[Federal Register: January 16, 2007 (Volume 72, Number 9)]
[
Notices]
[Page 1726-1732]
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
Family Violence Prevention and Services/Grants for Battered
Women's Shelters and Related Assistance/Grants to Indian Tribal
Organizations (Including Alaska Native Villages)
Program Office: Administration on Children, Youth, and Families
(ACYF), Family and Youth Services Bureau (FYSB).
Program Announcement Number: HHS-2007-ACF-ACYF-FVPS-0124.
Announcement Title: Family Violence Prevention and Services/
Grants for Battered Women's Shelters and Related Assistance/Grants
to Indian Tribal Organizations (including Alaska Native Villages).
CFDA Number: 93.671.
Due Date for Applications: February 15, 2007.
Executive Summary: This announcement governs the proposed award of
formula grants under the Family Violence Prevention and Services Act
(FVPSA) to Indian Tribes (including Alaska Native Villages) and Tribal
organizations. The purpose of these grants is to assist Tribes in
establishing, maintaining, and expanding programs and projects to
prevent family violence and to provide immediate shelter and related
assistance for victims of family violence and their dependents.
This announcement sets forth the application requirements, the
application process, and other administrative and fiscal requirements
for grants in Fiscal Year (FY) 2007. Grantees are to be mindful that
although the expenditure period for grants is a two-year period, an
application is required every year to provide continuity in the
provision of services. (See Section II. Award Information, Expenditure
Periods.)
I. Description
Legislative Authority: Title III of the Child Abuse Amendments of
1984 (Public Law (Pub. L.) 98-457, 42 United States Code (U.S.C.) 10401
et seq.) is entitled the ``Family Violence Prevention and Services
Act'' (FVPSA). FVPSA was first implemented in FY 1986. The statute was
subsequently amended by P.L. 100-294, the ``Child Abuse Prevention,
Adoptions, and Family Services Act of 1988;'' further amended in 1992
by P.L. 102-295; and then amended in 1994 by P.L. 103-322, the
``Violent Crime Control and Law Enforcement Act.'' FVPSA was amended
again in 1996 by P.L. 104-235, the ``Child Abuse Prevention and
Treatment Act'' (CAPTA) of 1996; in 2000 by P.L. 106-386, the ``Victims
of Trafficking and Violence Protection Act,'' and amended further by
P.L. 108-36, the ``Keeping Children and Families Safe Act of 2003.''
FVPSA was most recently amended by P.L. 109-162, the ``Violence Against
Women Reauthorization Act of 2005'' and by P.L. 109-271, which was
enacted on August 17, 2006.
FVPSA may be found at 42 U.S.C. 10401 et. seq.
Background
The purpose of this legislation is to assist States and Tribes or
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 2006, the U.S. Department of Health and Human Services
(HHS) made 241 grants to States and Tribes or Tribal organizations. HHS
also made 53 family violence prevention grant awards to non-profit
State domestic violence coalitions.
In addition, HHS supports the Domestic Violence Resource Center
Network (DVRN). DVRN consists of the National Resource Center for
Domestic Violence (NRC) and four Special Issue Resource Centers
(SIRCs). The four SIRCs are: The Battered Women's Justice Project, the
Resource Center on Child Custody and Protection, the Resource Center
for the Elimination of Domestic Violence Against Native Women (Sacred
Circle), and the Health Resource Center on Domestic Violence. The
purpose of NRC and the SIRCs is to provide resource information,
training, and technical assistance to Federal, State, and Indian Tribal
agencies; local domestic violence prevention programs; and other
professionals who provide services to victims of domestic violence.
In February, 1996, HHS funded the National Domestic Violence
Hotline (Hotline) to ensure that every woman and man has access to
information and emergency assistance wherever and whenever it is
needed. The Hotline is a 24-hour, toll-free service that 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 (7233); the TTY number for the hearing
impaired is 1-800-787-3224.
General Grant Program Requirements For Tribes or Tribal Organizations
Definitions
Tribes and Tribal organizations should use the following
definitions in carrying out their programs. The definitions are found
in section 320 of FVPSA.
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.
Indian Tribe and Tribal organization: Have the same meanings given
such terms in section 450b of Title 25.
Shelter: The provision of temporary refuge and related assistance
in compliance with applicable State law and regulation governing the
provision, on a regular basis, of shelter, safe homes, meals, and
related assistance to victims of family violence and their dependents.
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 to children who witness
domestic violence, employment training,
[[Page 1727]]
parenting, and other educational services for victims and their
children, preventive health services within domestic violence programs
(including services promoting 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 provided by peers individually or in groups, and
referral to community social services;
(c) Transportation, 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, child care services
for children who are victims of family violence or the dependents of
such victims, and children who witness domestic violence.
The Importance of Coordination of Services
The affect of domestic violence includes 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.
The physical and cultural obstacles existing in much of Indian
country compound the basic dynamics of domestic violence. Barriers such
as the isolation of vast rural areas, the concern for safety in
isolated settings, and the transportation requirements over long
distances, heighten the need for the coordination of the services
through an often limited delivery system.
In a project intended to broaden the reach of the Indian Tribal
domestic violence communities, the Indian Health Service (IHS) and
FVPSA-funded programs have collaborated to oversee the development of
domestic violence community projects. These projects are designed to
develop improved health care responses to domestic violence and to
facilitate collaboration between the local health care system and local
Indian Tribal domestic violence advocacy programs (including Alaskan
Village programs). In this effort, IHS also is collaborating with
representatives of Mending the Sacred Hoop, Cangleska, Inc., and the
Family Violence Prevention Fund to provide training, technical
assistance, and oversight to the pilot projects.
To help bring about a more effective response to the problem of
domestic violence, HHS urges Tribes and Tribal organizations receiving
funds under this grant announcement to coordinate activities under this
grant with other new and existing resources for the prevention of
domestic violence.
Annual Tribal Grantee Conference
FVPSA administrators should plan to attend the annual Tribal
Grantee Conference. A subsequent Program Instruction and/or Information
Memorandum will advise the Tribal FVPSA Administrators of the date,
time, and location of the grantee conference.
Client Confidentiality
FVPSA programs must establish or implement policies and protocols
for maintaining the safety and confidentiality of the victims of
domestic violence, sexual assault, and stalking. It is essential that
the confidentiality of adult victims and their children 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)).
II. Funds Available
For FY 2007, HHS will make available for grants to designated State
agencies 70 percent of the amount appropriated under section 310(a)(1)
of the FVPSA, which is not reserved under section 310(a)(2). In this
separate announcement, HHS will allocate 10 percent of the foregoing
appropriation to Tribes and Tribal organizations for the establishment
and operation of shelters, safe houses, and the provision of related
services. HHS also plans to make 10 percent of the foregoing
appropriation available to 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, to local domestic violence programs to encourage
appropriate responses to domestic violence within the States.
Five percent of the amount appropriated under section 310(a)(1) of
the FVPSA, which is not reserved under section 310(a)(2), will be
available in FY 2007 to continue the support for the NRC and the four
SIRCs. Additional funds appropriated under FVPSA will be used to
support other activities, including training and technical assistance,
collaborative projects with advocacy organizations and service
providers, data collection efforts, public education activities,
research and other demonstration projects, as well as the ongoing
operation of the Hotline.
Native American Tribal Allocations
Native American Tribes and Tribal organizations are eligible for
funding under this program if they meet the definition of ``Indian
Tribe'' or ``Tribal organization'' at 25 U.S.C. 450b, and if they are
able to demonstrate their capacity to carry out family violence
prevention and services programs.
Any Tribe that believes it meets the eligibility criteria should
provide supportive documentation in its application and a request for
inclusion on the list of eligible Tribes. (See Section IV. Application
Requirements for Tribes or Tribal Organizations.)
In computing Tribal allocations, ACF will use the latest available
population figures from the Census Bureau. If Census Bureau data are
unavailable, ACF will use figures from the Bureau of Indian Affairs'
(BIA's) Indian Population and Labor Force Report.
Because section 304 of FVPSA specifies a minimum base amount for
State allocations, ACF has set a base amount for Tribal allocations.
Since FY 1986, it has been, in practice, that the establishment of a
base amount has facilitated ACF's efforts to make a fair and equitable
distribution of limited grant funds.
Due to the expanded interest in the prevention of domestic violence
and in the provision of services to victims of family violence and
their dependents, an increasing number of Tribal applications have been
received over the past several years. In order to ensure the
continuance of an equitable distribution of family violence prevention
and services funding in response to the increased number of Tribes that
apply, the funding formula for the allocation of family violence funds
has been adjusted.
Tribes that meet the application requirements and whose reservation
and surrounding Tribal Trust Lands' population is:
Less than or equal to 1,500 will receive a minimum base
amount of $1,500;
[[Page 1728]]
Between 1,501 and 3,000 will receive a minimum base amount
of $3,000;
Between 3,001 and 4,000 will receive a minimum base amount
of $4,000; and,
Between 4,001 and 5,000 will receive a minimum base amount
of $5,000.
The minimum base amounts are computed in relation to the Tribe's
population and the progression of an additional $1,000 per 1,000
persons if the population range continues until the Tribe's population
reaches 50,000.
Tribes with a population of 50,000 to l00,000 will receive a
minimum of $50,000, and Tribes with a population of 100,001 to 150,000
will receive a minimum of $100,000.
Once the base amounts have been distributed to the Tribes that have
applied for FVPSA funding, the ratio of the Tribe's population to the
total population of all the applicant Tribes is then considered in
allocating the remainder of the funds. ACF has accounted for the
variance in actual population and scope of the FVPSA programs with the
distribution of a proportional amount plus a base amount to the Tribes.
Under the previous allocation plan, ACF did not have a method by which
to consider the variance in Tribal census counts. As in previous years,
Tribes are encouraged to apply as consortia for the FVPSA funding.
Expenditure Periods
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
2007 funds may be used for expenditures from October 1, 2006 through
September 30, 2008. Funds are available for obligation through
September 30, 2008 and must be liquidated by September 30, 2009.
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 2007 grant funds that are made available
to Tribes and Tribal organizations through reallotment must be expended
by the grantee no later than September 30, 2008.
III. Eligibility
Tribes and Tribal organizations are eligible for funding under this
program if they meet the definition of ``Indian Tribe'' or ``Tribal
organization'' set forth in section 450B of Title 25 and if they are
able to demonstrate their capacity to carry out a family violence
prevention and services program.
Any Tribe or Tribal organization that believes it meets the
eligibility criteria and should be included in the list of eligible
Tribes should provide supportive documentation and a request for
inclusion in its application. (See Application Content Requirements
below.)
As in previous years, Tribes may apply singularly or as a
consortium. In addition, a non-profit private organization, approved by
a Tribe for the operation of a family violence shelter or program on a
reservation is eligible for funding.
Additional Information on Eligibility
D-U-N-S Requirement
All applicants must have a D&B Data Universal Numbering System (D-
U-N-S) number. On June 27, 2003, the Office of Management and Budget
(OMB) published in the Federal Register a new Federal policy applicable
to all Federal grant applicants. The policy requires Federal grant
applicants to provide a D-U-N-S number when applying for Federal grants
or cooperative agreements on or after October 1, 2003. The D-U-N-S
number will be required whether an applicant is submitting a paper
application or using the government-wide electronic portal, Grants.gov.
A D-U-N-S number will be required for every application for a new award
or renewal/continuation of an award, including applications or plans
under formula, entitlement, and block grant programs, submitted on or
after October 1, 2003. Please ensure that the applicant has a D-U-N-S
number. To acquire a D-U-N-S number at no cost, call the dedicated
toll-free D-U-N-S number request line at 1-866-705-5711 or request a
number online at http://www.dnb.com.
IV. Application Requirements for Tribes and Tribal Organizations
The Paperwork Reduction Act of 1995 (Pub. L. 104-13)
Public reporting burden for this collection of information is
estimated to average six hours per response, including the time for
reviewing instructions, gathering and maintaining the data needed, and
reviewing the collection information. The project description is
approved under the Office of Management and Budget (OMB) control number
0970-0280, which expires October 31, 2008.
An agency may not conduct or sponsor, and a person is not required
to respond to, a collection of information unless it displays a
currently valid OMB control number.
Form and Content of Application Submission
The application from the Tribe or Tribal organization must be
signed by the Chief Executive Officer or Tribal Chairperson of the
applicant organization.
Each application must contain the following information or
documentation:
1. The name of the organization or agency and the Chief Program
Official designated as responsible for administering funds under FVPSA
and coordinating related programs, and the name, telephone number, and
fax number, if available, of a contact person in the designated
organization or agency.
2. A copy of a current resolution stating that the designated
organization or agency has the authority to submit an application on
behalf of the individuals in the Tribe(s) and to administer programs
and activities funded under this program (section 303(b)(2)).
3. A description of the procedures designed to involve
knowledgeable individuals and interested organizations in providing
services under FVPSA (section 303(b)(2)). For example, knowledgeable
individuals and interested organizations may include: Tribal officials
or social services staff involved in child abuse or family violence
prevention, Tribal law enforcement officials, representatives of State
coalitions against domestic violence, and operators of family violence
shelters and service programs.
4. A description of the applicant's operation of, and/or capacity
to carry out, a family violence prevention and services program. This
might be demonstrated in ways such as the following:
(a) The current operation of a shelter, safe house, or family
violence prevention program;
(b) The establishment of joint or collaborative service agreements
with a local public agency or a private non-profit agency for the
operation of family violence prevention activities or services; or
(c) The operation of social services programs as evidenced by
receipt of ``638'' contracts with BIA; Title II Indian Child Welfare
grants from BIA; Child Welfare Services grants under Title IV-B of the
Social Security Act; or Family Preservation and Family Support grants
under title IV-B of the Social Security Act.
5. A description of the services to be provided, how the applicant
[[Page 1729]]
organization plans to use the grant funds to provide the direct
services, to whom the services will be provided, and the expected
results of the services.
6. Documentation of the procedures that assure the confidentiality
of records pertaining to any individual who has been provided family
violence prevention or treatment services by any program assisted under
FVPSA (section 303(b)(2)).
7. The Employee Identification Number (EIN) of the applicant
organization submitting the application.
Assurances
Each application must contain the following assurances:
(a) That not less than 70 percent of the funds shall be used for
immediate shelter and related assistance for victims of family violence
and their dependents and not less than 25 percent of the funds
distributed shall be used to provide related assistance (section
303(g)).
(b) That any grants made to an entity other than a State or Tribe
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 Chapter
110 of Title 42 of the U.S. Code 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 chapter (section 303(f)).
(c) That grant funds made available under FVPSA will not be used as
direct payment to any victim or dependent of a victim of family
violence (section 303(d)).
(d) That no income eligibility standard will be imposed on
individuals receiving assistance or services supported with funds
appropriated to carry out FVPSA (section 303(e)).
(e) That the address or location of any shelter or facility
assisted under FVPSA will not be made public, except with the written
authorization of the person or persons responsible for the operations
of such shelter (section 303(a)(2)(E)).
(f) That a law or procedure has been implemented for the eviction
of an abusing spouse from a shared household (section 303(a)(2)(F)).
(g) That all grants, programs or other activities funded by the
State in whole or in part with funds made available under FVPSA will
prohibit discrimination on the basis of age, handicap, sex, race,
color, national origin or religion (section 307).
(h) That the applicant will comply with the applicable Departmental
recordkeeping and reporting requirements and general requirements for
the administration of grants under 45 CFR Part 92.
Certifications
All applications must submit or comply with the required
certifications found in the Appendices as follows:
Anti-Lobbying Certification and Disclosure Form (See Appendix A):
Applicants who have used non-Federal funds for lobbying activities in
connection with receiving assistance under this announcement shall
complete a disclosure form, if applicable, with their applications
(approved by OMB under control number 0348-0046). Applicants should
sign and return the certification with their application.
Certification Regarding Environmental Tobacco Smoke (See Appendix
B): Applicants must also understand they will be held accountable for
the smoking prohibition included within P.L. 103-227, Title XII
Environmental Tobacco Smoke (also known as the Pro-Children Act of
1994). A copy of the Federal Register notice, which implements the
smoking prohibition is included with the forms. By signing and
submitting the application, applicants are providing the certification
and need not mail back the certification with the application.
Certification Regarding Drug-Free Workplace Requirements (See
Appendix C): 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.
These certifications also may be found at http://www.acf.hhs.gov/
programs/ofs/forms.htm
.
Notification Under Executive Order 12372
The review and comment provisions of the Executive Order (E.O.) and
Part 100 do not apply. Federally recognized Tribes are exempt from all
provisions and requirements of E.O. 12372.
Applications should be sent to: Family Violence Prevention and
Services Program, Family and Youth Services Bureau, Administration on
Children, Youth, and Families, Administration for Children and
Families, Attention: William D. Riley, 1250 Maryland Avenue, SW., Room
8402, Washington, DC 20024.
V. Approval/Disapproval of a Tribal or Tribal Organization Application
The Secretary of HHS will approve any application that meets the
requirements of FVPSA and this announcement. The Secretary will not
disapprove an application except after reasonable notice of the
Secretary's intention to disapprove has been provided to the applicant
and after a six-month period providing an opportunity for the 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.
VI. Reporting Requirements
Performance Reports
A performance report must be filed with HHS describing the
activities carried out, and including an assessment of the
effectiveness of those activities in achieving the purposes of the
grant. A section of this performance report must be completed by each
grantee or sub-grantee that performed the direct services contemplated
in the application certifying performance of such services. Consortia
grantees should compile performance reports into a comprehensive report
for submission.
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 assistance and services.
Shelters--The number of shelters and shelter programs (safe homes/
motels, etc.) assisted by FVPSA program funding. Data elements should
include:
The number of shelters
The number of women sheltered
The number of young children sheltered (birth-12 years of
age)
The number of teenagers and young adults sheltered (13-17
years of age)
The number of men sheltered
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 lack of space
Types of individuals served--Record information by numbers and
percentages of the total population served. Individuals and special
populations served should include:
The elderly
Individuals with physical challenges
Related assistance and services--List the types of related
assistance and services provided to victims and their
[[Page 1730]]
family members by indicating the number of women, children, and men who
have received services. Services and assistance may include, but are
not limited to, the following:
Individual counseling
Services to children
Crisis intervention hotline
Information and referral
Batterers' support services
Legal advocacy services
Transportation
Services to teenagers
Emergency child care
Training and technical assistance
Housing advocacy
Volunteers--List the total number of volunteers and hours worked.
Service referrals--List the number of women, children, and men
referred for the following services:
Physical abuse
Alcohol abuse
Drug abuse
Batterer intervention services
Child abuse
Witnessed abuse
Emergency medical intervention
Law enforcement intervention
The performance report should include narratives of success stories
about 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 Tribe or Tribal
organization were addressed; and what special emphases were placed on
these activities; A description of the specific services and facilities
that the applicant program funded, contracted with, or otherwise used
in the implementation of its 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 those persons geographically isolated, were
addressed; and
A description and assessment of the prevention activities
supported during the program year, e.g., community education events,
and public awareness efforts.
Performance reports for Tribes and Tribal organizations are due at
the end of every calendar year (December 29). Performance reports
should be sent to: Family Violence Prevention and Services Program,
Family and Youth Services Bureau, Administration on Children, Youth and
Families, Administration for Children and Families, Attn: William
Riley, 1250 Maryland Avenue, SW., Room 8402, Washington, DC 20024.
Financial Status Reports
Grantees must submit annual Financial Status Reports. The first SF-
269A is due December 29, 2007. It covers expenditures from date of
award through September 30, 2007. The interim SF-269A is due December
29, 2008. The final SF-269A is due December 29, 2009. SF-269A can be
found at: http://www.whitehouse.gov/omb/grants/grantsforms.html.
Completed reports may be mailed to: Rachel Hickson, Division of
Mandatory Grants, Office of Grants Management, Administration for
Children and Families, 370 L'Enfant Promenade, SW., Washington, DC
20447.
Grantees have the option of submitting their reports online through
the Online Data Collection (OLDC) system at the following address:
https://extranet.acf.hhs.gov/ssi/. The Division of Mandatory Grants can
assist grantees with access to OLDC.
Failure to submit reports on time may be a basis for withholding
grant funds, suspension, or termination of the grant. In addition, all
funds reported after the obligation period will be recouped.
VII. Administrative and National Policy Requirements
Tribes and Tribal Organizations will comply with the applicable
Departmental recordkeeping and reporting requirements and general
requirements for the administration of grants under 45 CFR part 92.
Direct Federal grants, sub-award funds, or contracts under this ACF
program shall not be used to support inherently religious activities
such as religious instruction, worship, or proselytization. Therefore,
organizations must take steps to separate, in time or location, their
inherently religious activities from the services funded under this
program. Regulations pertaining to Equal Treatment for Faith-Based
Organizations, which includes the prohibition against Federal funding
of inherently religious activities, can be found at the HHS Web site at
http://www.hhs.gov/fbci/regs.html.
Faith-based and community organizations may reference the
``Guidance to Faith-Based and Community Organizations on Partnering
with the Federal Government'' at http://www.whitehouse.gov/government/
fbci/guidance/index.html
.
VIII. Other Information
For Further Information Contact: Shena Williams at (202) 205-9532
or e-mail at swilliams1@acf.hhs.gov; William D. Riley at (202) 401-5529
or e-mail at wriley@acf.hhs.gov; or Millicent Crawford at (202) 205-
7746 or e-mail at mcrawford@acf.hhs.gov.
Dated: January 4, 2007.
Joan E. Ohl,
Commissioner, Administration on Children, Youth, and Families.
Appendices: Required Certifications
A. Certification Regarding Lobbying
B. Certification Regarding Environmental Tobacco Smoke
C. Drug-Free Workplace Requirements
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.
[[Page 1731]]
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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Appendix B--Certification Regarding Environmental Tobacco Smoke
Public Law 103-227, 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 C--Certification Regarding Drug-Free Workplace Requirements
This certification is required by the regulations implementing
the Drug-Free Workplace Act of 1988: 45 CFR Part 76, Subpart, F.
Sections 76.630(c) and (d)(2) and 76.645(a)(1) and (b) provide that
a Federal agency may designate a central receipt point for STATE-
WIDE AND STATE AGENCY-WIDE certifications, and for notification of
criminal drug convictions. For the Department of Health and Human
Services, the central point is: Division of Grants Management and
Oversight, Office of Management and Acquisition, Department of
Health and Human Services, Room 517-D, 200 Independence Avenue, SW.,
Washington, DC 20201.
Certification Regarding Drug-Free Workplace Requirements (Instructions
for Certification)
1. By signing and/or submitting this application or grant
agreement, the grantee is providing the certification set out below.
2. The certification set out below is a material representation
of fact upon which reliance is placed when the agency awards the
grant. If it is later determined that the grantee knowingly rendered
a false certification, or otherwise violates the requirements of the
Drug-Free Workplace Act, the agency, in addition to any other
remedies available to the Federal Government, may take action
authorized under the Drug-Free Workplace Act.
3. For grantees other than individuals, Alternate I applies.
4. For grantees who are individuals, Alternate II applies.
5. Workplaces under grants, for grantees other than individuals,
need not be identified on the certification. If known, they may be
identified in the grant application. If the grantee does not
identify the workplaces at the time of application, or upon award,
if there is no application, the grantee must keep the identity of
the workplace(s) on file in its office and make the information
available for Federal inspection. Failure to identify all known
workplaces constitutes a violation of the grantee's drug-free
workplace requirements.
6. Workplace identifications must include the actual address of
buildings (or parts of buildings) or other sites where work under
the grant takes place. Categorical descriptions may be used (e.g.,
all vehicles of a mass transit authority or State highway department
while in operation, State employees in each local unemployment
office, performers in concert halls or radio studios).
7. If the workplace identified to the agency changes during the
performance of the grant, the grantee shall inform the agency of the
change(s), if it previously identified the workplaces in question
(see paragraph five).
8. Definitions of terms in the Nonprocurement Suspension and
Debarment common rule and Drug-Free Workplace common rule apply to
this certification. Grantees' attention is called, in particular, to
the following definitions from these rules:
Controlled substance means a controlled substance in Schedules I
through V of the Controlled Substances Act (21 U.S.C. 812) and as
further defined by regulation (21 CFR 1308.11 through 1308.15);
Conviction means a finding of guilt (including a plea of nolo
contendere) or imposition of sentence, or both, by any judicial body
charged with the responsibility to determine violations of the
Federal or State criminal drug statutes;
Criminal drug statute means a Federal or non-Federal criminal
statute involving the manufacture, distribution, dispensing, use, or
possession of any controlled substance;
Employee means the employee of a grantee directly engaged in the
performance of work under a grant, including: (i) All direct charge
employees; (ii) All indirect charge employees unless their impact or
involvement is insignificant to the performance of the grant; and,
(iii) Temporary personnel and consultants who are directly engaged
in the performance of work under the grant and who are on the
grantee's payroll. This definition does not include workers not on
the payroll of the grantee (e.g., volunteers, even if used to meet a
matching requirement; consultants or independent contractors not on
the grantee's payroll; or employees of subrecipients or
subcontractors in covered workplaces).
Certification Regarding Drug-Free Workplace Requirements
Alternate I. (Grantees Other Than Individuals)
The grantee certifies that it will or will continue to provide a
drug-free workplace by:
(a) Publishing a statement notifying employees that the unlawful
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 10 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--
[[Page 1732]]
(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. E7-372 Filed 1-12-07; 8:45 am]
BILLING CODE 4184-01-P
