[Federal Register Volume 66, Number 233 (Tuesday, December 4, 2001)]
[Notices]
[Pages 63138-63147]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-29834]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Administration for Children and Families

[Program Announcement No. OCS 02-02]


Family Violence Prevention and Services Program

AGENCY: Office of Community Services (OCS), Administration for Children 
and Family (ACF), Department of Health and Human Services (HHS).

ACTION: Notice of the availability of funds to State domestic violence 
coalitions for grants to carry out family violence intervention and 
prevention activities.

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SUMMARY: This notice governs the proposed award of fiscal year (FY) 
2002 formula grants under the Family Violence Prevention and Services 
Act (FVPSA) to private non-profit State domestic violence coalitions. 
The purpose of these grants is to assist in the conduct of activities 
to promote domestic violence intervention and prevention and to 
increase public awareness of domestic violence issues.
    This notice sets forth the application requirements, the 
application process, and other administrative and fiscal requirements 
for grants in FY 2002.

DATES: Applications for FY 2002 State Domestic Violence Coalition grant 
awards meeting the criteria specified in this instruction must be 
received no later than January 7, 2002.

ADDRESSES: Applications should be sent to Department of Health and 
Human Services, Office of Community Services, Administration for 
Children and Families, Attention: Catherine L. Beck, Fifth Floor--West 
Wing, 370 L'Enfant Promenade, SW., Washington, DC 20447.

FOR FURTHER INFORMATION CONTACT: Williams D. Riley (202) 401-5529, 
Catherine L. Beck (202) 401-9352, or Sunni Knight (202) 401-5319.

Introduction

    This notice for family violence prevention and services grants to 
State domestic violence coalitions serves two purposes. The first is to 
confirm a Federal commitment to reducing family and intimate partner 
violence and to urge States, localities, cities, and the private sector 
to become involved in State and local planning efforts leading to the 
development of a more comprehensive and integrated service delivery 
approach to services for victims of domestic violence (part I).
    The second purpose is to provide information on application 
requirements for FY 2002 grants to State domestic violence coalitions. 
These funds will support planning and coordination efforts, 
intervention and prevention activities, and efforts to increase the 
public awareness of domestic violence issues and services for battered 
women and their children (Part II).

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

1. The Importance of Coordination of Services

    The impacts of family and intimate violence include physical and 
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. 
Estimates of the number of women who are homeless because of battering 
range from 27 percent to 41 percent, to 63

[[Page 63139]]

percent of all homeless women. The significant correlation between 
domestic violence and child abuse, and the use of welfare by battered 
women as an ``economic escape route'' also suggest the need to 
coordinate domestic violence intervention activities with those 
addressing child abuse and welfare reform activities at the Federal, 
States and local levels.
    When programs that seek to address these issues operate 
independently of each other, a fragmented, and consequently less 
effective, prevention and service delivery system is 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 be involved in the design and improvement of 
intervention and prevention activities.

2. Suggestions for Developing New or Strengthening On-Going 
Coordination Efforts

    A. Family violence programs need to focus on providing increased 
services in existing and underserved locations; develop innovative and 
comprehensive service and prevention programs to train health care 
providers to identify and refer victims of violence to appropriate 
services. Programs should also seek to provide culturally appropriate 
services for underserved populations, such as ethnic minority 
populations, rural communities, people with disabilities, and others.
    Many ethnic minority and rural communities do not have services to 
address domestic violence. We know that American Indian and Alaska 
Natives suffer higher rates of domestic violence than the majority of 
American women. American Indian women are at particularly high risk of 
homicide, including domestic violence homicide (College of Emergency 
Physicians, 1995). Seventeen percent of Native American/Alaskan women 
have been stalked compared to 8.1 percent of all women (Department of 
Justice, 1997).
    B. There is a constant imperative to demonstrate innovative and 
comprehensive ways to deliver services, conduct prevention activities, 
and provide access to help for survivors, their families and 
perpetrators. Programs need to make services more comprehensive to 
support survivors and their families beyond immediate crisis needs. 
Services for this purpose may include transitional housing assistance; 
long term support of survivors; child care; job skills training; mental 
health and substance abuse services to survivors and perpetrators; 
integration with adult and child protective services; safe enforcement 
of child support for TANF and non-TANF families.
    C. Family violence programs may also develop integrated educational 
program and services that focus on violent adolescent relationships for 
adolescents who experience, perpetrate or witness domestic violence. 
Studies on the prevention of domestic abuse and violence in 
interpersonal relationships suggest that youth education may represent 
an effective community action to reduce the incidence of violence in 
adolescent relationships.
    D. Through shelters and home visitation programs, family violence 
programs can create new services to address the needs of children who 
witness violence against women. Witnessing violence as a child is an 
important risk factor for being a victim or perpetrator of violence 
against women later in life. Developing innovative strategies for 
identifying and treating child witnesses is an under-explored potential 
avenue for preventing violence.
    E. Perpetrators of domestic violence often have multiple problems 
that cannot be dealt with separately. Consequently, services for 
perpetrators could be made more effective by better integrating them 
with other relevant services; e.g., substance abuse, mental health, 
aging, and criminal justice services.

Part II. State Coalition Grant Requirements

    This section includes application requirements for family violence 
prevention and services grants for State domestic violence coalitions 
and is organized as follows:

Application Requirements:

    A. Legislative Authority
    B. Background
    C. Eligibility
    D. Funds Available
    E. Expenditure Period
    F. Reporting Requirements
A. Application Requirements
B. Paperwork Reduction Act
C. Executive Order 12372
D. Certifications

A. Legislative Authority

    Title III of the Child Abuse Amendments of 1984, (Pub. L. 98-457, 
42 U. S. C. 10401, et seq.) is entitled the FamilyViolence Prevention 
and Services Act (the Act). The Act was first implemented in FY 1986, 
was reauthorized and amended in 1992 by Public Law 102-295, and was 
amended and reauthorized for fiscal years 1996 through 2000 by Public 
Law 103-322, the Violence Crime Control and Law Enforcement Act of 1994 
and by Public Law 104-235, the ``Child Abuse Prevention and Treatment 
Act Amendment of 1996''. The Act was most recently amended by the 
``Victims of Trafficking and Violence Protection Act'' (Pub. L. 106-
386, 10/28/2000).

B. Background

    Section 311 of the Act, 42 U.S.C. 10410, requires the Secretary to 
award grants to statewide private non-profit State domestic violence 
coalitions to conduct activities to promote domestic violence 
intervention and prevention.

C. Eligibility

    To be eligible for grants under this program announcement, an 
organization shall be a statewide private non-profit domestic violence 
coalition meeting the following criteria:
    (1) The membership of the coalition includes representatives from a 
majority of the programs for victims of domestic violence operating 
within the State (a State domestic violence coalition may include 
representatives of Indian Tribes and Tribal organizations as defined in 
the Indian Self-Determination and Education Assistance Act, 25 U.S.C. 
450b);
    (2) The Board membership of the coalition is representative of such 
programs;
    (3) The purpose of the coalition is to provide services, community 
education, and technical assistance to domestic violence programs in 
order to establish and maintain shelter and related services for 
victims of domestic violence and their children; and
    (4) In the application submitted by the coalition for the grant, 
the coalition provides assurances satisfactory to the Secretary that 
the coalition:
    (A) has actively sought and encouraged the participation of law 
enforcement agencies and other legal or judicial entities in the 
preparation of the application; and
    (B) will actively seek and encourage the participation of such 
entities in the activities carried out with the grant.

D. Funds Available

    The Department will make ten percent of the Family Violence 
Prevention and Services Act (FVPSA) appropriation available for grants 
to State domestic violence coalitions. One grant each will be available 
for the State domestic violence coalitions of the 50 states, the 
Commonwealth of Puerto

[[Page 63140]]

Rico, and the District of Columbia. The Coalitions of the U. S. 
Territories (Guam, U. S. Virgin Islands, Northern Mariana Islands, 
American Samoa, and Trust Territory of the Pacific Islands) are also 
eligible for domestic violence coalition grant awards.

E. Expenditure Period

    The FVPSA funds may be used for expenditures obligated 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 fiscal year, 
i.e., FY 2002 funds must be obligated by September 30, 2002. Recipients 
must liquidate all obligations incurred under the award by September 
30, 2003.

F. Reporting Requirements

    1. The State domestic violence coalition grantee must submit an 
annual report of activities describing the coordination, training and 
technical assistance, needs assessment, and comprehensive planning 
activities carried out; the public information and education services 
provided; the activities conducted in conjunction with judicial and law 
enforcement agencies; the actions conducted in conjunction with other 
agencies such as the state child welfare agency; and any other 
activities undertaken under this grant award. The annual report also 
must provide an assessment of the effectiveness of the grant-supported 
activities.
    The annual report is due 90 days after the end of the fiscal year, 
in which the grant is awarded (December 29). The final program report 
is due 90 days after the end of the expenditure period, (December 29). 
Program Reports are to be sent to: Office of Community Services, 
Administration for Children and Families, Attn: William D. Riley, 370 
L'Enfant Promenade, SW., 5th Floor West, Washington, DC 20447.
    2. The State domestic violence coalition grantees must also submit 
an annual financial report, Standard form 269 (SF-269). A financial 
report is due 90 days after the end of the fiscal year in which the 
grant is awarded. A final financial report is due 90 days after the end 
of the expenditure period. Financial reports are to be sent to: Office 
of Mandatory Grants, Administration for Children and Families, 370 
L'Enfant Promenade, SW., Attention: Joseph Lonergan, 4th Floor, 
Washington, DC 20447.

G. Application Requirements

    The State domestic violence coalition application must be signed by 
the Executive Director of the Coalition or the official designated as 
responsible for the administration of the grant. The application must 
contain the following information (consistent with the requirements of 
the Family Violence Prevention and Services Act):
    1. A description of the process and anticipated outcomes of 
utilizing these federal funds to work with local domestic violence 
programs and providers of direct services to encourage appropriate 
responses to domestic violence within the State, including:
    (a) Training and technical assistance for local programs and 
professionals working with victims of domestic violence;
    (b) Planning and conducting State needs assessments and planning 
for comprehensive services;
    (c) Serving as an information clearinghouse and resource center for 
the State; and
    (d) Collaborating with other governmental systems that affect 
battered women (section 311(a) (1), 42 U.S.C. 10410(a)(1)).
    2. A description of the public education campaign regarding 
domestic violence to be conducted by the coalition through the use of 
public service announcements and informative materials that are 
designed for print media; billboards; public transit advertising; 
electronic broadcast media; and other forms of information 
dissemination that inform the public about domestic violence, including 
information aimed at underserved racial, ethnic or language-minority 
populations (section 311 (a) (4), 42 U.S.C. 10410(a)(4)).
    3. The anticipated outcomes and a description of planned grant 
activities to be conducted in conjunction with judicial and law 
enforcement agencies concerning appropriate responses to domestic 
violence cases and an examination of issues including the:
    (a) Inappropriateness of mutual protection orders;
    (b) Prohibition of mediation when domestic violence is involved;
    (c) Use of mandatory arrests of accused offenders;
    (d) Discouragement of dual arrests;
    (e) Adoption of aggressive and vertical prosecution policies and 
procedures;
    (f) Use of mandatory requirements for pre-sentence investigations;
    (g) Length of time taken to prosecute cases or reach plea 
agreements;
    (h) Use of plea agreements;
    (i) Consistency of sentencing, including comparisons of domestic 
violence crimes with other violent crimes;
    (j) Restitution to victims;
    (k) Use of training and technical assistance to law enforcement and 
other criminal justice professionals;
    (l) Reporting practices of, and the significance to be accorded to, 
prior convictions (both felony and misdemeanor) and protection orders;
    (m) Use of interstate extradition in cases of domestic violence 
crimes;
    (n) The use of statewide and regional planning; and
    (o) Any other matters the State Domestic Violence Coalition 
believes merits investigation (section 311 (a) (2), 42 U.S.C. 10401 (a) 
(2)).
    4. The anticipated outcomes and a description of planned grant 
activities to be conducted in conjunction with family law judges, 
criminal court judges, child protective services agencies, child 
welfare agencies, family preservation and support service agencies, and 
children's advocates to develop appropriate responses to child custody 
and visitation issues in domestic violence cases and in cases where 
domestic violence and child abuse are both present, including the:
    (a) Inappropriateness of mutual protection orders;
    (b) Prohibition of mediation when domestic violence is involved;
    (c) Inappropriateness use of marital or conjoint counseling in 
domestic violence cases;
    (d) Use of training and technical assistance for Family Law Judges, 
Criminal Court Judges, and court personnel;
    (e) The presumption of custody to domestic violence victims;
    (f) Use of comprehensive protection orders to grant fullest 
protection possible to victims of domestic violence, including 
temporary custody support and maintenance;
    (g) Development of Child Protective Services of supportive 
responses that enable victims to protect their children;
    (h) Implementation of supervised visitations or denial of 
visitation to protect against danger to victims or their children; and
    (i) The possibility of permitting domestic violence victims to 
remove children from the State when the safety of the children or the 
victim is at risk (section 311(a)(3), 42 U.S.C. 10410(a)(3)).
    5. The anticipated outcomes and a description of other activities 
in support of the general purpose of furthering domestic violence 
intervention and prevention.
    6. The following documentation will certify the status of the 
domestic violence coalition and must be included in the grant 
application:
    (a) A description of the procedures developed between the State 
domestic

[[Page 63141]]

violence agency and the Statewide coalition that allow for 
implementation of the following cooperative activities:
    (i) The applicant coalition's participation in the planning and 
monitoring of the distribution of grants and grant funds provided in 
the State, under section 303(a) of the Act (section 311(a)(5), 42 
U.S.C. 10410(a)(5)).
    (ii) The participation of the State domestic violence coalition in 
compliance activities regarding the State's family violence prevention 
and services program grantees as required by section 303(a)(3) of the 
Act.
    (b) Unless already on file at HHS, a copy of a currently valid 
501(c)(3) certification letter from the Internal Revenue Service 
stating private non-profit status; or a copy of the applicant's listing 
in the Internal Revenue's Services (IRS) most recent list of tax-exempt 
organizations described in section 501(c)(3) of the IRS code;
    (c) A copy of the articles of incorporation bearing the seal of the 
State in which the corporation or association is domiciled;
    (d) A current list of the organizations operating programs for 
victims of domestic violence programs in the State and the applicant 
coalition's current membership list by organization;
    (e) A list of the applicant coalition's current Board of Directors, 
with each individual's organizational affiliation and the Chairperson 
identified;
    (f) A copy of the resume of any coalition or contractual staff to 
be supported by funds from this grant and/or a statement of 
requirements for staff or consultants to be hired under this grant; and
    (g) A budget narrative which clearly describes the planned 
expenditure of funds under this grant.
    7. Required Documentation and Assurances (included in the 
application as an appendix).
    (a) The applicant coalition must provide documentation in the form 
of support letters, memoranda of agreement, or jointly signed 
statements, that the coalition:
    (i) Has actively sought and encouraged the participation of law 
enforcement agencies and other legal or judicial organizations in the 
preparation of the grant application (section 311(b)(4)(A), 42 U.S.C. 
10410(b)(4)(A)); and
    (ii) Will actively seek and encourage the participation of such 
organizations in grant funded activities (section 311(b)(4)(B), 42 
U.S.C. 10410(b)(4)(B)).
    (b) The applicant coalition must provide a signed statement that 
the coalition will not use grant funds, directly or indirectly, to 
influence the issuance, amendment, or revocation of any executive order 
or similar legal document by any Federal, State or local agency, or to 
undertake to influence the passage or defeat of any legislation by the 
Congress, or any State or local legislative body, or State proposals by 
initiative petition, except that the representatives of the State 
Domestic Violence Coalition may testify or make other appropriate 
communications:
    (i) when formally requested to do so by a legislative body, a 
committee, or a member of such organization (section 311(d)(1), 42 
U.S.C. 10410(d)(1)); or
    (ii) in connection with legislation or appropriations directly 
affecting the activities of the State domestic violence coalition or 
any member of the coalition (section 311(d)(2), 42 U.S.C. 10410(d)(2)).
    (c) The applicant coalition must provide a signed statement that 
the State domestic violence coalition will prohibit discrimination on 
the basis of age, handicap, sex, race, color, national origin or 
religion, in accordance with Section 307 of the Act, 42 U.S.C. 10406.

D. Paperwork Reduction Act

    Under the Paperwork Reduction Act of 1995 (the Act), Public Law 
104-13, all Departments are required to submit to the Office of 
Management and Budget (OMB) for review and approval any reporting of 
record-keeping requirement inherent in a proposed or final rule, or 
program announcement. This program announcement contains information 
collection requirements in sections (F) and (G) of Part II which 
require that certain information must be provided in annual reports, 
fiscal reports, and as part of a grantee's application. We estimate 
that all of the information requirements for this program will take 
each grantee approximately 6 hours to complete. As there are 57 
projected grantees, the total number of hours annually will be 342.
    Organizations and individuals desiring to submit comments on the 
information collection requirement should direct them to the Office of 
Information and Regulatory Affairs, OMB, New Executive Office Building 
(Room 308), Washington, DC 20503, Attention: Desk Officer for the 
Administration for Children and Families.
    In accordance with the Act, the application requirements contained 
in this notice have been approved by OMB under control number 0970-
0062.

I. Notification Under Executive Order 12372

    This program is covered under Executive Order 12372, 
``Intergovernmental Review of Federal Programs'' for State plan 
consolidation and simplification only--45 CFR 100.12. The review and 
comment provisions of the Executive Order and Part 100 do not apply.

J. Certifications

    Applicants must comply with the required certifications found at 
Attachments A, B, C, and D as follows:
    1. The 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 signed and 
submitted.
    2. Certification Regarding Debarment: The signature on the 
application by a coalition official responsible for the administration 
of the program attests to the applicant's intent to comply with the 
Debarment Certification. The Debarment Certification does not have to 
be returned with the application.
    3. Certification Regarding Environmental Tobacco Smoke: The 
signature on the application by a coalition official certifies that the 
applicant will 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 standards which 
contain provisions for children's Services and that all grantees shall 
certify accordingly.
    4. Certification Regarding Drug-Free Workplace Requirements: The 
signature on the application by a coalition official attests to the 
applicant's intent to comply with the Drug-Free Workplace requirements.

(Catalog of Federal Domestic Assistance Number 93.591,Family 
Violence Prevention and Services: Grants to State Domestic Violence 
Coalitions)


    Dated: November 26, 2001.
Robert Mott,
Deputy Director, Office of Community Services.

List of Attachments

Attachment A--Certification Regarding Lobbying
Attachment B--Certification Regarding Debarment
Attachment C--Certification Regarding Environmental Tobacco Smoke
Attachment D--Certification Regarding Drug-Free Workplace

Attachment A

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:

[[Page 63142]]

    (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 an 
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
BILLING CODE 4184-01-P

[[Page 63143]]

[GRAPHIC] [TIFF OMITTED] TN04DE01.001

BILLING CODE 4184-01-C

INSTRUCTIONS FOR COMPLETION OF SF-LLL, DISCLOSURE OF LOBBYING 
ACTIVITIES

    This disclosure form shall be completed by the reporting entity, 
whether subawardee or prime Federal recipient, at the initiation or 
receipt of a covered Federal action, or a material change to a previous 
filing, pursuant to title 31 U.S.C. section 1352. The filing of a form 
is required for each payment or agreement to make payment to any 
lobbying entity 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 
a covered Federal action. Complete all items that apply for both the 
initial filing and material change report. Refer to the implementing 
guidance published by the Office of Management and Budget for 
additional information.
    1. Identify the type of covered Federal action for which lobbying 
activity is and/or has been secured to influence the outcome of a 
covered Federal action.
    2. Identify the status of the covered Federal action.
    3. Identify the appropriate classification of this report. If this 
is a followup report caused by a material change to the information 
previously reported, enter the year and quarter in which the change 
occurred. Enter the date of the last previously submitted report by 
this reporting entity for this covered Federal action.
    4. Enter the full name, address, city, State and zip code of the 
reporting entity. Include Congressional District, if known. Check the 
appropriate classification of the reporting entity that designates if 
it is, or expects to be, a prime or subaward recipient. Identify the 
tier of the subawardee, e.g., the first subawardee of the prime is the 
1st tier. Subawards include but are not limited to subgrants and 
contract awards under grants.

[[Page 63144]]

    5. If the organization filing the report in item 4 checks 
``Subawardee,'' then enter the full name, address, city, State and zip 
code of the prime Federal recipient. Include Congressional District, if 
known.
    6. Enter the name of the Federal agency making the award or loan 
commitment. Include at least one organizational level below agency 
name, if known. For example, Department of Transportation, United 
States Coast Guard.
    7. Enter the Federal program name or description for the covered 
Federal action (item 1). If known, enter the full Catalog of Federal 
Domestic Assistance (CFDA) number for grants, cooperative agreements, 
loans, and loan commitments.
    8. Enter the most appropriate Federal identifying number available 
for the Federal action identified in item 1 (e.g., Request for Proposal 
(RFP) number; Invitation for Bid (IFB) number; grant announcement 
number; the contract, grant, or loan award number; the application/
proposal control number assigned by the Federal agency). Include 
prefixes, e.g., ``RFP-DE-90-001.''
    9. For a covered Federal action where there has been an award or 
loan commitment by the Federal agency, enter the Federal amount of the 
award/loan commitment for the prime entity identified in item 4 or 5.
    10. (a) Enter the full name, address, city, State and zip code of 
the lobbying registrant under the Lobbying Disclosure Act of 1995 
engaged by the reporting entity identified in item 4 to influence the 
covered Federal action.
    (b) Enter the full names of the individual(s) performing services, 
and include full address if different from 10 (a). Enter Last Name, 
First Name, and Middle Initial (MI).
    11. The certifying official shall sign and date the form, print 
his/her name, title, and telephone number.
    According to the Paperwork Reduction Act, as amended, no persons 
are required to respond to a collection of information unless it 
displays a valid OMB Control Number. The valid OMB control number for 
this information collection is OMB No. 0348-0046. Public reporting 
burden for this collection of information is estimated to average 10 
minutes per response, including time for reviewing instructions, 
searching existing data sources, gathering and maintaining the data 
needed, and completing and reviewing the collection of information. 
Send comments regarding the burden estimate or any other aspect of this 
collection of information, including suggestions for reducing this 
burden, to the Office of Management and Budget, Paperwork Reduction 
Project (0348-0046), Washington, DC 20503.

Attachment B

Administration for Children and Families

U.S. Department of Health and Human Services

Certification Regarding Debarment, Suspension and other 
Responsibility Matters

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

Instructions for Certification
    1. By signing 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 of 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 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 at 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 it 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

[[Page 63145]]

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.
* * * * *

Certification Regarding Debarment, Suspension, Ineligibility an 
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.

Attachment C

Certification Regarding Environmental Tobacco Smoke

    Public Law 103227, 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

[[Page 63146]]

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.

Attachment D

Certification Regarding Drug-Free Workplace Requirements

    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 identifications 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 Attachment D 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

[[Page 63147]]

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)

----------------------------------------------------------------------
Check 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.

[FR Doc. 01-29834 Filed 12-3-01; 8:45 am]
BILLING CODE 4184-01-P