AK..........................  Native Village of Eek                     
AK..........................  Newtok Village                            
AK..........................  Chinik Eskimo Community (aka)             
AK..........................  Native Village of Koyuk (IRA)             
AK..........................  Native Village of Dilligham               
AK..........................  Native Village of Diomede                 
AK..........................  Village of Dot Lake                       
AK..........................  Douglas Indian Association                
AK..........................  Native Village of Eagle                   
AK..........................  Noorvik Native Community                  
AK..........................  Village of Hotlik                         
AK..........................  Organized Village of Kwethluk (IRA)       
AK..........................  Egegik Village                            
AK..........................  Eklutna Native Village                    
AK..........................  Native Village of Ekuk                    
AK..........................  Ekwok Village                             
AK..........................  Native Village of Goodnews                
AK..........................  Organized Village of Grayling             
AK..........................  Gulkana Village                           
AK..........................  Native Village of Kongiganak              
AK..........................  Koliganet Village                         
AK..........................  Native Village of Kotzebue                
AK..........................  Seldovia Village Tribe                    
AK..........................  Rampart Village                           
AK..........................  Village of Red Devil                      
AK..........................  Native Village of Ruby                    
AK..........................  Iqurmuit Tribe (Russian                   
AK..........................  Village of Salamatof                      
AK..........................  Qagun Tayagungin Tribe of                 
AK..........................   Native Village of Savoonga (IRA)         
AK..........................  Organized Village of Saxman               
AK..........................  Native Village of Solomon                 
AK..........................  Native Village of Selawik (IRA)           
AK..........................  Native Village of Port Heiden             
AK..........................  Shageluk Native Village (IRA)             
AK..........................  Native Village of Shaktoolik              
AK..........................  Native Village of Sheldon`s               
AK..........................  Native Village of Shishmaref              
AK..........................  Shoonaq' Tribe of Kodiak                  
AK..........................  Native Village of Shungnak                
AK..........................  Sitka Tribe of Alaska (IRA)               
AK..........................  Skaguay Traditional Council               
AK..........................  Newhalen Village                          
AK..........................  Native Village of Scammon Bay             
AK..........................  Petersburg Indian Association             
AK..........................  Northway Village                          
AK..........................  Native Village of Nuiqsut                 
AK..........................  Nulato Village                            
AK..........................  Native Village of Nunapitchuk             
AK..........................  Native Village of Ohogamiut               
AK..........................  Village of Old Harbor                     
AK..........................  Orutsararmuit Native Council,             
AK..........................  Oscarville Traditional Council            
AK..........................  Native Village of Ouzinkie                
AK..........................  Portage Creek Village                     
AK..........................  Native Village of Perryville (IRA)        
AK..........................  Native Village of Port Lions              
AK..........................  Native Village of Piamiut                 
AK..........................  Native Village of Pilot Point             
AK..........................  Pilot Station Traditional Council         
AK..........................  Native Village of Pitka`s Point           
AK..........................  Platinum Traditional Village              
AK..........................  Native Village of Point Hope              
AK..........................  Native Village of Point Lay               
AK..........................  Port Graham Village                       
AK..........................  South Naknek Village                      
AK..........................  Pedro Bay Village                         
AK..........................  Native Village of Paimiut                 
AK..........................  Village of Sleetmute                      
AK..........................  Native Village of Unalakleet              
AK..........................  Native Village of Unga                    
AK..........................  Qawalangin Tribe of Unalaska,             
AK..........................  Village of Wainwright                     
AK..........................  Native Village of Wales (IRA)             
AK..........................  Native Village of White                   
AK..........................  Wrangell Cooperative                      
AK..........................  Ugashik Village                           
AK..........................  Village of Ohogamiut                      
AK..........................  Native Village of Tyonek (IRA)            
AK..........................  Qagan Tayagungin Tribe                    
AK..........................  Nondalton Village                         
AK..........................  Nome Eskimo Community (IRA)               
AK..........................  Native Village of NoatAK (IRA)            
AK..........................  Ninilchik Village Traditional             
AK..........................  Native Village of Nikolski (IRA)          
AK..........................  Nikolai Village                           
AK..........................  Native Village of Nightmute               
AK..........................  Yakutat Tlingit Tribe                     
AK..........................  Native Village of Tazlina                 
AK..........................  St. George Island                         
AK..........................  Native Village of St. Michael             
AK..........................  Aleut Community of St. Paul               
AK..........................  Stebbins Community                        
AK..........................  Native Village of Stevens (IRA)           
AK..........................  Village of Stoney River                   
AK..........................  Takotna Village                           
AK..........................  Native Village of Tanacross               
AK..........................  Umkumiut Native Village                   
AK..........................  Native Village of Tatitlek (IRA)          
AK..........................  Native Village of Hamilton                
AK..........................  Telida Village                            
AK..........................  Native Village of Teller                  
AK..........................  Native Village of Tetlin (IRA)            
AK..........................  Traditional Village of Togiak             
AK..........................  Native Village of Toksook Bay             
AK..........................  Tuluksak Native Community                 
AK..........................  Native Village of Tuntutuliak             
AK..........................  Native village of Tununak (IRA)           
AK..........................  Twin Hills Village                        
AK..........................  Native Village of Tanana (IRA)            
AL..........................  Poarch Band of Creek Indians              
AZ..........................  AK Chin Indian Community                  
AZ..........................  San Juan Southern Paiute Council          
AZ..........................  Yavapai-Prescott Board of Directors       
AZ..........................  Yavapai-Apache Community Council          
AZ..........................  White Mountain Apache Tribal Council      
AZ..........................  Tohono O' odham Council                   
AZ..........................  Quechan Tribal Council                    
AZ..........................  San Carlos Tribal Council                 
AZ..........................  Salt River Pima-Maricopa Indian           
AZ..........................  Pascua Yaqui Tribal Council               
AZ..........................  Colorado river Tribal Council             
AZ..........................  Tonto Apache Tribal Council               
AZ..........................  Cocopah Tribal Office                     
AZ..........................  Kaibab Paiute tribal Council              
AZ..........................  Mohave-Apache Community                   
AZ..........................  Hualapai Tribal Council                   
AZ..........................  Havasupai Tribal Council                  
AZ..........................  Hopi Tribal Council                       
AZ..........................  Gila River Indian Community               
CA..........................  Paskenta Band of Nomlaki Indians          
CA..........................  Pechanga Band of Mission                  
CA..........................  Picayune Rancheria                        
CA..........................  Pinoleville Indian Reservation            
CA..........................  Pit River Tribal Council                  
CA..........................  Potter valley Rancheria                   
CA..........................  Redding Rancheria                         
CA..........................  Ramona Band oc Cahuilllla                 
CA..........................  Coast Indian Community of the             
CA..........................  Redwood Valley Rancheria                  
CA..........................  Pauma Band of Mission Indians             
CA..........................  Rincon Band of Mission Indians            
CA..........................  Quartz Valley Reservation                 
CA..........................  Pala Band of Mission                      
CA..........................  North Fork Rancheria                      
CA..........................  Morongo Band                              
CA..........................  Mooretown Rancheria                       
CA..........................  Middletown Rancheria                      
CA..........................  Mesa Grande Band of Mission               
CA..........................  Manzanita General Council                 
CA..........................  Robinson Rancheria                        

[[Page 27054]]

                                                                        
CA..........................  Lyton Rancheria                           
CA..........................  Scotts Valley Band of Pomo                
CA..........................  Los Coyotes Band of Mission               
CA..........................  Lone Pine reservation                     
CA..........................  Laytonville Rancheria                     
CA..........................  La Posta Band                             
CA..........................  Manchester/Point Arena                    
CA..........................  Stewarts Point Rancheria                  
CA..........................  Yurok Tribe                               
CA..........................  Viejas Tribal Council                     
CA..........................  Upper Lake Rancheria                      
CA..........................  United Auburn Indian                      
CA..........................  Twenty Nine Palms Band of                 
CA..........................  Tuolumne Me-wuk Rancheria                 
CA..........................  Tule River Reservation                    
CA..........................  Trinidad Rancheria                        
CA..........................  Torres-Martinez Desert Cahuilla           
CA..........................  Timbisha Shoshone Tribe                   
CA..........................  Table Mountain Rancheria                  
CA..........................  Table Bluff Rancheria                     
CA..........................  Santa Ynez Band of Mission                
CA..........................  Susanville Rancheria                      
CA..........................  Bear River Band of Rohnerville            
CA..........................  Soboba Band of Mission Indians            
CA..........................  Smith River Rancheria                     
CA..........................  Shingle Springs Rancheria                 
CA..........................  Sherwood Valley Rancheria                 
CA..........................  Fort Independence Reservation             
CA..........................  Santa Ysabel Band of Mission              
CA..........................  La Jolla Band                             
CA..........................  Santa Rosa Reservation                    
CA..........................  Santa Rosa Rancheria                      
CA..........................  San Pasqual Band                          
CA..........................  San Manuel Band of Mission                
CA..........................  Rumsey Rancheria                          
CA..........................  Round Valley Reservation                  
CA..........................  Sycuan Business Committee                 
CA..........................  Big Lagoon Rancheria                      
CA..........................  Cahuilla Band of Mission                  
CA..........................  Cabazon Indians of California             
CA..........................  Buena Vista Rancheria                     
CA..........................  Bridgeport Indian Colony                  
CA..........................  Blue Lake Rancheria                       
CA..........................  Karuk Tribe of California                 
CA..........................  Big Valley Rancheria                      
CA..........................  Grindstone Rancheria                      
CA..........................  Campo Band of Mission Indians             
CA..........................  Ione Band of Miwok                        
CA..........................  Bishop Reservation                        
CA..........................  Berry Creek Rancheria                     
CA..........................  Benton Paiute Reservation                 
CA..........................  Barona General Business                   
CA..........................  Alturas Rancheria                         
CA..........................  Agua Caliente Tribal Council              
CA..........................  Winemucca Indian Colony                   
CA..........................  Woodfords Community Council               
CA..........................  Fort Mohave Tribal Council                
CA..........................  Big Pine Reservation                      
CA..........................  Elem Indian Colony of Pomo                
CA..........................  Jackson Rancheria                         
CA..........................  Big Sandy Rancheria                       
CA..........................  Jamul Band of Mission Indians             
CA..........................  Cedarville Rancheria                      
CA..........................  Hoopa Valley Tribal Council               
CA..........................  Guidiville Rancheria                      
CA..........................  Greenville Rancheria                      
CA..........................  Chemehuevi Tribal Council                 
CA..........................  Inaja-Cosmit Band of Mission              
CA..........................  Elk Valley Rancheria                      
CA..........................  Hopland Reservation                       
CA..........................  Dry Creek Rancheria                       
CA..........................  Cuyapaipe Band of Mission                 
CA..........................  Coyote Valley Reservation                 
CA..........................  Cortina Rancheria                         
CA..........................  Colusa Rancheria                          
CA..........................  Cold Springs Rancheria                    
CA..........................  Cloverdale Rancheria                      
CA..........................  Chico Rancheria                           
CA..........................  Chicken Ranch Rancheria                   
CA..........................  Fort Bidwell Reservation                  
CO..........................  Southern Ute Tribe                        
CT..........................  Mohegan Tribe of Indians of               
FL..........................  Seminole Tribe of Florida                 
IA..........................  Sac & Fox Tribal Council                  
ID..........................  Northwestern Band of Shoshoni             
ID..........................  Nez Perce Tribal Executive                
ID..........................  Kootenai Tribal Council                   
ID..........................  Fort Hall Business Council                
ID..........................  Coeur D' Alene Tribal Council             
KS..........................  Prairie Band Potawatomi of                
KS..........................  Kickapoo Tribe of Kansas                  
ME..........................  Passamaquoddy-Indian                      
ME..........................  Passamaquoddy-Pleasant Point              
ME..........................  Penobscot Nation                          
MI..........................  Little Traversa Bay Band of               
MI..........................  Saginaw Chippewa Tribal                   
MI..........................  Bay Mills Executive Council               
MI..........................  Lac Vieux Desert Band of Lake             
MI..........................  Grand Traverse Tribal Council             
MI..........................  Hannahville Indian Community              
MI..........................  Keweenaw Bay Tribal Council               
MI..........................  Sault Ste. Marie Chippewa                 
MI..........................  Pokagon Band of Potawatomi                
MI..........................  Little River Band of Ottawa               
MN..........................  Mille Lacs Reservation Business           
MN..........................  White Earth Reservation                   
MN..........................  Prairie Island Community                  
MN..........................  Leech Lake Reservation                    
MN..........................  Shakopee Sioux Business                   
MN..........................  Upper Sioux Board of Trustees             
MN..........................  Red Lake Band of Chippewa                 
MN..........................  Fond du Lac Reservation                   
MN..........................  Bois Forte Reservation Tribal             
MN..........................  Minnesota Chippewa Tribal                 
MN..........................  Lower Sioux Indian Community              
MN..........................  Grand Portage Reservation                 
MO..........................  Eastern Shawnee Tribe of                  
MT..........................  Confederated Salish & Kootenai            
ND..........................  Three Affiliated Tribes Business          
ND..........................  Standing Rock Sioux Tribe                 
ND..........................  Turtle Mountain Tribal Council            
NE..........................  Winnebago Tribal Council                  
NM..........................  Pueblo of Santa Ana                       
NM..........................  Pueblo of Tesuque                         
NM..........................  Pueblo of Taos                            
NM..........................  Pueblo of Santa Clara                     
NM..........................  Pueblo of Sandia                          
NM..........................  Pueblo of San Juan                        
NM..........................  Pueblo of San Felipe                      
NM..........................  Pueblo of San Ildefonso                   
NM..........................  Pueblo of Santo Domingo                   
NV..........................  South Fork Band Council                   
NV..........................  Moapa Band of Paiute                      
NV..........................  Lovelock Tribal Council                   
NV..........................  Pyramid Lake Paiute Tribal                
NV..........................  Reno-Sparks Tribal Council                
NV..........................  Shoshone Paiute Business                  
NV..........................  Summit Lake Paiute Council                
NV..........................  Battle Mountain Band Council              
NV..........................  Wells Indian Colony Band                  
NV..........................  Walker River Paiute tribal Council        
NV..........................  Washoe Tribal Council                     
NV..........................  Carson Colony Community                   
NV..........................  Dresslerville Community                   
NV..........................  Stewart Community Council                 
NV..........................  Yomba Tribal Council                      
NV..........................  Las Vegas Tribal Council                  
NV..........................  Tribal Council of the Te-Moak             
NV..........................  Yerington Paiute Tribal Council           
NV..........................  Fort McDermitt Tribal Council             
NV..........................  Fallon Business Council                   
NV..........................  Ely Colony Council                        
NV..........................  Elko Band Council                         
NV..........................  Duckwater Shoshone Tribal                 
NY..........................  Oneida Indian Nation of New               
NY..........................  Onondaga Nation                           
NY..........................  Seneca Nation of Indians                  
OK..........................  Kaw Executive Committee                   
OK..........................  Miami Tribe of Oklahoma                   
OK..........................  Kickapoo of Oklahoma Business             
OK..........................  Kialegee Tribal Town                      
OK..........................  Cherokee Nation of Oklahoma               
OK..........................  Alabama-Quassarte Tribal                  
OK..........................  Ponca Business Committee                  
OK..........................  Kiowa Business Committee                  
OK..........................  Otoe-Missouria Tribal Council             
OK..........................  Choctaw Nation of Oklahoma                
OK..........................  Iowa Tribe of Oklahoma                    
OK..........................  Modok Tribe of Oklahoma                   
OK..........................  Osage Nation of Oklahoma                  
OK..........................  Ottawa Tribe of Oklahoma                  
OK..........................  Wyandotte Tribe of Oklahoma               
OK..........................  Pawnee Business Council                   
OK..........................  Peoria Indian Tribe of Oklahoma           
OK..........................  Quapaw Tribal Business                    
OK..........................  United Keetoowah Band of                  
OK..........................  Chickasaw Nation                          
OK..........................  Muscogee Creek Nation of                  
OK..........................  Thlopthlocco Tribal Town                  
OK..........................  Seminole Nation of Oklahoma               
OK..........................  Seneca-Cayuga Tribe of                    
OR..........................  Confederated Tribes of the Grande         
OR..........................  Klamath General Council                   
OR..........................  Cow Creek Band of Umpqua                  
OR..........................  Confederated Tribes of the                
OR..........................  Confederated Tribes of Coos               
OR..........................  Burns-Paiute General Council              
OR..........................  Coquille Indian Tribes                    
RI..........................  Narrangansett Indian Tribe                
SD..........................  Sisseton-Wahpeton Sioux Tribal            
SD..........................  Yankton Sioux Tribal Business             
TX..........................  Kickapoo Traditional Tribe                
UT..........................  Goshute Business Council                  
UT..........................  Unitah & Ouray Tribal Business            
UT..........................  Skull Valley General Council              
UT..........................  Paiute Indian Tribe of Utah               
WA..........................  Upper Skagit Tribal Council               
WA..........................  Lummi Business Council                    
WA..........................  Yakama Tribal Council                     
WA..........................  Kalispel Business Commitee                
WA..........................  Muckleshioot Tribal Council               
WA..........................  Sauk-Suiattle Tribal Council              
WA..........................  Chehalis Business Council                 
WA..........................  Jamestown S' Klallam Tribal               
WA..........................  Colville Business Council                 
WA..........................  Lower Elwha Community                     
WA..........................  Makah Tribal Council                      
WA..........................  Nisqually Indian Community                
WA..........................  Nooksac Indian Tribal Council             
WA..........................  Port Gamble S' Klallam Tribe              
WA..........................  Puyallup Tribal Council                   
WA..........................  Quileute Tribal Council                   
WA..........................  Quinault Indian Nation                    
WA..........................  Hoh Tribal Business Council               
WI..........................  Forest County Potawatomi                  
WI..........................  The Ho-Chunk Nation                       

[[Page 27055]]

                                                                        
WI..........................  Lac Courte Oreilles Governing             
WI..........................  Lac du Flambeau Tribal Council            
WI..........................  Bad River Tribal Council                  
WI..........................  Menominee Indian Tribe of                 
WI..........................  Onida Tribal Council                      
WI..........................  Red Cliff Tribal Council                  
WI..........................  Sokagon Chippewa Tribal                   
WI..........................  Stockbridge--Munsee Tribal                
WI..........................  St. Croix Council                         
------------------------------------------------------------------------

Appendix C--Certification Regarding Lobbying

Certification for Contracts, Grants, Loans, and Cooperative Agreements

    The undersigned 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 an 
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 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 representation 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. Code. 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.

Statement for Loan Guarantees and Loan Insurance

    The undersigned states, to the best of his or her knowledge and 
belief, that:
    If any 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 
any employee of a Member of Congress in connection with this 
commitment providing for the United States to insure or guarantee a 
loan, the undersigned shall complete and submit Standard Form --LLL, 
``Disclosure Form to Report Lobbying,'' in accordance with its 
instructions. Submission of this statement is a prerequisite for 
making or entering into this transaction imposed by section 1352, 
title 31, U.S. Code. Any person who fails to file the required 
statement shall be subject to a civil penalty of not less than 
$10,000 and not more than $100,000 for each such failure.

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Signature

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Title

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Organization

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Date

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[GRAPHIC] [TIFF OMITTED] TN16MY97.003



BILLING CODE 4184-01-C

[[Page 27057]]

    This certification is required by the regulations implementing 
the Drug-Free Workplace Act of 1988: 45 CFR Part 76, Subpart, F. 
Sections 76.630(c) and (d)(2) and 76.645(a)(1) and (b) provide that 
a Federal agency may designate a central receipt point for STATE-
WIDE AND STATE AGENCY-WIDE certifications, and for notification of 
criminal drug convictions. For the Department of Health and Human 
Services, the central pint is: Division of Grants Management and 
Oversight, Office of Management and Acquisition, Department of 
Health and Human Services, Room 517-D, 200 Independence Avenue, SW., 
Washington, DC 20201.

Certification Regarding Drug-Free Workplace Requirements (Instructions 
for Certification)

    1. By signing and/or submitting this application or grant 
agreement, the grantee is providing the certification set out below.
    2. The certification set out below 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. For grantees other than individuals, Alternate I applies.
    4. For grantees who are individuals, Alternate II applies.
    5. 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.
    6. Workplace identification 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).
    7. 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 five).
    8. 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 regulation (21 CFR 1308.11 through 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).

Certification Regarding Drug-Free Workplace Requirements

Alternate I. (Grantees Other Than Individuals)

    The grantee certifies that it will or will continue to provide a 
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 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;
    (e) Notifying the agency in writing, within ten calendar days 
after receiving notice under paragraph (d)(2) 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 or other designee 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;
    (f) Taking one of the following actions, within 30 calendar days 
of receiving notice under paragraph (d)(2), with respect to any 
employee who is so convicted--
    (1) 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
    (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), (b), (c), 
(d), (e) and (f).
    (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)
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    Check {time}  if there are workplaces on file that are not 
identified here.

Alternate II. (Grantees Who Are Individuals)

    (a) The grantee certifies that, as a condition of the grant, he 
or she will not engage in the unlawful manufacture, distribution, 
dispensing, possession, or use of a controlled substance in 
conducting any activity with the grant;
    (b) If convicted of a criminal drug offense resulting from a 
violation occurring during the conduct of any grant activity, he or 
she will report the conviction, in writing, within 10 calendar days 
of the conviction, to every grant officer or other designee, unless 
the Federal agency designates a central point for the receipt of 
such notices. When notice is made to such a central point, it shall 
include the identification number(s) of each affected grant.

Certification Regarding Debarment, Suspension, and Other Responsibility 
Matters--Primary Covered Transactions

Instructions for Certification

    1. By singing and submitting this proposal, the prospective 
primary participant is providing the certification set out below.
    2. The inability of a person to provide the certification 
required below will not necessarily result in denial of 
participation in this covered transaction. The prospective 
participant shall submit an explanation of why it cannot provide the 
certification set out below. The certification or explanation will 
be considered in connection with the department or agency's 
determination whether to enter into this transaction. However, 
failure or the prospective primary participant to furnish a 
certification or an explanation shall disqualify such person from 
participation in this transaction.
    3. The certification in this clause is a material representation 
of fact upon which

[[Page 27058]]

reliance was placed when the department or agency determined to 
enter into this transaction. If it is later determined that the 
prospective primary participant knowingly rendered an erroneous 
certification, in addition to other remedies available to the 
Federal Government, the department or agency may terminate this 
transaction for cause or default.
    4. The prospective primary participant shall provide immediate 
written notice to the department or agency to which this proposal is 
submitted if any time the prospective primary participant learns 
that its certification was erroneous when submitted or has become 
erroneous by reason of changed circumstances.
    5. The terms covered transaction, debarred, suspended, 
ineligible, lower tier covered transaction, participant, person, 
primary covered transaction, principal, proposal, and voluntarily 
excluded, as used in this clause, have the meanings set out in the 
Definitions and Coverage sections of the rules implementing 
Executive Order 12549. You may contact the department or agency to 
which this proposal is being submitted for assistance in obtaining a 
copy of those regulations.
    6. The prospective primary participant agrees by submitting this 
proposal that, should the proposed covered transaction be entered 
into, it shall not knowingly enter into any lower tier covered 
transaction with a person who is proposed for debarment under 48 CFR 
part 9, subpart 9.4, debarred, suspended, declared ineligible, or 
voluntarily excluded from participation in this covered transaction, 
unless authorized by the department or agency entering into this 
transaction.
    7. The prospective primary participant further agrees by 
submitting this proposal that it will include the clause titled 
``Certification Regarding Debarment, Suspension, Ineligibility and 
Voluntary Exclusion-Lower Tier Covered Transaction,'' provided by 
the department or agency entering into this covered transaction, 
without modification, in all lower tier covered transactions and in 
all solicitations for lower tier covered transactions.
    8. A participant in a covered transaction may rely upon a 
certification of a prospective participant in a lower tier covered 
transaction that is not proposed for debarment under 48 CFR part 9, 
subpart 9.4, debarred, suspended, ineligible, or voluntarily 
excluded from the covered transaction, unless it knows that the 
certification is erroneous. A participant may decide the method and 
frequency by which it determines the eligibility of its principals. 
Each participant may, but is not required to, check the List of 
Parties Excluded from Federal Procurement and Nonprocurement 
Programs.
    9. Nothing contained in the foregoing shall be construed to 
require establishment of a system of records in order to render in 
good faith the certification required by this clause. The knowledge 
and information of a participant is not required to exceed that 
which is normally possessed by a prudent person in the ordinary 
course of business dealings.
    10. Except for transactions authorized under paragraph 6 of 
these instructions, if a participant in a covered transaction 
knowingly enters into a lower tier covered transaction with a person 
who is proposed for debarment under 48 CFR part 9, subpart 9.4, 
suspended debarred, ineligible, or voluntarily excluded from 
participation in this transaction, in addition to other remedies 
available to the Federal Government, the department or agency may 
terminate this transaction for cause or default.

Certification Regarding Debarment, Suspension, and Other Responsibility 
Matters--Primary Covered Transactions

    (1) The prospective primary participant certifies to the best of 
its knowledge and belief, that it and its principals:
    (a) Are not presently debarred, suspended, proposed for 
debarment, declared ineligible, or voluntarily excluded by any 
Federal department or agency;
    (b) Have not within a three-year period preceding this proposal 
been convicted of 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 property;
    (c) Are not presently indicted for or otherwise criminally or 
civilly charged by a governmental entity (Federal, State or local) 
with commission of any of the offenses enumerated in paragraph 
(1)(b) of this certification; and
    (d) Have not within a three-year period preceding this 
application/proposal had one or more public transactions (Federal, 
State or local) terminated for cause or default.
    (2) 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 
proposal.

Certification Regarding Debarment, Suspension, Ineligibility and 
Voluntary Exclusion--Lower Tier Covered Transactions

Instructions for Certification

    1. By signing and submitting this proposal, the prospective 
lower tier participant is providing the certification set out below.
    2. The certification in this clause is a material representation 
of fact upon which reliance was placed when this transaction was 
entered into. If it is later determined that the prospective lower 
tier participant knowingly rendered an erroneous certification, in 
addition to other remedies available to the Federal Government the 
department or agency with which this transaction originated may 
pursue available remedies, including suspension and/or debarment.
    3. The prospective lower tier participant shall provide 
immediate written notice to the person to which this proposal is 
submitted if at any time the prospective lower tier participant 
learns that its certification was erroneous when submitted or had 
become erroneous by reason of changed circumstances.
    4. The terms covered transaction, debarred, suspended, 
ineligible, lower tier covered transaction, participant, person, 
primary covered transaction, principal, proposal, and voluntarily 
excluded, as used in this clause, have the meaning set out in the 
Definitions and Coverage sections of rules implementing Executive 
Order 12549. You may contact the person to which this proposal is 
submitted for assistance in obtaining a copy of those regulations.
    5. The prospective lower tier participant agrees by submitting 
this proposal that, [Page 33043] should the proposed covered 
transaction be entered into, it shall not knowingly enter into any 
lower tier covered transaction with a person who is proposed for 
debarment under 48 CFR part 9, subpart 9.4, debarred, suspended, 
declared ineligible, or voluntarily excluded from participation in 
this covered transaction, unless authorized by the department or 
agency with which this transaction originated.
    6. The prospective lower tier participant further agrees by 
submitting this proposal that it will include this clause titled 
``Certification Regarding Debarment, Suspension, Ineligibility and 
Voluntary Exclusion-Lower Tier Covered Transaction,'' without 
modification, in all lower tier covered transactions and in all 
solicitations for lower tier covered transactions.
    7. A participant in a covered transaction may rely upon a 
certification of a prospective participant in a lower tier covered 
transaction that it is not proposed for debarment under 48 CFR part 
9, subpart 9.4, debarred, suspended, ineligible, or voluntarily 
excluded from covered transactions, unless it knows that the 
certification is erroneous. A participant may decide the method and 
frequency by which it determines the eligibility of its principals. 
Each participant may, but is not required to, check the List of 
Parties Excluded from Federal Procurement and Nonprocurement 
Programs.
    8. Nothing contained in the foregoing shall be construed to 
require establishment of a system of records in order to render in 
good faith the certification required by this clause. The knowledge 
and information of a participant is not required to exceed that 
which is normally possessed by a prudent person in the ordinary 
course of business dealings.
    9. Except for transactions authorized under paragraph 5 of these 
instructions, if a participant in a covered transaction knowingly 
enters into a lower tier covered transaction with a person who is 
proposed for debarment under 48 CFR part 9, subpart 9.4, suspended, 
debarred, ineligible, or voluntarily excluded from participation in 
this transaction, in addition to other remedies available to the 
Federal Government, the department or agency with which this 
transaction originated may pursue available remedies, including 
suspension and/or debarment.

[[Page 27059]]

Certification Regarding Debarment, Suspension, Ineligibility and 
Voluntary Exclusion--Lower Tier Covered Transactions

    (1) The prospective lower tier participant certifies, by 
submission of this proposal, that neither it nor its principals is 
presently debarred, suspended, proposed for debarment, declared 
ineligible, or voluntarily excluded from participation in this 
transaction by any Federal department or agency.
    (2) Where the prospective lower tier participant is unable to 
certify to any of the statements in this certification, such 
prospective participant shall attach an explanation to this 
proposal.

Certification Regarding Environmental Tobacco Smoke

    Public Law 103-227, Part C--Environmental Tobacco Smoke, also 
known as the Pro-Children Act of 1994 (Act), requires that smoking 
not be permitted in any portion of any indoor routinely owned or 
leased or contracted for by an entity and used routinely or 
regularly for provision of health, day care, education, or library 
services to children under the age of 18, if the services are funded 
by Federal programs either directly or through State or local 
governments, by Federal grant, contract, loan, or loan guarantee. 
The law does not apply to children's services provided in private 
residences, facilities funded solely by Medicare or Medicaid funds, 
and portions of facilities used for inpatient drug or alcohol 
treatment. Failure to comply with the provisions of the law may 
result in the imposition of a civil monetary penalty of up to $1000 
per day and/or the imposition of an administrative compliance order 
on the responsible entity.
    By signing and submitting this application the applicant/grantee 
certifies that it will comply with the requirements of the Act. The 
applicant/grantee further agrees that it will require the language 
of this certification be included in any subawards which contain 
provisions for the children's services and that all subgrantees 
shall certify accordingly.

[FR Doc. 97-12939 Filed 5-15-97; 8:45 am]
BILLING CODE 4184-01-P