[Federal Register Volume 69, Number 22 (Tuesday, February 3, 2004)]
[Notices]
[Pages 5166-5171]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-2173]



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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Administration for Children and Families

[Program Announcement No. FV03-2004]


Family Violence Prevention and Services Program

AGENCY: Family and Youth Services Bureau, Administration on Children, 
Youth and Families (ACYF) and the Office of Community Services (OCS), 
Administration for Children and Families (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 instruction governs the proposed award of fiscal year 
(FY) 2004 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 announcement sets forth the application requirements, the 
application process, and other administrative and fiscal requirements 
for grants in fiscal year (FY) 2004.

DATES: Applications for FY 2004 State domestic violence coalition grant 
awards meeting the criteria specified in this instruction must be 
received no later than February 20, 2003.

ADDRESSES: Applications should be sent to, Family and Youth Services 
Bureau, Administration for Children, Youth, and Families, 
Administration for Children and Families, Attention: William D. Riley, 
330 C Street, SW., Room 2117, Washington, DC, 20447.

FOR FURTHER INFORMATION CONTACT: William D. Riley at (202) 401-5529 or 
e-mail at [email protected], or Sunni Knight at (202) 401-5319 or e-
mail at [email protected].

SUPPLEMENTARY INFORMATION: 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 the second purpose is to urge 
States, localities, cities, and the private sector to become involved 
in State and local planning towards an integrated service delivery 
approach.

Annual State Domestic Violence Coalition Grantee Conference

    The annual grantee conference is a training and technical 
assistance activity. Attendance at these activities is mandatory. 
Family Violence Prevention and Services Act (FVPSA) funds may also be 
used to support attendance and participation. A subsequent Program 
Instruction will advise State Coalition administrators of the date, 
time, and location of their grantee conference.

Client Confidentiality

    FVPSA programs must establish or implement policies and protocols 
for maintaining the safety and confidentiality of the adult victims and 
their children of domestic violence, sexual assault, and stalking. It 
is essential that the confidentiality of individuals receiving FVPSA 
services be protected. Consequently, when providing statistical data on 
program activities, individual identifiers of client records will not 
be used (section 303(a)(2)(E)).

Stop Family Violence Postal Stamp

    The U.S. Postal Service was directed by the ``Stamp Out Domestic 
Violence Act of 2001'' (the Act), Pub. L. 107-67, to make available a 
``semipostal'' stamp to provide funding for domestic violence programs. 
Funds raised in connection with sales of the stamp, less reasonable 
costs, will be transferred to the U.S. Department of Health and Human 
Services in accordance with the Act for support of services to children 
and youth affected by domestic violence. It is projected that initial 
revenues will be received during the third quarter of FY 2004. 
Subsequent to the receipt of the stamp proceeds, a program announcement 
will be issued providing guidance and information on the process and 
requirements for awards to programs providing services to children and 
youth.

State Coalition Grant Application 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
G. Application Requirements
H. Paperwork Reduction Act
I. Executive Order 12372
J. 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 ``Family Violence 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, 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 by 
Public Law 104-235, the Child Abuse Prevention and Treatment Act 
Amendment of 1996, and in 2000 by the Victims of Trafficking and 
Violence Protection Act (Pub. L. 106-386, 10/28/2000). The Act was most 
recently amended by the ``Keeping Children and Families Safe Act of 
2003'' (Pub. L.108-36).

B. Background

    Section 311 of the Act authorizes the Secretary to award grants to 
statewide private non-profit State domestic violence coalitions to 
conduct activities to promote domestic violence intervention and 
prevention and to increase public awareness of domestic violence 
issues.

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);
    (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

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activities carried out with the grant (section 311(5)(A)).
Additional Information on Eligibility
    All applications must have a Dun and Bradstreet Number (DUNS). A 
DUNS number will be required for every application for a new or 
renewal/continuation of an award under formula, entitlement and block 
grant programs. A DUNS number may be acquired at no cost by calling the 
dedicated toll-free DUNS number request line at 1-866-705-5711 or a 
number may be requested on-line at http://www.dnb.com.
    Private, non-profit organizations are encouraged to submit with 
their applications the survey located under ``Grant Related Documents 
and Forms'' titled ``Survey for Private, Non-Profit Grant Applicants.'' 
The forms are located on the web at http://www.acf.hhs.gov/programs/ofs/forms.htm.

D. Funds Available

    The Department will make ten percent of the Family Violence 
Prevention and Services Act 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 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 after October 1 of 
each fiscal year for which they are granted and will be available for 
expenditure through September 30 of the following fiscal year, i.e., FY 
2004 funds may be used for expenditures from October 1, 2003 through 
September 30, 2005. Funds will be available for obligation through 
October 1, 2004.

F. Reporting Requirements

    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. Additionally, the coalition must report on 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, i.e., December 30. The final program 
report is due 90 days after the end of the two-year expenditure period.
    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.

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:
    We have cited each requirement to the specific section of the law.
    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--
    Training and technical assistance for local programs and managers 
working the field:
    (a) Planning and conducting State needs assessments and planning 
for comprehensive services;
    (b) Serving as an information clearinghouse and resource center for 
the State; and
    (c) Collaborating with other governmental systems that affect 
battered women (section 311(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)).
    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 related issues.
    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. The anticipated 
outcomes and a description of other activities in support of the 
general purpose of furthering domestic violence intervention and 
prevention (section 311(a)).
    5. 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 violence agency and the Statewide coalition that allow for 
implementation of the following cooperative activities:
    (i) the participation of the State domestic violence coalition in 
the planning and monitoring of the distribution of grants and grant 
funds provided in the State (section 311(a)(5); and
    (ii) the participation of the State domestic violence coalition in 
compliance activities regarding the State's family violence prevention 
and services program grantees (section 303 (a)(C)).
    (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; or
    (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

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    (g) A budget narrative which clearly describes the planned 
expenditure of funds under this grant.
    6. 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)); and
    (ii) Will actively seek and encourage the participation of such 
organizations in grant funded activities (section 311(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 except:
    (c) When formally requested to do so by a legislative body, a 
committee, or a member of such organization (section 311(d)(1)); or 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)).
    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 
(section 307).
    Additional Forms: Private, non-profit organizations may submit with 
their applications the additional survey located under ``Grant Related 
Documents and Forms'' titled ``Survey for Private, Non-Profit Grant 
Applicants'' at http://www.acf.hhs.gov/programs/ofs/form.htm.

H. Paperwork Reduction Act

    This program announcement contains information collection 
requirements in sections (F) and (G). We estimate that all of the 
information requirements for this program will take each grantee 
approximately 6 hours to complete. As there are 53 projected grantees, 
the total number of hours annually will be 318. In accordance with the 
Act, the application requirements contained in this notice have been 
approved by OMB under control number 0970-0062.

I. 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 
the Appendices:
    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 must be signed and 
submitted 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. 
The Drug Free Workplace Certification does not have to be returned with 
the application.

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

    Dated: January 24, 2004.
Clarence Carter,
Director, Office of Community Services, Administration for Children and 
Families.

Appendices: Required Certifications:
    Anti-Lobbying and Disclosure;
    Regarding Debarment;
    Regarding Environmental Tobacco Smoke; and
    Drug-Free Workplace.

Appendix 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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Organization

Appendix B

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 
tranaction with a person who is proposed for debarement 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 title 
``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 requied 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

[[Page 5170]]

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 and 
Voluntary Exclusion--Lower Tier Covered Transactions

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

Certification Regarding Environmental Tobacco Smoke

    Public Law 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.

Appendix D

Certification Regarding Drug-Free Workplace Requirements

    The 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 
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

[[Page 5171]]

drug statute occurring in the workplace no later than five calendar 
days after such conviction;
    (e) Notifying the agency in writing, within ten calendar days 
after receiving notice under paragraph (d)(2) from an employee or 
otherwise receiving actual notice of such conviction. Employers of 
convicted employees must provide notice, including position title, 
to every grant officer or other designee on whose grant activity the 
convicted employee was working, unless the Federal agency has 
designated a central point for the receipt of such notices. Notice 
shall include the identification number(s) of each affected grant;
    (f) Taking one of the following actions, within 30 calendar days 
of receiving notice under paragraph (d)(2), with respect to any 
employee who is so convicted--
    (1) Taking appropriate personnel action against such an 
employee, up to and including termination, consistent with the 
requirements of the Rehabilitation Act of 1973, as amended; or
    (2) Requiring such employee to participate satisfactorily in a 
drug abuse assistance or rehabilitation program approved for such 
purposes by a Federal, State, or local health, law enforcement, or 
other appropriate agency;
    (g) Making a good faith effort to continue to maintain a drug-
free workplace through implementation of paragraphs (a), (b), (c), 
(d), (e) and (f).
    (B) The grantee may insert in the space provided below the 
site(s) for the performance of work done in connection with the 
specific grant:
Place of Performance (Street address, city, county, state, zip code)

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Check 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. 04-2173 Filed 2-2-04; 8:45 am]
BILLING CODE 4184-01-P