[Federal Register Volume 78, Number 125 (Friday, June 28, 2013)]
[Notices]
[Pages 38989-38991]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2013-15465]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Administration for Children and Families


New Policies and Procedural Requirements for Electronic 
Submission of State Plans, and Program and Financial Reporting Forms, 
for Mandatory Grant Programs

AGENCY: Office of Administration (OA), Administration for Children and 
Families (ACF), Department of Health and Humans Services (HHS).

ACTION: Notice for public comment of new policies and procedural 
requirements for the electronic submission of State plans, and program 
and financial reporting forms, for mandatory grant programs.

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SUMMARY: The Administration for Children and Families (ACF), an 
Operating Division of the Department of Health and Human Services 
(HHS), announces the opportunity for public comment on our plan to 
implement required electronic submission of State plans, which includes 
applications as applicable; and programmatic and financial reporting 
forms, for mandatory grant programs. In accordance with the e-
Government initiatives mandated by the Federal Financial Assistance 
Management Improvement Act of 1999, ACF officially acknowledges that 
electronically generated and/or stored documents are recognized 
equivalents of an official paper grant file. Recognizing the 
equivalency of such documents eliminates duplicative effort and 
administrative burden for Federal grant applicants, recipients, and the 
awarding agency, by facilitating the submission and storage of official 
grant files. ACF has previously afforded recipients of mandatory State 
grant programs the option of submitting State plans, and programmatic 
and financial reporting forms, in both electronic and paper formats. 
This notice announces that recipients of mandatory State grant programs 
will now be required to submit State plans, and programmatic and 
financial reporting forms, electronically. The electronic portal used 
to support this effort is the ACF On-Line Data Collection (OLDC) 
system, which is available to State applicants and grantees at https://
extranet.acf.hhs.gov/oldcdocs/materials.html.

DATES: Submit written or electronic comments on the policies and 
procedures announced in this Notice, on or before August 27, 2013.

[[Page 38990]]


ADDRESSES: The public may submit written or electronic comments 
concerning this notice to Karen Shields, Grants Policy Specialist, 
Department of Health and Human Services, Administration for Children 
and Families, Division of Grants Policy, 370 L'Enfant Promenade SW., 
Aerospace Building, 6th Floor East, Washington, DC 20447. Email 
address: [email protected]. Delays may occur in mail delivery 
to Federal offices; therefore, a copy of submitted comments may also be 
faxed to (202) 205-4270.
    Received comments will be available for inspection by members of 
the public at the Office of Administration, Aerospace Building, 
Division of Grants Policy, 901 D Street SW., 6th Floor East, 
Washington, DC 20447.

FOR FURTHER INFORMATION CONTACT: Karen Shields, Grants Policy 
Specialist, Department of Health and Human Services, Administration for 
Children and Families, OA/Division of Grants Policy, 370 L'Enfant 
Promenade SW., Aerospace Building, 6th Floor East, Washington, DC 
20447. Email: [email protected]. Fax: (202) 205-4270.

SUPPLEMENTARY INFORMATION:

Electronic Submission of Mandatory Program State Plans

    In previous fiscal years, recipients of mandatory State grant 
programs had the option of submitting State plans in a format of their 
choosing. Effective October 1, 2013, ACF will require the use of the 
Standard Form SF-424M Mandatory Form when preparing State plans. The 
form is available to applicants and grantees within the OLDC system at 
https://extranet.acf.hhs.gov/oldcdocs/materials.html.
    Electronic Submission of Program Progress and Financial Reporting 
Forms Beginning with the effective date of October 1, 2013, the 
following reporting forms for mandatory State grant programs must be 
submitted electronically through the OLDC at https: //
extranet.acf.hhs.gov/oldcdocs/materials.html.

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              Program name                         Form title.
------------------------------------------------------------------------
Abstinence Education Grant Program.....  AEGP Performance Progress
                                          Report (PPR).
Abstinence Education Grant Program.....  Form SF-425: Federal Financial
                                          Report (FFR).
Adoption Assistance....................  Form CB-496: Title IV-E
                                          Programs Quarterly Financial
                                          Report.
Adoption Incentive Payments............  Form SF-425: Federal Financial
                                          Report (FFR).
Chafee (formerly ILP)..................  Form SF-425: Federal Financial
                                          Report (FFR).
Chafee Ed & Training Vouchers State      Form SF-425: Federal Financial
 Grants.                                  Report (FFR).
Child Abuse and Neglect State Grant      Form SF-425: Federal Financial
 Part 1.                                  Report (FFR).
Child Care and Development Fund          Form ACF-696T: Child Care and
 Mandatory & Matching.                    Development Fund Annual
                                          Financial Report for Tribes.
Child Care and Development Fund          Form ACF-402: Improper
 Mandatory & Matching.                    Authorizations.
Child Care and Development Fund          Form ACF-696: Child Care and
 Mandatory & Matching.                    Development Fund Financial
                                          Report for States and
                                          Territories.
Child Support Enforcement--States......  Form OCSE34A: Child Support
                                          Enforcement Program Quarterly
                                          Collection Report.
Child Support Enforcement--States......  Form OCSE-396A: Child Support
                                          Enforcement Program Quarterly
                                          Financial Report.
Child Support Enforcement--States......  Form OCSE 157: Child Support
                                          Enforcement Annual Data
                                          Report.
Child Support Enforcement--Tribes......  Form OCSE-75: Tribal Child
                                          Support Enforcement Annual
                                          Data Report.
Child Support Enforcement--Tribes......  Form OCSE34A: Child Support
                                          Enforcement Program Quarterly
                                          Collection Report.
Child Support Enforcement--Tribes......  Form SF-425: Federal Financial
                                          Report (FFR).
Child Welfare Social Services..........  Form SF-425: Federal Financial
                                          Report (FFR).
Children's Justice Act.................  Form SF-425: Federal Financial
                                          Report (FFR).
Community Services Block Grant.........  Form SF-425: Federal Financial
                                          Report (FFR).
Community-Based Child Abuse Prevention   Form SF-425: Federal Financial
 (formerly Community-Based Family         Report (FFR).
 Resource and Support).
Family Violence Prevention & Services    FVPS Performance Progress
 State Grants.                            Report (PPR)--(State).
Family Violence Prevention & Services    FVPS Performance Progress
 Tribal Grants.                           Report (PPR)--(Tribal).
Family Violence Prevention & Services    Form SF-425: Federal Financial
 State Grants.                            Report (FFR).
Foster Care............................  Form CB-496: Title IV-E
                                          Programs Quarterly Financial
                                          Report.
Guardianship Assistance................  Form CB-496: Title IV-E
                                          Programs Quarterly Financial
                                          Report.
Healthy Marriages/Healthy Relationships  Form SF-425: Federal Financial
 Demo.                                    Report (FFR).
Leveraging (LIHEAP)....................  Form SF-425: Federal Financial
                                          Report (FFR).
Low Income Home Energy Assistance......  Form SF-425: Federal Financial
                                          Report (FFR).
Native Employment Works Program........  Form SF-425: Federal Financial
                                          Report (FFR).
Promoting Safe and Stable Families       Form SF-425: Federal Financial
 Caseworker Visitation.                   Report (FFR).
Personal Responsibility Education        PREP Performance Progress
 Program.                                 Report (PPR).
Personal Responsibility Education        Form SF-425: Federal Financial
 Program.                                 Report (FFR).
Promoting Safe and Stable Families.....  Form SF-425: Federal Financial
                                          Report (FFR).
Refugee Cash and Medical Assistance....  Form ORR-1: Cash and Medical
                                          Assistance Program Estimates.
Refugee Cash and Medical Assistance....  Form ORR-2: Quarterly Report on
                                          Expenditures and Obligations.
Refugee Social Services................  Form SF-425: Federal Financial
                                          Report (FFR).
Refugee Targeted Assistance............  Form SF-425: Federal Financial
                                          Report (FFR).
Residential Energy Assistance Challenge  Form SF-425: Federal Financial
 Options Program.                         Report (FFR).
Social Services Block Grant............  Form SF-425: Federal Financial
                                          Report (FFR).
Social Services Emergency Disaster       Form SF-425: Federal Financial
 Relief.                                  Report (FFR).
State Access and Visitation............  Form SF-425: Federal Financial
                                          Report (FFR).
State Court Improvement--Basic Program.  Form SF-425: Federal Financial
                                          Report (FFR).
State Court Improvement--Data Program..  Form SF-425: Federal Financial
                                          Report (FFR).
State Court Improvement--Training        Form SF-425: Federal Financial
 Program.                                 Report (FFR).
Statewide Domestic Violence Coalition..  Form SF-425: Federal Financial
                                          Report (FFR).

[[Page 38991]]

 
Temporary Assistance for Needy Families  Form ACF-196T: Tribal TANF
                                          Financial Report.
Temporary Assistance for Needy Families  ACF-196T: TANF ARRA Financial
                                          Report.
Temporary Assistance for Needy Families  Form SF-425: Federal Financial
                                          Report (FFR).
Temporary Assistance for Needy Families  ACF-204.
Temporary Assistance for Needy Families  Form ACF-196: TANF Quarterly
                                          Financial Report.
Tribal Construction....................  Form SF-425: Federal Financial
                                          Report (FFR).
------------------------------------------------------------------------

Exemptions From the Electronic Submission Requirement

    ACF recognizes that some of the recipient community may have 
limited or no Internet access, and/or limited computer capacity, which 
may prohibit uploading large files to the Internet through the OLDC 
system. To accommodate such recipients, ACF is instituting an exemption 
procedure, on a case-by-case basis, that will allow such recipients to 
submit hard copy, paper State plans and reporting forms by the United 
States Postal Service, hand-delivery, recipient courier, overnight/
express mail couriers, or other representatives of the recipient.
    Additionally, on a case-by-case basis, we will consider requests to 
accept hard copy, paper submissions of State plans and reporting forms 
when circumstances such as natural disasters occur (floods, hurricanes, 
etc.); or when there are widespread disruptions of mail service; or in 
other rare cases that would prevent electronic submission of the 
documents.
    Recipients will be required to submit a written statement to ACF 
that the recipient qualifies for an exemption under one of these 
grounds: lack of Internet access; or limited computer capacity that 
prevents the uploading of large files to the Internet; the occurrence 
of natural disasters (floods, hurricanes, etc.); or when there are 
widespread disruptions of mail service; or in other rare cases that 
would prevent electronic submission of the documents.
    Exemption requests will be reviewed and the recipient will be 
notified of a decision to approve or deny the request. The written 
statement must be sent to the cognizant ACF Program Official and to 
ACF's Grants Management Office point of contact shown in funding 
opportunity announcements (if applicable) or in a previously received 
Notices of Award. Exemption requests may be submitted by regular mail 
or by email.
    In all cases, the decision to allow an exemption to accept 
submission of hard copy, paper State plans and reporting forms will 
rest with the cognizant ACF Program Office. Exemptions are applicable 
only to the Federal fiscal year in which they are received and 
approved. If an exemption is necessary for a future Federal fiscal 
year, a request must be submitted during each Federal fiscal year for 
which an exemption is necessary.

Records Retention

    The HHS regulations pertaining to the retrieval, retention, 
disposition, and destruction of official grant files, 45 CFR 92.42, 
remains in effect for electronically submitted documents.

Future Implementation

    This guidance represents the initial phase of ACF's transition to 
required electronic submission of official grant documents for 
recipients of mandatory State grant programs. ACF will continue to 
communicate transition plans as they evolve, and will provide the 
recipient communities and the general public with sufficient notice of 
implementation details. In general, notices will be published in the 
Federal Register at least 60 days before the implementation becomes 
effective.

Universal Identifier (DUNS) and SAM Registration

    ACF is prohibited from making an award until an applicant has 
complied with the following requirements:
    All applicants must have a DUNS number (www.dnb.com) and be 
registered with the System for Award Management (SAM, www.sam.gov).

DUNS Number Requirement

    The Data Universal Numbering System (DUNS) Number is the nine-
digit, or thirteen-digit (DUNS + 4), number established and assigned by 
Dun and Bradstreet, Inc. (D&B) to uniquely identify business entities.
    All applicants and sub-recipients must have a DUNS number at the 
time of submission of the State plan in order to be considered for an 
award under a mandatory program.
    A DUNS number is required whether an applicant is submitting a hard 
copy, paper State plan or using the OLDC system. Exemption procedures 
for submitting hard copy, paper State plans in lieu of electronic 
submission are discussed in an earlier section of this Notice. DUNS 
numbers are required for every State plan for a new award, including 
State plans under formula, entitlement, and block grant programs. A 
DUNS number may be acquired at no cost online at http://fedgov.dnb.com/webform.

System for Award Management

    Applicants must maintain an active SAM registration until the State 
plan submission process is complete and throughout the life of the 
award. Applicants should finalize a new, or renew an existing, 
registration at least two weeks before the State plan submission 
deadline. This action should allow sufficient time to resolve any 
issues that may arise. Failure to comply with these requirements may 
result in the inability to submit a State plan or receive an award. 
Maintain documentation (with dates) of efforts made to register or 
renew a registration at least two weeks before the deadline. Please see 
the SAM Quick Guide for Grantees at: www.sam.gov/sam/transcript/SAM_Quick_Guide_Grants_Registrations-v1.6.pdf.
    Applicants are strongly encouraged to register at SAM.gov well in 
advance of the State plan submission due date. Registration at SAM.gov 
must be updated annually.

    Note: It can take 24 hours or more for updates to registrations 
at SAM.gov to take effect. An entity's registration will become 
active after 3-5 days. Therefore, check for active registration well 
before the State plan submission due date and deadline. Recipients 
can view the registration status by visiting http://www.bpn.gov/CCRSearch/Search.aspx and searching by the organization's DUNS 
number. See the SAM Quick Guide for Grantees at https://www.sam.gov/sam/transcript/SAM_Quick_Guide_Grants_Registrations-v1.6.pdf.


    Statutory Authority: Financial Assistance Management Improvement 
Act of 1999, Pub. L. 106-107.

Robert Noonan,
Deputy Assistant Secretary for Administration, Administration for 
Children and Families.
[FR Doc. 2013-15465 Filed 6-27-13; 8:45 am]
BILLING CODE 4184-01-P