[Federal Register Volume 66, Number 233 (Tuesday, December 4, 2001)]
[Notices]
[Pages 63128-63138]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-29835]



[[Page 63127]]

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Part III





Department of Health and Human Services





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Administration for Children and Families



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Family Violence Prevention and Services Program; Notices

  Federal Register / Vol. 66, No. 233 / Tuesday, December 4, 2001 / 
Notices  

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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Administration for Children and Families

[Program Announcement No. OCS 02-01]


Family Violence Prevention and Services Program

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

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

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SUMMARY: This announcement supersedes Program Instruction No. OCS 97-
06, published May 16, 1997 in the Federal Register [62 FR 27045]. 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, Alaskan 
Villages, 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, awarded in fiscal year (FY) 2002.

DATES: Applications for FY 2002 States, Native American Tribes, Alaskan 
Villages, and Tribal Organizations grant awards meeting the criteria 
specified in this instruction should be received no later than January 
7, 2002.

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

FOR FURTHER INFORMATION CONTACT: William D. Riley (202) 401-5529, James 
W. Gray (202) 401-5705, or Sunni L. Knight (202) 401-5319.

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

The Importance of Coordination of Services

    Family and intimate violence has serious and far reaching 
consequences for individuals, families, and communities. Estimates from 
the National Crime Victimization Survey (NCVS) indicate that in 1998 
about 1 million violent crimes were committed against persons by their 
current or former spouses, boyfriends, or girlfriends. Such crimes 
termed intimate partner violence, are committed primarily against 
women. About 85% of victimizations by intimate partners in 1998, were 
against women. It is important to note that regardless of the 
demographic characteristics considered, women experienced intimate 
partner violence at higher rates than men between 1993 and 1998 (Bureau 
of Justice Statistics, 2000).
    The impacts of 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. 
Estimates of the number of women who are homeless because of battering 
range from 27 percent to 41 percent to 63 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, 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 State agencies 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.

Part II. Programmatic and Funding Information

A. Background

    Title III of the Child Abuse Amendments of 1984 (Pub. L. 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 Pub. 
L. 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 Act was most recently amended by the ``Victims 
of Trafficking and Violence Protection Act'' (Pub. L. 106-386, 10/28/
2000).
    The Act was most recently amended by the ``Victims of Trafficking 
and Violence Protection Act of 2000'' (Pub. L. 106-386, 10/28/00).
    The purpose of this legislation is to assist States and Native 
American Tribes, Alaskan Villages 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 2001, 230 grants were made to States and Native American 
Tribes. The Department also made 53 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 four Special Issue Resource Centers 
(SIRCs). The SIRCs are: the Battered Women's Justice Project; the 
Resource Center on Child Custody and Protection; Sacred Circle Resource 
Center for the Elimination of Domestic Violence Against Native Women; 
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

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Federal, State, and Native American agencies, local domestic violence 
prevention programs, and other professionals who provide services to 
victims of domestic violence.
    In February, 1996, the Department funded the 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. As of June 30, 2001, the 
National Domestic Violence Hotline has answered over 500,000 calls.

B. Funds Available

    Of the total appropriation for the Family Violence Prevention and 
Services Act (FVPSA) Program for FY 2002, the Department of Health and 
Human Services will allocate 70 percent to the designated State 
agencies administering Family Violence Prevention and Services 
programs. We will allocate 10 percent to the Tribes, Alaskan Villages 
and Tribal organizations for the establishment and operation of 
shelters, safe houses, and the provision of related services. 
Additionally, in a separate program announcement, we will allocate 10 
percent to the State Domestic Violence Coalitions to continue their 
work within the domestic violence community by providing coordination, 
public information and education, technical assistance and training, 
and advocacy services with local domestic violence programs and 
encouraging appropriate responses to domestic violence within the 
States.
    Five percent of the FY 2002 appropriation will be available to 
continue the support for the National Resource Center and the four 
Special Issue Resource Centers. The remaining 5 percent of the FY 2002 
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 at 
the national level.

C. State Allocation

    The Secretary is required to make available not less than 70 
percent of amounts appropriated under section 310(a) of the Act, 42 
U.S.C. 104, 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 a population formula. Each 
State shall be allotted $600,000 with the remaining funds allotted to 
each State in an amount that bears the same ratio to the remaining 
funds as the population of the State has to the population of all 
States.
    For the purpose of computing allotments, the statute provides that 
Guam, American Samoa, the Virgin Islands, and the Northern Mariana 
Islands will each receive grants of not less than one-eighth of 1% 
percent of the amounts appropriated.

D. Native American Tribal Allocations

    Of the funds available for FY 2002, the Department of Health and 
Human Services will allocate ten percent 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 the Indian Self-Determination and Education 
Assistance Act, 25 U.S.C. 450 b, and are able to demonstrate their 
capacity to carry out a family violence prevention and services 
program.
    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.
    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.
    Native American Tribes which meet the application requirements and 
whose reservation and surrounding Tribal Trust Lands population is:

------------------------------------------------------------------------
                                                                 Will
                                                              receive a
         Category No.                Tribal  population          base
                                                              amount of
------------------------------------------------------------------------
1.............................  1-1,500....................       $2,000
2.............................  1,501-3,000................        3,500
3.............................  3,001-4,000................        4,500
4.............................  4,001-5,000................        5,500
5.............................  5,001-6,000................        6,500
6.............................  6,001-7,000................        7,500
7.............................  7,001-8,000................        8,500
8.............................  8,001-9,000................        9,500
9.............................  9,001-10,000...............       10,500
10............................  10,001-12,000..............       13,000
11............................  12.001-14,000..............       15,000
12............................  14,001-16,000..............       17,000
13............................  16,001-18,000..............       19,000
14............................  18,001-20,000..............       21,000
15............................  20,001-22,000..............       23,000
16............................  22,001-24,000..............       25,000
17............................  24,001-26,000..............       27,000
18............................  26,001-28,000..............       29,000
19............................  28,001-30,000..............       31,000
20............................  30,001-32,000..............       33,000
21............................  32,001-34,000..............       35,000
22............................  34,001-36,000..............       37,000
23............................  36,001-38,000..............       39,000
24............................  38,001-40,000..............       41,000
25............................  40,001-42,000..............       43,000
26............................  42,001-44,000..............       45,000
27............................  44,001-46,000..............       47,000
28............................  46,001-48,000..............       49,000
29............................  48,001-50,000..............       51,000
30............................  50,001-100,000.............      125,000
31............................  100,001-150,000............      175,000
32............................  150,001 and over...........      225,000
------------------------------------------------------------------------

    Once the base amounts have been distributed to the Tribes that have 
applied for family violence funding, the ratio of the Tribe's base 
amount to the total base amount 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. 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

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carrying out their programs. The definitions are found in section 309 
of the Act, 42 U.S.C. 10408.
    (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 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, of 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 and 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 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 may be used for expenditures incurred from October 
1, 2001 through September 30, 2002. Recipients must liquidate all 
obligations incurred under the award by September 30, 2003.
    The family violence prevention funds alotted to Native American 
Tribes, Alaskan Villages, and Tribal organizations may be used on and 
after July 1 of each fiscal year for which they are granted, and will 
be available through June 30 of the following fiscal year, i.e., FY 
2002 funds may be used for expenditures from July 1, 2002 through June 
30, 2003. Recipients must liquidate all allegations incurred under the 
award by June 30, 2004.
    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 2002 grant funds which are made available 
to the States through reallotment, under section 304(d), 42 U.S.C. 
10403(d), must be expended by the State no later than September 30, 
2003.

C. Reporting Requirements: State, Tribe, and Tribal Organizations 
Performance Report

    States, Native American Tribes, Alaskan Villages, and Tribal 
organizations are required to 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 the performance report must be 
completed by each grantee or subgrantee that performed the direct 
services contemplated in the application certifying performance of such 
services. State, Native American Tribes, Alaskan Villages, and Tribal 
organizations grantees should compile performance reports into a 
comprehensive consolidated comprehensive report for submission.
    The Performance Report should 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 an 
assessment of the major activities supported by the family violence 
funds; what specific priorities within the State.
    Tribe, or Tribal organization were assessed; what special emphases 
were placed on these activities, e.g., a focus on 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 for the States are due on an annual basis at 
the end of the calendar year (December 31). Performance reports for 
Tribes and Tribal organizations are due on an annual basis on September 
30 of each year.
    The statute also requires the Department to suspend funding for an 
approved State 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 Mangement Reports

    All State 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 31 of each year. All Tribal and Native Alaskan program reports 
and annual financial status reports are due 90 days after the end of 
the expenditure period for Tribes, Alaskan Villages, and Tribal 
organizations, i.e., September 30 of each year.
    Program reports are to be sent to: Office of Community Services, 
Administration for Children and Families, Attention: William D. Riley, 
370 L'Enfant Promenade, SW., 5th Floor West, Washington, DC 20447.
    Financial Reports are to be sent to: Office of Mandatory Grants, 
Administration for Children and Families, Attention: Joseph Lonergan, 
370 L'Enfant Promenade, SW., 4th Floor, Washington, DC 20447.

E. Required Certifications

    All applications must submit or comply with the required 
certifications found at the list of Attachments 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 signed and submitted.

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    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 
applicant's 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, 42 U.S.C. 
10408, 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.
    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 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 
Officer of the State or the Chief Program Official designated as 
responsible for the administration of the Act. (All section references 
cited hereinafter refer to 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 family 
violence programs and activities funded under this Act, the 
coordination of related programs within the State, and the name of a 
contact person if different from the Chief Program Official (section 
303)(a)(2)(D), 42 U.S.C. 10402 (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), 42 U.S.C. 10402(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.; and
    (c) Describe the public information component of the State's 
outreach program; describe the elements of your program that will be 
used to explain domestic violence, the most effective and safe ways to 
seek help, identify available that will be 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 section 
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, the number of shelters 
to be funded, the services the state will provide, 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 the FVPSA 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 the FVPSA 
(section 303(e)).
    (f) That grant funds made available under this program by the State 
will not be used as direct payment to any victim

[[Page 63132]]

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 programs or activities funded in programs or activities 
funded in whole or in part 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 Act 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 
Act.
    (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 America 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 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.
    As in previous years, Native American Tribes may apply singularly 
or as a consortium. In addition, a non-profit private organization, 
approved by a Native American Tribe for the operation of a family 
violence shelter or program 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.

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 (section 
303 (b)(2)). 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 (section 303 (b)(2)).
    (6) Documentation that procedures have been 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)).
    (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 provided 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)).
    (e) That all programs or activities funded in whole or in part 
under the Act will prohibit discrimination on the bases of age, 
handicap, sex, race, color, national origin, or religion.
    (f) That applicant 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 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.

[[Page 63133]]

B. Paperwork Reduction Act

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

C. 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: Pursuant to 
45 C, Federal Register Part 92, the certification 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 93.671, Family 
Violence Prevention and Services)

    Dated: November 27, 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:
    (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 63134]]

[GRAPHIC] [TIFF OMITTED] TN04DE01.000

BILLING CODE 4184-01-C

[[Page 63135]]

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 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 subcontracts, 
subgrants and contract awards under grants.
    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 Budget, Paperwork Reduction Project 
(0348-0046), Washington, DC 20503.

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

[[Page 63136]]

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 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.

[[Page 63137]]

    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 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 point 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 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

[[Page 63138]]

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)

----------------------------------------------------------------------
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. 01-29835 Filed 12-3-01; 8:45 am]
BILLING CODE 4184-01-M