Federal Domestic Assistance Reference Manual
U.S. GENERAL SERVICES ADMINISTRATION
I. CATALOG OF FEDERAL DOMESTIC ASSISTANCE
The following guidelines are to be used in defining the scope of Catalog programs. All Federal activities meeting the definitions and guidelines below will be reported by agencies for inclusion in the Catalog.
Federal domestic assistance program - means any function of a Federal agency that provides assistance or benefits for a State or States, territorial possession, county, city or other political subdivision, grouping, or instrumentality thereof; any domestic profit or nonprofit corporation, institution, or individual, other than an agency of the Federal government. Solicited contract programs administered under procurement laws and regulations should be excluded. A program may in practice be called an activity, a service, a project, a process or some other name regardless of whether it is identified as a separate program by statute or regulation. A program will be identified in terms of its legal authority, administering office, funding, purpose, benefits, and beneficiaries.
Assistance - means the transfer of money, property, services, or anything of value; the principal purpose of which is to accomplish a public purpose of support or stimulation authorized by Federal statute. Assistance includes, but is not limited to, grants, loans, loan guarantees, scholarships, mortgage loans, insurance or donation of Federal facilities, goods, services, property, technical assistance, advisory services and counseling, statistical and other expert information, and service activities of regulatory agencies; but does not include provisions of conventional public information services.
Federal Department\agency - means an agency as defined by 5 U.S.C. 551 (1). This definition includes any executive department, agency, or instrumentality of the Government and any wholly owned Government corporation.
Administering office - means the lowest subdivision of any Federal agency that has direct operational responsibility for managing a Federal domestic assistance program.
II. REPORTING GUIDELINES AND INSTRUCTIONS FOR THE CATALOG OF FEDERAL DOMESTIC ASSISTANCE
This section provides procedures and instructions for compiling, preparing and submitting information on programs to be included in the Catalog of Federal Domestic Assistance. Each agency is required by law to submit information on new programs, and revisions to existing programs.
As mandated by the Federal Program Information Act (Public Law 95-220, as amended), all existing and funded programs eligible for the Catalog should be reported. This includes information on the following fiscal assistance programs aiding State and local governments.
... Payments to States from Forest Service Receipts
... Payments to States and counties from Federal land management activities
... Payments to United States territories (does not include internal revenue collections)
The designated A-89 Catalog contact person within the Department is responsible for reviewing the program description for completeness and accuracy.
Special attention should be given to program data included in the Catalog for the first time. Specific definitions and guidelines for program identification should be carefully reviewed before preparing new programs or revising existing program descriptions.
To be included, a program must be operable. That is, either assistance or benefits are provided or applications for assistance are being accepted. Typically, this means that the program is funded-- not only must the President request the funding but Congress has to appropriate the funding before the program can be published. Programs that continue to provide assistance, even though new applications are not being accepted, must be submitted. A program that appropriations are being requested for the first time in the fiscal year should not be submitted.
BENEFIT TO THE DOMESTIC ECONOMY
The Catalog does not cover foreign activities unless programs have direct economic benefit to States, local governments, organizations, or individuals. A program that provides both domestic and foreign assistance should be included. Emphasis should be on the domestic aspect. Where appropriate, "Special Foreign Currency Programs" should be reviewed carefully to ascertain whether funds can be made available as a means of financing a U.S. institution's research abroad as distinct from solely that of a foreign university or organization.
RECRUITMENT OF FEDERAL PERSONNEL
Federal civilian agency personnel recruitment activities will be excluded from the Catalog except for the Government-wide responsibilities of the Office of Personnel Management.
FEDERAL EMPLOYEE BENEFITS
Programs that are exclusively available to current employees of the Federal government, either civilian or military, will be excluded.
LIMITED BENEFITS OR ELIGIBILITY
A program will be included regardless of the dollar size, relative number of governmental units, organizations, or individuals eligible for the program. U
ACCESS THROUGH ELECTRONIC MEDIA
The information provided to the Catalog Staff is made available to the public through the printed Catalog of Federal Domestic Assistance and our Website, http://www.cfda.gov. U
SUBMITTING NEW PROGRAMS
Descriptions of new programs should be prepared and submitted to the Department point of contact who in turn will be using the electronic format provided by GSA to submit the information to the Catalog. Each section of the program description must be completed. (Refer to the descriptions of section content below beginning with Program Number and Title for instructions regarding specific information to be provided.) If all of the information for each section is not immediately available at the time of submission, insert an appropriate statement in the program description advising the user to contact the grantor agency for further information.
ASSIGNING NUMBERS TO NEW PROGRAMS
The primary responsibility for assigning numbers to new programs rests with the Department point of contact. The point of contact assigns to the new program the next number in consecutive sequence that has not been used before.
All programs should be thoroughly reviewed at this time (as well as throughout the year) to see if they still meet the criteria for being in the Catalog, (i.e., still authorized, funded, and in operation).
CHANGING PROGRAM NUMBERS AND TITLES
There are instances where program titles will be changed to more clearly and accurately reflect the program purpose. Program title changes should be kept to a minimum.
Program number changes are occasionally made because of reorganizations involving the transfer of the program to a different agency. Contact your Department\agency point of contact.
I. REPORTING GUIDELINES AND INSTRUCTIONS
PROGRAM NUMBER AND TITLE (010)
The number for a particular program remains constant from one Catalog submission to another.
The program-title should be a concise description of the program. The use of the principal subject area followed by a dash and the particular application is encouraged. For example, use “Adult Education_Teacher Training” as opposed to simply “Teacher Training.” Generally, the words “Program” and “Project” are superfluous and should not be used. The length of program titles should be kept reasonably short (two 72 character lines).
POPULAR NAME (020)
Many programs do not have a popular name, but if one exists, it may be a name less descriptive than the program title, an acronym, or a reference to legislation by name or number. The program title should not be repeated as the popular name. U
FEDERAL AGENCY (030)
List the administering department or independent agency. For Cabinet-level departments, the National Foundation on the Arts and the Humanities, Environmental Protection Agency, and the Federal Emergency Management Agency, the primary organizational subunit name should precede the departmental name.
This section should include the legal authority upon which a program is based. When new legislation is passed that has a significant bearing on a program, the reference should be included in this section. Do not include appropriation legislation unless it authorizes the program or a significant element of the program.
Cite the name of the act, title, part, section, public law number, statute, U.S.C. (if one exists), and Presidential Reorganization Memorandum. If an Executive Order applies, cite the number, title, and date. The formatted sequence for a typical authorization citation is: Name of Act, Title, Part, Section Number, Public Law Number, Statute Reference (if any), and U.S. Code Reference (if any). Separate the references within a citation using commas. Separate multiple citations using a semicolon. The rules governing how to properly submit your citations follow:
... Each item (Act, Title, Part, etc.) should be separated by a comma. The Title, Part, and Section must follow the Act name.
... Acts and Executive Orders should have capital letters in the first letter of all main words.
... Multiple public laws should be separated by commas. Example: Public Laws 89-177, 89-898, 90-001, and 100-101.
... The semicolon should only be used to set the limit of a citation among multiple citations.
... The phrase "as amended by" should not be used. Instead, use "as amended," showing the amending law as a separate citation.
This section should be a brief, accurate statement of what the program is intended to accomplish or the goals toward which the program is directed. This should be a statement of purpose and not merely a description of the program. Goals as set forth in the authorizing legislation must be included.
TYPES OF ASSISTANCE (060)
Each program in the Catalog will be identified in terms of one or more of the 15 types of assistance provided in this section. The type of assistance should clearly reflect the services provided.
Financial Assistance Programs:
Formula Grants (A) - Allocations of money to States or their subdivisions in accordance with distribution formulas prescribed by law or administrative regulation, for activities of a continuing nature not confined to a specific project. Be certain to specify the formula under the Assistance Considerations section, and Formula and Matching Requirements section.
Project Grants (B) - The funding, for fixed or known periods, of specific projects. Project grants can include fellowships, scholarships, research grants, training grants, traineeships, experimental and demonstration grants, evaluation grants, planning grants, technical assistance grants, survey grants, and construction grants.
Direct Payments for Specified Use (C) - Financial assistance from the Federal government provided directly to individuals, private firms, and other private institutions do encourage or subsidize a particular activity by conditioning the receipt of the assistance on a particular performance by the recipient. This does not include solicited contracts for the procurement of goods and services for the Federal government.
Direct Payments with Unrestricted Use (D) - Financial assistance from the Federal government provided directly to beneficiaries who satisfy Federal eligibility requirements with no restrictions being imposed on the recipient as to how the money is spent. Included are payments under retirement, pension, and compensatory programs.
Direct Loans (E) - Financial assistance provided through the lending of Federal monies for a specific period of time, with a reasonable expectation of repayment. Such loans may or may not require the payment of interest.
Guaranteed/Insured Loans (F) - Programs in which the Federal government makes an arrangement to identify a lender against part or all of any defaults by those responsible for repayment of loans.
Insurance (G) - Financial assistance provided to assure reimbursement for losses sustained under specified conditions. Coverage may be provided directly by the Federal government or through private carriers and may or may not involve the payment of premiums.
Nonfinancial Assistance Programs:
Sale, Exchange, or Donation of Property and Goods (H) - The sale, exchange, or donation of Federal real property, personal property, commodities, and other goods including land, buildings, equipment, food and drugs. This does not include the loan of, use of, or access to Federal facilities or property.
Use of Property, Facilities, and Equipment (I) - The loan of, use of, or access to Federal facilities or property wherein the federally owned facilities or property do not remain in the possession of the recipient of the assistance.
Provision of Specialized Services (J) – The provision of Federal personnel directly to perform certain tasks for the benefit of communities or individuals. These services may be performed in conjunction with nonfederal personnel, but they involve more than consultation, advice, or counseling.
Advisory Services and Counseling (K) – The provision of Federal specialists to consult, advise, or counsel communities or individuals including conferences, workshops, or personal contacts. This may involve the use of published information, but only in a secondary capacity.
Dissemination of Technical Information (L) - The publication and distribution of information or data of a specialized or technical nature frequently through clearinghouses or libraries. This does not include conventional public information services designed for general public consumption.
Training (M) - Instructional activities conducted directly by a Federal agency for individuals not employed by the Federal government.
Investigation of Complaints (N) - Federal administrative agency activities that are initiated in response to requests, either formal or informal, to examine or investigate claims of violations of Federal statutes, policies, or procedure. The origination of such claims must come from outside the Federal government.
Federal Employment (O) - Programs which reflect the Government-wide responsibilities of the Office of Personnel Management in the recruitment and hiring of Federal civilian agency personnel.
The type of assistance must also reflect the form in which the assistance is transmitted from the Federal government and initially received for use or distribution by the applicant or the Federal government. Based on the following criteria, most programs will normally provide only one type of assistance.
Single Type of Assistance/Single Delivery System - If possible, each program in the Catalog should be limited to a single type of assistance (e.g., a formula grant) that is available through a single administrative process or delivery system.
Multiple Types of Assistance/Single Delivery System - If more than one type of assistance (e.g., a project grant and a loan; advisory services and counseling and dissemination of technical information) is normally provided concurrently through a single and inseparable administrative process or delivery system, the program should be listed as a single program.
Single Type of Assistance/Multiple Delivery Systems - If a single type of assistance is available through distinguishable administrative processes or delivery systems, each should be listed as a separate program. For example, an administering office may award project grants (a single type of assistance), but the grants may fall in major categories such as research, training, demonstration, evaluation, etc., and each of these may have differing uses and use restrictions, eligibility requirements, assistance considerations, application processes, or program management responsibilities, i.e., delivery systems. In this situation, each should be listed as a separate program.
There may be programs that are not adequately represented by the 15 standard types of assistance listed here. Agencies are encouraged to submit information on types of assistance that are different from those in the Catalog. The definition of the type of assistance should be submitted and include: (1) whether the assistance is financial or nonfinancial; (2) what is provided in the assistance; and (3) the specific applicant or target group. Before a specific type of assistance is acceptable for inclusion in the Catalog, it must be approved by GSA.
USES AND USE RESTRICTIONS (070)
U First, describe how the assistance can potentially be used. Include specific subgrant projects and activities funded under formula or project grant programs. This may include one or more needs that can be satisfied through the program.
Second, list any specific restrictions placed upon the use of the assistance. Agencies should consider recent and anticipated actions in order to indicate clearly the scope and emphasis of each program.
Third, where applicable, indicate whether there are discretionary funds available, along with the percentage of funds set aside for discretionary activities.
Fourth, in those programs having loans as the type of assistance, include the term of the loans. At a minimum, the following questions if they apply should be answered. What is the maximum loan amount? What is the time of maturity of the loan? What is the rate of interest being charged? Do the loans bear interest at a formula rate based on the cost of money to the agency? U
ELIGIBILITY REQUIREMENTS (080)
In the following subsections, the subsequent questions should be answered concisely using one or more phrases:
Applicant Eligibility (081) - Who can apply to the Government and what criteria must the applicants) satisfy? Include also eligibility criteria required of subgrantees. The main purpose of this section is to inform potential applicants (particularly State and local governments, U.S. Territories, and federally recognized Indian tribal governments) that they can apply for a program. Some of the terms being used in this section are “public agency,” “public organizations,” and “public bodies” if these words mean the same as city, county, and State governments, use the latter more specific words.
Specifically, are State and local governments, private, public, profit, nonprofit organizations and institutions or individuals eligible? Since State designate Indian tribal governments are considered units of local government, indicate those programs that include or exclude these entities as units of local government because of the nature of the program. If institutions of higher education are eligible, indicate whether they must be public, private, State colleges and universities, junior or community colleges, etc. Indicate who specifically is not eligible. Certain programs involve intermediate level of application processing, i.e., applications transmitted through governmental or nongovernmental units that are neither the direct applicants to the Federal government nor the ultimate beneficiary. If this is the case, what Federal criteria or general criteria must this intermediate level applicant satisfy? Who specifically at this intermediate level is not eligible?
The information in the Applicant Eligibility Index is based on the information recorded in this section.
In order to make the entries in the Applicant Eligibility section of the program descriptions consistent, identify the applicant type from the following terms and incorporate them into the narrative of the program description:
Federal - Department and establishment of the Federal government which are responsible for enforcement and the fulfillment of public policy. These departments and establishments directly administer and exercise jurisdiction over matters assigned to them, and are the administering agencies of Federal domestic assistance programs.
Interstate - An organizational unit established by two or more States to coordinate certain regional programs relating usually to boundaries for the control and improvement of rivers for irrigation or water power, conservation of natural resources, public utility regulation, development of ports, regional educational development, and regional planning.
Intrastate - An organizational entity within the boundaries of a State established for such purposes as trade, transportation, and communication, performing economic, cultural, and historical functions conducted wholly within the boundaries of a State and which is subject to State regulatory authority. Includes water and sewer districts, and may include a region wholly in a State, such as a Council of Governments.
State - Any agency or instrumentality of the fifty States and the District of Columbia excluding the political subdivisions of State, but including public institutions of higher education and hospitals. (This term does not include U.S. possessions or territories.)
Local - Political subdivisions of a State created under general law or State charter that regulate and administer matters chiefly of local concern. These subdivisions include cities, parishes, counties, municipalities, towns, townships, villages, school districts, special districts, or agencies or instrumentalities of local government, exclusive of institutions of higher education and hospitals. Included are Indian tribes on State reservations, Indian school boards, and State-designated Indian tribes.
Sponsored organizations - A public purpose group other than a unit of government that is a beneficiary under a plan or program administered by a State, or political subdivision of a State or local government, and which is subject to approval by a Federal agency. Usually organized to work for a specific purpose. Examples: Community development agencies, model cities, community action agencies.
Public nonprofit institution/organizations - A publicly owned agency or organization established to perform specialized functions or services for the benefit of all or part of the general public either without charge or at cost, making no profits and having no shareholders to receive dividends. Includes institutions of higher education and hospitals.
Other public institution/organization - A public purpose agency performing functions such as taxation and police regulation for the convenience, safety, or welfare of the entire community, not of a specific individual or class of persons. Examples: Public broadcasting entities, public corporations, public radio-stations.
Federally Recognized Indian Tribal Government - The governing body or a governmental agency of an Indian tribe, Nation, pueblo, or other organized group or community (including any Native village as defined in the Alaska Native Claims Settlement Act) certified by the special programs and services provided through the Bureau of Indian Affairs.
U.S. territory or possession - Any agency or instrumentality of the Commonwealth of Puerto Rico, Virgin Islands, Guam, American Samoa, the Trust Territories of the Pacific Islands, and the Mariana Islands, including the political subdivisions of a territory, institutions of higher education, and hospitals. If territories are eligible to apply, the most accurate designation would be to state exactly which territory(ies) is eligible since all territories may not fall under the same set of eligibility criteria.
Individual/Family - A person or group of persons who meet specified eligibility criteria. An example of a program where this applicant is eligible is the Food Stamps Program (10.551).
Minority group - A group regarded as a subgroup of the majority to include African Americans, Americans of Spanish descent, Asians, and other nonwhite persons. It may include disadvantaged or under represented groups, such as women, Vietnam-era veterans, and the physically challenged/disabled.
Specialized group - A group of people with a specific mutual interest. Examples: American Medical Association, students, veterans.
Small business - A business of less than 500 employees, independently owned and not dominant in its field. (Detailed criteria are established by the Small Business Administration.)
Profit organization - A public or private organization designed to produce product or deliver services to the public through a business enterprise which is structured and managed for profit.
Private nonprofit institution/organization – A privately owned organization or institution that represents community special interests through community service networks, public information, technical assistance, and public education. Operated exclusively for charitable, scientific, literary or educational purposes such that no part of its earnings is for the benefit of any private shareholder or individual. Includes private institutions of higher education and hospitals. Examples: Girl Scouts, American Civil Liberties Union.
Quasi-public nonprofit institution/organization - A private organization or institution engaged in rendering essential services to the public and therefore given special privileges such as those given to public institutions/organizations. Examples: American Red Cross, United Givers Fund.
Other private institution/organization - A privately owned agency that operates for profit and disburses dividends to shareholders.
Anyone/general public - Any person(s), without regard to specified eligibility criteria.
Native American Organization - Groups of Indians to include urban Indian groups, cooperatives, corporations, partnerships, and associations. Also, include Indians as a minority group.
Beneficiary Eligibility (082) - Specify who will receive the ultimate benefits from the program. Programs that provide direct assistance from a Federal agency will generally have the same applicant and beneficiary. Do not use the statement “Same as Applicant Eligibility.” In cases where assistance is provided through State and local governments, the applicants and beneficiaries may be different since the assistance is transmitted to private sector beneficiaries who do not have to request or apply for the benefits.
In order to make the entries in the Beneficiary Eligibility section of the program descriptions consistent, identify the beneficiary type from the terms below and incorporate them into the narrative of the program description:
... Sponsored Organization
... Public Nonprofit Institution/Organization
... Other Public Institution/organization
... Federally Recognized Indian Tribal Government
... U.S. Territory/Possession
... Minority Group
... Specialized Group
... Small Business
... Profit Organization
... Private Organization
... Quasi-Public Nonprofit Organization
... Other Private Institution/organization
... Anyone/General Public
... Native American Organization
... Health Professional
... Education Professional
... Graduate Student
... Farmer/Rancher/Agriculture Producer
... Industrialist/Business Person
... Small Business Person
... Land/Property Owner
... Black American
... American Indian
... Spanish Origin
... Other Nonwhite
... U.S. Citizen
... Refugee/Alien - veteran/service person/Reservist (including dependents)
... Handicapped (Deaf, Blind, Crippled)
... Physically Afflicted (TB, Arthritis, Heart Disease)
... Mentally Disabled
... Drug Addict
... Juvenile Delinquent
... Preschool ... School
... Infant (0-5)
... Child (6-15)
... Youth (16-21)
... Senior Citizen (60+)
... Welfare Recipient
... Pension Recipient
... Moderate Income
... Low Income
... Major Metropolis (over 250,000)
... Other urban
... Education (0-8)
... Education (9-12)
... Education (13+) Credentials/Documentation
(083) - What credentials or documentation is required prior to, or along with, a request or application for-assistance? In other words, what must be proved, certified, or established? This does not refer to Government-wide requirements such as compliance with Title VI of the Civil Rights Act of 1964 or information in the Preapplication Coordination (091) section. If no credentials or documentation are required, enter "None."
APPLICATION AND AWARD PROCESS (090)
Preapplication Coordination (091) - The following information should be provided concerning the preapplication process:
If a preapplication form is required, what are the name and number of the form?
Is consultation or assistance available from the agency or elsewhere to aid in preparing the form?
Is an informal preapplication conference needed or recommended?
Are there any other requirements for coordination with governmental or nongovernmental units prior to the formal submission of the preapplication to a Federal agency? If there are no entries for this section enter "None."
Indicating Environmental Impact Statement
Section 102 (2) (C) of the National Environmental Policy Act of 1969 (Public Law 91-190), 42 U.S.C. 4332 (2) (C), Executive Order 11514 (34 FR 4247) of March 4, 1970, requires environmental impact statements to be prepared for certain projects funded under various Federal programs as a prerequisite to a grant award.
All programs should be reviewed for applicability: 1) the appropriate parenthesis should be checked on the Program Coordination Requirements Form (Existing/New Programs); and 2) the statement below should be placed in the Preapplication coordination section of the program.
For most programs, this requirement does not apply. However, if an agency has a program that should be in compliance, the Preapplication Coordination section should contain the environmental impact statement. The statement is:
An environmental impact statement is required for this program.
If a program requires an environmental impact assessment, this should also be noted with a statement in the same section using the same wording for the environmental impact statement, but substituting the word "assessment" for the "statement."
Identifying Programs Pertaining to Executive Order 12372, "Intergovernmental UReview of Federal Programs"
This Executive Order structures the Federal government's system of consultation with State and local governments on its decisions involving grants, other forms of financial assistance, and direct development. States in consultation with their local governments design their own review processes and select those Federal financial assistance and direct development activities they wish to review.
In Appendix I of the Catalog, programs are listed that are covered by this Executive Order and a State Single Point of Contact List is included. All programs should be reviewed for applicability.
The Executive Order 12372 statement is:
This program is eligible for coverage under E.O. 12372, "Intergovernmental Review of Federal Programs." An applicant should consult the office or official designated as the single point of contact in his or her State for more information on the process the State requires to be followed in applying for assistance, if the State has selected the program for review.
If Executive Order 12372 does not apply, this statement should be inserted:
This program is excluded from coverage under E.O. 12372.
Application Procedure (092)U - For eligible applicants (including intermediate levels), identified under the Applicant Eligibility section, what are the basic procedural steps required by the Federal agency in the application process, beginning with the lowest level and ending eventually with the Federal government? At each step, what are the names and numbers of the documents or forms, if any, that are required? In particular, is a State Plan required?
Award Procedure (093)U - Give the basic procedural steps for awarding assistance beginning with the organizational components of the Federal agency that has final approval authority for the application and end with the lowest level at which Federal resources are expended. State if the assistance passes through the initial applicant for further distribution to other groups in the private sector. These steps should be consistent with the steps identified in the Application Procedure subsection above.
Deadlines (094) - By what date(s) or between what dates must an application be received by the Federal agency? If the deadline for submission of application is not available, a statement such as the following should be entered:
Contact the headquarters (or regional office, as appropriate) for application deadlines.
Where this information is not available, agencies should inform GSA as soon as possible after it becomes available. The phrase "See the Federal Register for deadline dates" is not sufficient. Specific dates must be given. If there are no deadlines, enter "None."
Range of Approval/Disapproval Time (095)U - In terms of days, what is a representative range of the time required for the application or request to be approved or disapproved. If, in the case of certain nonfinancial assistance programs this is not relevant, enter "Not applicable." U
Appeals (096)U - For applications not approved, what appeal procedure and/or allowable rework time is available? If there is no appeal or rework time, enter "None." If this does not apply to the particular program, enter "Not applicable." U
Renewals (097)U - Are renewals or extensions available? What are the procedures for such? If there are no renewals, enter "None." If this does not apply to a particular program, enter "Not applicable."
ASSISTANCE CONSIDERATIONS (100)
Questions in the following subsections should be answered concisely by one or more phrases. If the subsections do not apply to a particular program, enter “Not applicable.”
Formula and Matching Requirements (101)U - Cite the statutory and/or administrative rule reference in the Code of Federal Regulations (CFR) to include the title, chapter, part and subpart or the public law citation. If the program has no statutory formula, indicate: "This program has no statutory formula."
Specify by name each formula factor and its weight (percentage). Briefly describe the mathematical calculation performed. Provide the statistical source, agency and the date of that source used in computation of the formula identified above. If the source is unpublished, this should be indicated along with the identification of the office maintaining the data.
Specify the current cost-sharing arrangement for the program. Include the minimum and/or maximum constraints by percentage.
Specify the range of financial or other matching required from nonfederal sources, e.g., State and local governments or other organizations and individuals. Identify the available bonuses or incentives. Identify the amount of the nonfederal share as it increases/decreases from the past fiscal year to the budget fiscal year. If the program has no matching requirements, indicate: "This program has no matching requirements."
Maintenance of Effort (MOE) requirements are provisions intended to ensure that Federal funds are used to supplement, not supplant, existing State and local resources. In most cases, these requirements are intended to prevent State and local governments from reducing their spending in federally funded areas as a condition for receiving Federal grants.
If MOE programs have total allocations of $100 million or over in the current fiscal year, the following statement should be placed in the Formula and Matching Requirements section: "This program has MOE requirements; see funding agency for further details."
Length and Time Phasing of Assistance (102)U - First, for what period of time is the assistance normally available? Is there a restriction placed on the time permitted to spend the money awarded? Second, how is the assistance (particularly for grant programs) awarded and/or released; as a lump sum, quarterly, by letter of credit, etc?
POST ASSISTANCE REQUIREMENTS (110)
Questions in the following subsections should be answered concisely by using a phrase or phrases. In the event the subsections are not relevant to the program, enter "None" or "Not applicable," whichever is appropriate.
Reports (111) - What progress, expenditure, cash reports and performance monitoring by the recipient are required by the Federal agency and during what intervals?
Audits (112) - Will audits be made to ensure that funds have been applied efficiently, economically, and effectively? If so, what audit procedures have been mandated for the program? Use the following statement wherever appropriate:
In accordance with the provisions of OMB Circular No. A- 133 (Revised, June 27, 2003), "Audits of States, Local Governments, and Nonprofit Organizations," nonfederal entities that expend financial assistance ($500,000 for fiscal years ending after Dec.1, 2003) or more a year in Federal awards will have a single or a program specific audit conducted for that year. Nonfederal entities that expend less than ($500,000 for fiscal years ending after Dec.1, 2003) a year in Federal awards are exempt from Federal audit requirements for that year, except as noted in Circular No. A-133.
Records (113) - Describe what records the Federal agency requires the recipient to maintain and the time periods.
FINANCIAL INFORMATION (120)
Account Identification (121)U - List the 11 digit budget account identification code(s) that funds the program. The meaning of the 11-digit code is specified in OMB Circular No. A-11, and in Appendix III of the Catalog. All program coding used will be consistent with that submitted for inclusion in the President's Budget.
Obligations (122)U - The specific items of financial information required for each program are for three fiscal years (actual, budget, and fiscal). Financial information required for each program should be consistent with that presented in the President's Budget.
Clearly indicate what the obligation figures represent, i.e., grants, loans (the face value of direct loans and guaranteed loans should be listed separately), or salaries and expenses. Obligations for grants and contracts must be listed separately. Obligations for financial assistance programs should not include Federal salaries and expenses for operation of the program.
Some agencies conduct intramural as well as extramural activities; however, only extramural funds available under Federal assistance programs should be reported.
The dollar amounts that should be reported to the Catalog are those that are available to the general public as assistance or benefits. List the dollar assistance provided by a program. If no money has been requested in a particular fiscal year, this should be stated.
A number of programs contain the statement as it pertains to dollars, “Not separately identifiable.” In some instances this is a valid statement. However, the statement should not be applied automatically without investigation to see if the situation remains true. Agencies must determine whether the dollars may in fact be broken out separately.
For the two nonfinancial assistance categories, "Sale, Exchange, or Donation of Property and Goods," and "Use of Property, Facilities, and Equipment," show the item(s) involved in the obligation in parentheses, for example (Sales). For all other nonfinancial assistance programs, the obligation figures should indicate an approximation of the Federal salaries and expenses involved in operating the program as an indication of the magnitude of the services being provided. UObligations are defined as the amounts of orders placed, contracts awarded, or services received, and similar transaction during a given period that commit the Federal government to budget outlaysU.
Range and Average of Financial Assistance (123)U - First, list a representative range (smallest to largest) of the amounts of financial assistance available. The figures for the smallest and the largest awards should be based on what have been awarded in the past fiscal year and the current fiscal year to date. Second, indicate an approximate average amount of the financial assistance awards (dollars) that were made in the past and current fiscal years.
PROGRAM ACCOMPLISHMENTS (130)
Describe the program's accomplishments, outputs, results achieved and services rendered. This information must be provided for the actual fiscal year. Estimates must be provided for the current fiscal year and the budget fiscal year. Quantitative data should be used as much as possible.
Data on the number and ratio of applications should be provided. Indicate how many applications were received and how many awards were made for all three relevant fiscal years. When a new program is involved, anticipated accomplishments should be stated. For example, "It is anticipated that 109 applications will be received and 25 awards will be granted in fiscal year 20__.”
REGULATIONS, GUIDELINES, AND LITERATURE (140)
List the reference to all official published information pertinent to the program in the order indicated below. If there are no materials of this nature available, enter "None."
… A citation to the Code of Federal Regulations (CFR) including the title, part, and sections where appropriate.
… The title, number, and price of guidelines, handbooks, or manuals. Specify where these documents may be obtained if different from the Federal level offices described in the Information Contacts section of the program description.
… The title, number and price of additional literature such as reports and brochures that are available. Specify where these materials may be obtained if different from the Federal level offices described in the Information Contacts section of the program description.
INFORMATION CONTACTS (150)U
Regional or Local Office (151)U - Identify the Federal regional or local office(s) that may be contacted for detailed information concerning a program, such as the availability of funds, the likelihood of receiving assistance and State Plan/application deadlines. Only the names of program managers and/or contact persons closest to the program should be listed. The commercial, FTS, FAX, and TTY/TTD telephone numbers, and e-mail addresses should also be included for the regional and local contact persons. Where appropriate, reference to Appendix IV of the Catalog for addresses and telephone numbers of Federal regional or field offices should be made in this section. As in the current Catalog, certain programs should list this information within the program description because of the small number of offices and/or the small number of programs for which those offices are relevant. The statement "See Appendix IV for list of addresses" alone is insufficient. The statement should be more specific, for example, "Complaints may be filed with the Department of Agriculture, Packers and Stockyards Regional Office, as listed in Appendix IV of the Catalog." The subagency designations, and Appendix IV should be mentioned along with whatever directions the applicant might need. If potential applicants are not encouraged to contact the regional or local offices or if the program is administered entirely at the headquarters level, enter "Not applicable.”
Headquarters Office (152) - List the names, addresses, commercial, FTS, FAX, and TTY/TDD telephone numbers, and e-mail addresses of the administering office at the headquarters level. The administering office will consist of the lowest agency subdivision that has direct operational responsibility for managing a program. If regional or local offices are not able to answer inquiries, list the telephone number for the headquarters administering office. If possible, provide a control number at the agency in case there might be difficulty contacting a resource person. U
Website Address (153U) – List the Website address of the administering office at the headquarters level.
RELATED PROGRAMS (160)
In this section of the program description, agencies should determine whether the programs listed are closely related based first on program objectives, and second on program uses. Programs listed in the Catalog that are administered by other agencies should also be considered for inclusion in this section. Programs being deleted from the Catalog should be taken out of this section. Programs being placed in this section should first be checked against the latest Agency Program Index, or more recent internal information. Programs should be listed in consecutive program number sequence.
EXAMPLES OF FUNDED PROJECTS (170)
What were the different types of projects funded by the program in the past? Give at least five clear examples. These examples should give potential applicants an idea of the projects that may be accepted for funding. Do not give the name and location of a project, but rather a phrase denoting the subject area undertaken. Projects that are scheduled to be funded are also acceptable.
CRITERIA FOR SELECTING PROPOSALS (180)
What are the criteria used to judge proposals? In order to let potential applicants know more about the application review process and the criteria used to award funds to projects, the following questions may be answered: Are the criteria based on the cost of the project, qualification of principal investigator and institution, relevance to program's objectives and uses, or merit? Is there an order of priority? If the Code of Federal Regulations is used for this section extract the salient points of interest to an applicant. Do not cite the Code verbatim.
GUIDELINES FOR SUBMITTING PROGRAM INFORMATION FOR ADDED, AND DELETED PROGRAMS
Programs are added to the Catalog for at least the following reasons: 1) new budget authority (or funding) is appropriated by Congress; 2) an existing program is consolidated with one or more existing programs to create a new program; 3) an existing program is split into one or more separate new programs; 4) an existing categorical grant program is transformed into a block grant program, the focus of which creates a new program; 5) two or more categorical grant programs are consolidated and transformed into a new block grant program; and 6) programs have been funded but not previously reported.
Programs are deleted from the Catalog for one of the following reasons: 1) budget authority expires; 2) budget authority is rescinded by Congress; 3) an existing program consolidated with one or more existing programs, rendering the former program obsolete; 4) elements of an existing program are incorporated into another existing program; 5) the transformation of an existing categorical grant program into a block grant program; and 6) the consolidation and transformation of an existing categorical grant program into a block grant program.
UPDATING THE AGENCY REGIONAL AND LOCAL OFFICE ADDRESSES (APPENDIX IV)
The objective of the Agency Regional and Local Office Addresses section of the Catalog is to provide the user with the name, address, and telephone number of the nearest field office. This Appendix should contain only office addresses where applicants can receive more information about assistance programs. Do not show regional or local office information for the same program in both the Regional or Local Office Section. Please provide the most reliable and current agency information contact names and telephone numbers. The names of the contact individuals and their commercial as well as FTS telephone numbers and e-mail addresses should be provided.
Department of Agriculture Forest Service Regional Offices (Region 10: Alaska)
John Jones Federal Office Building,
(907) 586-7263 FTS 389-7263