[Federal Register: February 3, 2004 (Volume 69, Number 22)]
[Notices]
[Page 5166-5171]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
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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 WRiley@acf.hhs.gov, or Sunni Knight at (202) 401-5319 or e-
mail at GKnight@acf.hhs.gov.
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
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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