[Federal Register: January 28, 2004 (Volume 69, Number 18)]
[Notices]
[Page 4163-4169]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr28ja04-70]
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Administration for Children and Families
[Program Announcement No. FV01-2004]
Family Violence Prevention and Services Program
AGENCY: Family and Youth Services Bureau (FYSB), Administration on
Children, Youth and Families (ACYF), Administration for Children and
Families, (ACF), Department of Health and Human Services (HHS).
ACTION: Notice of the availability of funding to States for family
violence prevention and services.
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SUMMARY: This announcement governs the proposed award of formula grants
under the Family Violence Prevention and Services Act to States
(including Territories and Insular Areas). The purpose of these grants
is to assist States in establishing, maintaining, and expanding
programs and projects to prevent family violence and to provide
immediate shelter and related assistance for victims of family violence
and their dependents.
This announcement sets forth the application requirements, the
application process, and other administrative and fiscal requirements
for grants in fiscal year (FY) 2004.
DATES: Applications for FY 2004 State grant awards meeting the criteria
specified in this instruction should be received no later than February
20, 2004.
ADDRESSES: Applications should be sent to Family and Youth Services
Bureau, Administration on Children, Youth and Families, Administration
for Children and Families, Attn: Ms. Sunni Knight, 330 C Street, SW.,
Room 2117, Washington, DC, 20447.
FOR FURTHER INFORMATION CONTACT: William D. Riley at (202) 401-5529; or
e-mail at WRiley@acf.hhs.gov, or Sunni Knight at (202) 401-5319 or e-
mail at GKnight@acf.hhs.gov.
SUPPLEMENTARY INFORMATION:
Annual State Administrators Grantee Conference
The annual grantee conference for the State FVPSA Administrators is
a training and technical assistance activity. Attendance at these
activities is mandatory. Family Violence Prevention and Services Act
(FVPSA) funds may be used to support attendance and participation. A
subsequent Program Instruction will advise the State FVPSA
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), Public Law 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.
The Importance of Coordination of Services
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.
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 the designated State agencies 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.
Programmatic and Funding Information
A. Background
Title III of the Child Abuse Amendments of 1984 (Pub. L. 98-457,
[[Page 4164]]
42 U.S.C. 10401 et seq.) is entitled the ``Family Violence Prevention
and Services Act'' (the Act). The Act was first implemented in FY 1986,
reauthorized and amended in 1992 by Public Law 102-295, in 1994 by
Public Law 103-322, the Violent Crime Control and Law Enforcement Act,
in 1996 by Public Law 104-235, the Child Abuse Prevention and Treatment
Act (CAPTA) of 1996, the Victims of Trafficking and Violence Protection
Act, Public Law 106-386, in 2000. The Act was most recently amended by
the Keeping Children and Families Safe Act of 2003. Public Law 108-36.
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 2003, 223 grants were made to States and Native American
Tribes. The Department also made 53 family violence prevention grant
awards to non-profit 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 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 (NDVH) to ensure that every woman has access to
information and emergency assistance wherever and whenever she needs
it. The NDVH 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 August 31, 2003 the National Domestic Violence Hotline had
answered over 1 million calls.
B. Funds Available
Of the total appropriation for the Family Violence Prevention and
Services Program for FY 2004, The Department of Health and Human
Services will allocate 70 percent to the designated State agencies
administering Family Violence Prevention and Services programs. In
separate announcements the Department 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; and 10 percent to the State Domestic Violence Coalitions to
continue their work within the domestic violence community by providing
technical assistance and training, and advocacy services among other
activities with local domestic violence programs and to encourage
appropriate responses to domestic violence within the States.
Five percent of the FY 2004 FVPSA 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 2004
appropriation 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 through the competitive or discretionary grant process.
C. State Allocation
The Secretary is required to make available not less than 70
percent of amounts appropriated under Section 310(a) for grants to
States.
Family Violence grants to the States, the District of Columbia, and
the Commonwealth of Puerto Rico are based on a population formula. Each
State grant shall be $600,000 with the remaining funds allotted to each
State on the same ratio 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.
General Grant Requirements Applicable to States
A. Definitions
States should use the following definitions in carrying out their
programs. The definitions are found in Section 320 of the Act.
(1) Family Violence: Any act or threatened act of violence,
including any forceful detention of an individual, which (a) results or
threatens to result in physical injury and (b) is committed by a person
against another individual (including an elderly person) to whom such
person is or was related by blood or marriage or otherwise legally
related or with whom such person is or was lawfully residing.
(2) Shelter: The provision of temporary refuge and related
assistance in compliance with applicable State law and regulation
governing the provision, on a regular basis, which includes shelter,
safe homes, meals, and related assistance to victims of family violence
and their dependents.
(3) Related assistance: The provision of direct assistance to
victims of family violence and their dependents for the purpose of
preventing further violence, helping such victims to gain access to
civil and criminal courts and other community services, facilitating
the efforts of such victims to make decisions concerning their lives in
the interest of safety, and assisting such victims in healing from the
effects of the violence. Related assistance includes:
(a) Prevention services such as outreach and prevention services
for victims and their children, assistance for children who witness
domestic violence, 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 shall 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
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children who are victims of family violence or the dependents of such
victims, and children who witness domestic violence.
B. Expenditure Periods
The FVPSA funds may be used for expenditures on and after October 1
of each fiscal year for which they are granted, and will be available
for expenditure through September 30 of the following fiscal year,
i.e., FY 2004 funds may be used for expenditures from October 1, 2003
through September 30, 2005. Funds will be available for obligations
only through October 1, 2004.
Re-allotted funds, if any, are available for expenditure until the
end of the fiscal year following the fiscal year that the funds became
available for re-allotment. FY 2004 grant funds which are made
available to the States through re-allotment, under section 304(d)(2),
must be expended by the State no later than September 30, 2005.
C. Reporting Requirements: State Performance Report
Section 303(a)(4) requires that States file a performance report
with the Department describing the activities carried out, and
inclusion of an assessment of the effectiveness of those activities in
achieving the purposes of the grant. A section of this performance
report must be completed by each grantee or sub-grantee that performed
the direct services contemplated in the State's application certifying
performance of such services. State grantees should compile performance
reports into a comprehensive report for submission.
The Performance Report should include the following data elements
as well as narrative examples of success stories about the services
which were provided. Please note that Section 303 (a) (4) of the FVPSA
also requires that the director of the program suspend funding for an
approved application if an applicant fails to submit an annual
Performance Report. The Performance Report should include the following
data elements:
Funding--The total amount of the FVPSA grant funds awarded; the
percentage of funding used for shelters, and the percentage of funding
used for related services and assistance.
Shelters--The total number of shelters and shelter programs (safe
homes/motels, etc.) assisted by FVPSA program funding. Data elements
should include:
The number of women sheltered
The number of shelters and safe houses in the
State
The number of young children sheltered (birth-12
years of age)
The number of teenagers and young adults (13-18
years of age)
The number of men sheltered
The number of elderly serviced
The average length of stay
The number of women, children, teens, and others
who were turned away because shelter was unavailable
The number of women, children, teens, and others
who were referred to other shelters due to a lack of space
Types of individuals served including special populations. Record
information by numbers and percentages against the total population
served. Individuals and special populations served should include:
Racial identification;
Cultural classification;
Language (other than English);
Geographically isolated from shelter (urban or
rural);
Women of color;
Persons with disabilities; and
other special needs populations.
Related services and assistance. List the types of related services
and assistance provided to victims and their family members by
indicating the number of women, children, and men that have received
services. Services and assistance may include but are not limited to
the following:
Individual counseling
Group counseling
Crisis intervention/hotline
Information and referral
Batterers support services
Legal advocacy services
Transportation
Services to teenagers
Child Care
Training and technical assistance
Housing advocacy
Other innovative program activities
Volunteers--List the total number of volunteers and hours worked
Identified Abuse--Indicate the number of women, children, and men
who were identified as victims of physical, sexual, and emotional
abuse.
Service referrals--List the number of women, children, and men
referred for the following services: (Note: If the individual was
identified as a batterer please indicate.)
Alcohol abuse
Drug abuse
Batterer intervention services
Abuse as a child
Witnessed abuse
Emergency medical intervention
Law enforcement intervention
The Performance Report should include narratives of success stories
of services provided and the positive impact on the lives of children
and families. Examples may include the following:
An explanation of the activities carried out
including an assessment of the major activities supported by the family
violence funds, what particular priorities within the State were
addressed, and what special emphases were placed on these activities;
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, safe-houses,
related assistance, programs for batterers);
An assessment of the effectiveness of the direct
service activities contemplated in the application;
A description of how the needs of under-served
populations, including populations under-served because of ethnic,
racial, cultural, language diversity, or geographic isolation were
addressed;
A description and assessment of the prevention
activities supported during the program year, e.g., community education
events, and public awareness efforts; and
A discussion of exceptional issues or problems
arising, but not addressed in the application.
Performance reports for the States are due on an annual basis at
the end of the calendar year (December 29).
The statute also requires the Department to suspend funding for an
approved application if any applicant fails to submit an annual
performance report or if the funds are expended for purposes other than
those set forth under this announcement.
D. Reporting Requirements: Departmental Grants Management Reports
All State grantees are reminded that the annual Program Reports and
annual Financial Status Reports (Standard Form 269) are due 90 days
after the end of each Federal fiscal year, i.e., reports are due on
December 29 of each year.
Application Requirements
A. Eligibility
``States'' as defined in section 320 of the Act are eligible to
apply for funds. The term ``State'' means each of the several States,
the District of Columbia, the Commonwealth of Puerto Rico, Guam,
American Samoa, the Virgin Islands, the Commonwealth of the Northern
Mariana Islands.
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
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under the Social 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.
Additional Information on Eligibility
All applicants must have a Dun and Bradstreet Number (DUNS). A DUNS
number will be required for every application for a new award 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.
B. Approval/Disapproval of a State 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 of
the State or the Chief Program Official designated as responsible for
the administration of the Act.
Each application must contain the following information or
documentation:
(1) The name of the State agency, the name of the Chief Program
Official designated as responsible for the administration of funds
under this Act, and the name of a contact person if different from the
Chief Program Official (section 303(a)(2)(C)).
(2) A plan describing in detail how the needs of underserved
populations will be met, including populations underserved because of
ethnic, racial, cultural, language diversity or geographic isolation
(section 303(a)(2)(C)).
(a) Identify the underserved populations that are being targeted
for outreach and services.
(b) In meeting the needs of the underserved population, describe
the domestic violence training that will be provided to the individuals
who will do the outreach and intervention to these populations.
Describe the specific service environment, e.g., new shelters, services
for the battered elderly, women of color etc.
(c) Describe the public information component of the State's
outreach program; describe the elements of your program that are used
to explain domestic violence, the most effective and safe ways to seek
help, identify available resources, etc.
(3) Provide a complete description of the process and procedures
used to involve State domestic violence coalitions and other
knowledgeable individuals and interested organizations 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), and section 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)(2)).
(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)).
Each application 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, as defined in
section 320(5)(A), 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(g)).
(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(f), i.e., not less than 20 percent of the
total funds provided for a project under this title with respect to an
existing program, and with respect to an entity intending to operate a
new program under this title, not less than 35 percent. The local share
will be cash or in kind; and the local share will not include any
Federal funds provided under any authority other than this Title
(section 303(f)).
(f) That grant funds made available under this program by the State
will not be used as direct payment to any victim or dependent of a
victim of family violence (section 303(d)).
(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(e)).
(h) That the address or location of any shelter-facility assisted
under the Act will not be made public, except with the written
authorization of the person or persons responsible for the operation of
such shelter (section 303(a)(2)(E)).
(i) That all grants made by the State under the Act will prohibit
discrimination on the basis of age, handicap, sex, race, color,
national origin or religion (section 307).
(j) That funds made available under the FVPSA be used to supplement
and not supplant other Federal, State, and local public funds expended
to provide services and activities that promote the purposes of the
FVPSA (section 303(a)(4).
(k) That States will comply with the applicable Departmental
recordkeeping and reporting requirements and general requirements for
the administration of grants under 45 CFR Part 92.
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Other Information
A. Notification Under Executive Order 12372
For States, this program is covered under Executive Order 12372,
``Intergovernmental Review of Federal Programs,'' for State plan
consolidation and implication only--45 CFR 100.12. The review and
comment provisions of the Executive Order and Part 100 do not apply.
Federally-recognized Native American Tribes are exempt from all
provisions and requirements of E.O. 12372.
B. Paperwork Reduction Act
In accordance with the Paperwork Reduction Act of 1980 (Pub. L. 96-
511), the application requirements contained in this instruction have
been approved by the Office of Management and Budget under control
number 0970-0062.
C. Certifications
Applications must comply with the required certifications found at
the Appendices as follows:
Anti-Lobbying Certification and Disclosure Form: Pursuant to 45 CFR
part 93, the certification must be signed and submitted with the
application. If applicable, a standard form LLL, which discloses
lobbying payments, must be submitted.
Certification Regarding Drug-Free Workplace Requirements and the
Certification Regarding Debarment: The signature on the application by
the chief program official attests to the applicant's intent to comply
with the Drug-Free Workplace requirements and compliance with the
Debarment Certification. The Drug-Free Workplace certification does 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. The applicant further agrees that it will require the
language of this certification be included in any sub-awards which
contain provisions for children's services and that all grantees shall
certify accordingly.
(Catalog of Federal Domestic Assistance number 93.671, Family
Violence Prevention and Services)
Dated: January 21, 2004.
Clarence Carter,
Director, Office of Community Services, Administration for Children and
Families.
Appendices--Required Certifications: Anti-Lobbying and Disclosure;
Drug-Free Workplace; Regarding Debarment; Regarding Environmental
Tobacco Smoke.
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 sub awards
at all tiers (including subcontracts, sub grants, and contracts
under grants, loans, and cooperative agreements) and that all sub
recipients 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
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
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.
[[Page 4168]]
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 Non-procurement
Programs.
9. Nothing contained in the foregoing shall be construed to
require establishment of a system of records in order to render in
good faith the certification required by this clause. The knowledge
and information of a participant is not required to exceed that
which is normally possessed by a prudent person in the ordinary
course of business dealings.
10. Except for transactions authorized under paragraph 6 of
these instructions, if a participant in a covered transaction
knowingly enters into a lower tier covered transaction with a person
who is proposed for debarment under 48 CFR part 9, subpart 9.4,
suspended, debarred, ineligible, or voluntarily excluded from
participation in this transaction, in addition to other remedies
available to the Federal Government, the department or agency may
terminate this transaction for cause or default.
* * * * *
Certification Regarding Debarment, Suspension, and Other
Responsibility Matters--Primary Covered Transactions
(1) The prospective primary participant certifies to the best of
its knowledge and belief, that it and its principals:
(a) Are not presently debarred, suspended, proposed for
debarment, declared ineligible, or voluntarily excluded by any
Federal department or agency;
(b) Have not within a three-year period preceding this proposal
been convicted of or had a civil judgment rendered against them for
commission of fraud or a criminal offense in connection with
obtaining, attempting to obtain, or performing a public (Federal,
State or local) transaction or contract under a public transaction;
violation of Federal or State antitrust statutes or commission of
embezzlement, theft, forgery, bribery, falsification or destruction
of records, making false statements, or receiving stolen property;
(c) Are not presently indicted for or otherwise criminally or
civilly charged by a governmental entity (Federal, State or local)
with commission of any of the offenses enumerated in paragraph
(1)(b) of this certification; and
(d) Have not within a three-year period preceding this
application/proposal had one or more public transactions (Federal,
State or local) terminated for cause or default.
(2) Where the prospective primary participant is unable to
certify to any of the statements in this certification, such
prospective participant shall attach an explanation to this
proposal.
Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion--Lower Tier Covered Transactions
Instructions for Certification
1. By signing and submitting this proposal, the prospective
lower tier participant is providing the certification set out below.
2. The certification in this clause is a material representation
of fact upon which reliance was placed when this transaction was
entered into. If it is later determined that the prospective lower
tier participant knowingly rendered an erroneous certification, in
addition to other remedies available to the Federal Government the
department or agency with which this transaction originated may
pursue available remedies, including suspension and/or debarment.
3. The prospective lower tier participant shall provide
immediate written notice to the person to which this proposal is
submitted if at any time the prospective lower tier participant
learns that its certification was erroneous when submitted or had
become erroneous by reason of changed circumstances.
4. The terms covered transaction, debarred, suspended,
ineligible, lower tier covered transaction, participant, person,
primary covered transaction, principal, proposal, and voluntarily
excluded, as used in this clause, have the meaning set out in the
Definitions and Coverage sections of rules implementing Executive
Order 12549. You may contact the person to which this proposal is
submitted for assistance in obtaining a copy of those regulations.
5. The prospective lower tier participant agrees by submitting
this proposal that, [Page 33043] should the proposed covered
transaction be entered into, it shall not knowingly enter into any
lower tier covered transaction with a person who is proposed for
debarment under 48 CFR part 9, subpart 9.4, debarred, suspended,
declared ineligible, or voluntarily excluded from participation in
this covered transaction, unless authorized by the department or
agency with which this transaction originated.
6. The prospective lower tier participant further agrees by
submitting this proposal that it will include this clause titled
``Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion--Lower Tier Covered Transaction,'' without
modification, in all lower tier covered transactions and in all
solicitations for lower tier covered transactions.
7. A participant in a covered transaction may rely upon a
certification of a prospective participant in a lower tier covered
transaction that it is not proposed for debarment under 48 CFR part
9, subpart 9.4, debarred, suspended, ineligible, or voluntarily
excluded from covered transactions, unless it knows that the
certification is erroneous. A participant may decide the method and
frequency by which it determines the eligibility of its principals.
Each participant may, but is not required to, check the List of
Parties Excluded from Federal Procurement and Nonprocurement
Programs.
8. Nothing contained in the foregoing shall be construed to
require establishment of a system of records in order to render in
good faith the certification required by this clause. The knowledge
and information of a participant is not required to exceed that
which is normally possessed by a prudent person in the ordinary
course of business dealings.
9. Except for transactions authorized under paragraph 5 of these
instructions, if a participant in a covered transaction knowingly
enters into a lower tier covered transaction with a person who is
proposed for debarment under 48 CFR part 9, subpart 9.4, suspended,
debarred, ineligible, or voluntarily excluded from participation in
this transaction, in addition to other remedies available to the
Federal Government, the department or agency with which this
transaction originated may pursue available remedies, including
suspension and/or debarment.
* * * * *
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.
Appendix 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
[[Page 4169]]
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
This certification is required by the regulations implementing
the Drug-Free Workplace Act of 1988: 45 CFR Part 76, Subpart, F.
Sections 76.630(c) and (d)(2) and 76.645(a)(1) and (b) provide that
a Federal agency may designate a central receipt point for STATE-
WIDE AND STATE AGENCY-WIDE certifications, and for notification of
criminal drug convictions. For the Department of Health and Human
Services, the central pint is: Division of Grants Management and
Oversight, Office of Management and Acquisition, Department of
Health and Human Services, Room 517-D, 200 Independence Avenue, SW.,
Washington, DC 20201.
Certification Regarding Drug-Free Workplace Requirements
(Instructions for Certification)
1. By signing and/or submitting this application or grant
agreement, the grantee is providing the certification set out below.
2. The certification set out below is a material representation
of fact upon which reliance is placed when the agency awards the
grant. If it is later determined that the grantee knowingly rendered
a false certification, or otherwise violates the requirements of the
Drug-Free Workplace Act, the agency, in addition to any other
remedies available to the Federal Government, may take action
authorized under the Drug-Free Workplace Act.
3. For grantees other than individuals, Alternate I applies.
4. For grantees who are individuals, Alternate II applies.
5. Workplaces under grants, for grantees other than individuals,
need not be identified on the certification. If known, they may be
identified in the grant application. If the grantee does not
identify the workplaces at the time of application, or upon award,
if there is no application, the grantee must keep the identity of
the workplace(s) on file in its office and make the information
available for Federal inspection. Failure to identify all known
workplaces constitutes a violation of the grantee's drug-free
workplace requirements.
6. Workplace identifications must include the actual address of
buildings (or parts of buildings) or other sites where work under
the grant takes place. Categorical descriptions may be used (e.g.,
all vehicles of a mass transit authority or State highway department
while in operation, State employees in each local unemployment
office, performers in concert halls or radio studios).
7. If the workplace identified to the agency changes during the
performance of the grant, the grantee shall inform the agency of the
change(s), if it previously identified the workplaces in question
(see paragraph five).
8. Definitions of terms in the Nonprocurement Suspension and
Debarment common rule and Drug-Free Workplace common rule apply to
this certification. Grantees' attention is called, in particular, to
the following definitions from these rules:
Controlled substance means a controlled substance in Schedules I
through V of the Controlled Substances Act (21 U.S.C. 812) and as
further defined by regulation (21 CFR 1308.11 through 1308.15);
Conviction means a finding of guilt (including a plea of nolo
contendere) or imposition of sentence, or both, by any judicial body
charged with the responsibility to determine violations of the
Federal or State criminal drug statutes;
Criminal drug statute means a Federal or non-Federal criminal
statute involving the manufacture, distribution, dispensing, use, or
possession of any controlled substance;
Employee means the employee of a grantee directly engaged in the
performance of work under a grant, including: (i) All direct charge
employees; (ii) All indirect charge employees unless their impact or
involvement is insignificant to the performance of the grant; and,
(iii) Temporary personnel and consultants who are directly engaged
in the performance of work under the grant and who are on the
grantee's payroll. This definition does not include workers not on
the payroll of the grantee (e.g., volunteers, even if used to meet a
matching requirement; consultants or independent contractors not on
the grantee's payroll; or employees of subrecipients or
subcontractors in covered workplaces).
Certification Regarding Drug-Free Workplace Requirements
Alternate I. (Grantees Other Than Individuals)
The grantee certifies that it will or will continue to provide a
drug-free workplace by:
(a) Publishing a statement notifying employees that the unlawful
manufacture, distribution, dispensing, possession, or use of a
controlled substance is prohibited in the grantee's workplace and
specifying the actions that will be taken against employees for
violation of such prohibition;
(b) Establishing an ongoing drug-free awareness program to
inform employees about--
(1) The dangers of drug abuse in the workplace;
(2) The grantee's policy of maintaining a drug-free workplace;
(3) Any available drug counseling, rehabilitation, and employee
assistance programs; and
(4) The penalties that may be imposed upon employees for drug
abuse violations occurring in the workplace;
(c) Making it a requirement that each employee to be engaged in
the performance of the grant be given a copy of the statement
required by paragraph (a);
(d) Notifying the employee in the statement required by
paragraph (a) that, as a condition of employment under the grant,
the employee will--
(1) Abide by the terms of the statement; and
(2) Notify the employer in writing of his or her conviction for
a violation of a criminal drug statute occurring in the workplace no
later than five calendar days after such conviction;
(e) Notifying the agency in writing, within ten calendar days
after receiving notice under paragraph (d)(2) from an employee or
otherwise receiving actual notice of such conviction. Employers of
convicted employees must provide notice, including position title,
to every grant officer or other designee on whose grant activity the
convicted employee was working, unless the Federal agency has
designated a central point for the receipt of such notices. Notice
shall include the identification number(s) of each affected grant;
(f) Taking one of the following actions, within 30 calendar days
of receiving notice under paragraph (d)(2), with respect to any
employee who is so convicted--
(1) Taking appropriate personnel action against such an
employee, up to and including termination, consistent with the
requirements of the Rehabilitation Act of 1973, as amended; or
(2) Requiring such employee to participate satisfactorily in a
drug abuse assistance or rehabilitation program approved for such
purposes by a Federal, State, or local health, law enforcement, or
other appropriate agency;
(g) Making a good faith effort to continue to maintain a drug-
free workplace through implementation of paragraphs (a), (b), (c),
(d), (e) and (f).
(B) The grantee may insert in the space provided below the
site(s) for the performance of work done in connection with the
specific grant:
Place of Performance (Street address, city, county, state, zip
code)
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Check 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. 04-1771 Filed 1-27-04; 8:45 am]
BILLING CODE 4184-01-P