Federal Assistance Manual Chapter 5-00

CHAPTER 5-00 GRANT/COOPERATIVE AGREEMENT NUMBERING SYSTEM AND FILES ORGANIZATION

• 5-00-00 Purpose
  
• 5-00-10 Applicability
  
• 5-00-20 Policy
  
• 5-00-30 Numbering System
  
• 5-00-40 Files Organization

5-00-00 PURPOSE

This chapter establishes a consistent system for designating grant and cooperative agreement numbers and standards for maintaining OSM grant and cooperative agreement files.

5-00-10 APPLICABILITY

This chapter is applicable to all OSM grant and cooperative agreement programs.

5-00-20 POLICY

1. Grant and cooperative agreement numbers shall be consistently designated by OSM in accordance with the guidance provided in this chapter.

2. The official grant management files shall be established by, and maintained in, the designated OSM office in accordance with the guidance provided in 5-00-40A. and B. of this chapter.

3. The official grant fiscal files shall be established and maintained by DFM.

5-00-30 NUMBERING SYSTEM

1. The following is an explanation of the grant numbering system.

   GR V W X YY Z

    GR = Designation for grants and cooperative agreements

         V = Last Digit of Fiscal Year (FY) of Beginning of Performance Period

            W = Range: "9" for FY 1987-1996, "0" for FY 1997-2006

                X = Grant Program Type

                   YY = Two-Digit State/Tribal Code

                       Z = With "X", Further Describes Grant Type

2. The following is an explanation of the "grant type" designation.

   GR V W X YY Z

   0 __ 1 = Civil Penalty Reclamation Grant/Cooperative Agreement
   0 __ 6 = Montana Outcrop Fire Cooperative Agreement (eff. FY 1996)

   1 __ = Interim Program Grant (100% Federal funding)

   2 __ 1 = Program Development Grant (80% Federal funding)
   2 __ 2 = Program Development Grant (60% Federal funding)
   2 __ 3 = Program Development Grant (50% Federal funding)

   3 __ 0 = Tribal Regulatory Development Program (eff. FY 1996)
   3 __ 1 = Administration & Enforcement Grant (80% funding)
   3 __ 2 = Administration & Enforcement Grant (60%funding)
   3 __ 3 = Administration & Enforcement Grant (50% funding)
   3 __ 4 thru 8 = Other Regulatory Grants
   3 __ 9 = AVS/TIPS Cooperative Agreement

   4 __ = Indian Joint Funding Cooperative Agreement

   5 __ = Bond Forfeiture Cooperative Agreement

   6 __ = Research Cooperative Agreement

   7 __ 0 = AML Grant ^1/
   7 __ 1 = AML Administrative Grant ^2/
   7 __ 2 = AML Construction Grant
   7 __ 3 thru 6 = Other AML Grants (another Construction, RAMP, Subsidence Insurance)
   7 __ 7 = AML Emergency Administrative Grant(State-Administered)
   7 __ 8 = AML Emergency Construction Grant (State-Administered)
   7 __ 9 = AML 10% Set-Aside Grant

   8 __ = SOAP Operational Grant

   9 __ = Federal Reclamation Cooperative Agreement

   ^1/ Beginning in FY 1993, used to designate the revised AML grant program.
   ^2/ Through FY 1993, 7 1 through 79 used to designate the specific AML grant type.

3. The following is a listing of the two-digit codes used to designate the State/Indian Tribe.

   GR V W X YY Z

   01 = Alabama
   02 = Alaska
   05 = Arkansas
   08 = Colorado
   17 = Illinois
   18 = Indiana
   19 = Iowa
   20 = Kansas
   21 = Kentucky
   22 = Louisiana
   24 = Maryland
   26 = Michigan
   28 = Mississippi
   29 = Missouri
   30 = Montana
   35 = New Mexico
   38 = North Dakota
   39 = Ohio
   40 = Oklahoma
   42 = Pennsylvania
   47 = Tennessee
   48 = Texas
   49 = Utah
   51 = Virginia
   53 = Washington
   54 = West Virginia
   56 = Wyoming

   80 = Hopi Tribe
   81 = Navajo Tribe
   82 = Crow Tribe
   83 = Cheyenne River Sioux Tribe
   84 = Northern Cheyenne Tribe

4. The following is an explanation of the grant and cooperative agreement subaccount numbering scheme.
   1. For the revised AML grant program:

      YY W AA

      YY = Two-Digit State/Tribal Code

      W = Last digit of FY beginning of performance period for the Budget/Cost Category. Exception: For Set-Aside budget/cost categories, the FY indicator identifies the fiscal year of the AML grant distribution from which the set-aside funds were awarded.

      AA = Specific Budget/Cost Category

      01 - Non-emergency administrative costs
      02 - Emergency administrative costs
      03 - Non-water supply project costs
      04 - Water supply project costs
      05 - Emergency project costs
      06 - Future set-aside costs
      07 - AMD set-aside costs
      08 - Subsidence insurance costs
      09 - Non-emergency program indirect costs (Subaccount no longer used)
      10 - Emergency program indirect costs (Subaccount no longer used)
      11 - Non-coal project costs
      12 - Civil penalty program costs
      13 - Appalachian Clean Streams Initiative costs

   2. For other programs:

      YY

      YY = Two-Digit State/Tribal Code

      __ = 3- digit sequential numbering of subaccounts

5-00-40 FILES ORGANIZATION

1. An official file shall be established and maintained for each grant or cooperative agreement. The official file shall be maintained at the office having award/agreement signature authority. The OSM grant and cooperative agreement files will be established using six (6) segments. File documents will be posted as listed below for each segment:

   Segment 1 - Approved Application. This segment contains documents included in an approved grant/amendment application:

   • SF 424 (Application for Federal Assistance)
     
   • Documents related to Intergovernmental Coordination (E.O. 12372)
     
   • OSM 47 (Budget Information Report-Nonconstruction) and Backup Information (for regulatory grants)
     
   • OSM 49 (Budget Information and Financial Reporting Form) (for revised AML grants)
     
   • OSM 51 (Program Narrative Information)
     
   • SF 424 B or D (Assurances)
     
   • DI 2010 (Certifications Regarding Debarment, Suspension and Other Responsibility Matters, Drug-Free Workplace Requirements and Lobbying
     
   • SF-LLL (Disclosure of Lobbying Activities) (if appropriate)
     
   • Letter revision(s) to application

   Material deleted/amended from the application should be clearly marked "VOID" and placed in Segment 3. All material should be dated. Only current material should appear in Segment 1.

   Segment 2 - Legal Documents

   • Grant Agreement
     
   • Amendments to Grant Agreement
     
   • Letters of Approval

   No Letters from the Recipient in this Segment. They belong in either Segment 1 - Approved Application, if a letter revision request, or Segment 6 - Correspondence, if general correspondence.

   Segment 3 - Support Documentation

   • Copies of State Laws, Regulations, etc.
     
   • Material deleted/amended from the recipient's submissions

   Segment 4 - OSM Findings/Review/Documentation. This segment contains documentation of internal actions taken by the Regional/Field Office during the review and evaluation of a grant and cooperative agreement application, including:

   • News Item Data Sheet (NIDS)
     
   • All documentation of review and recommended actions
     
   • Reports of pre-award conference with recipient
     
   • Telephone conversation records
     
   • RD Funding Availability Notification
     
   • Findings and Recommendations Memorandum

   Segment 5 - Financial/Performance Reporting Documents. This segment will not be used as the basis for financial auditing; therefore, it need not duplicate all detailed financial documents and/or records contained in the recipient's files.

   • OSM 52 (Grant/Cooperative Agreement Obligation Report)
     
   • SF 269 or SF 269A (Financial Status Report)
     
   • OSM 49 (Budget Information and Financial Reporting Form).
     
   • OSM-51 (Performance Reports)
     
   • Monitoring Statements
     
   • ABACIS printout used to determine the correctness of the amount to be deobligated at closeout
     
   • All closeout documentation and reports
     
   • Portions of audit report, reviews and resolution of audit issues and other OSM actions affecting the grant.

   Segment 6 - Miscellaneous Correspondence/Reports

   • General correspondence and transmittal letters concerning the grant (except letters of approval which are filed in segment 2).
     
   • News releases
     
   • Letters from members of Congress and the public and OSM replies.
     
   • DI 1961 - FAADS Reporting Form.

2. The OSM Construction Project Files shall be established and maintained in office with grant signature authority; if separated, a copy shall be maintained in the office with oversight authority. Each file shall contain, at a minimum:
   • Documentation of NEPA Compliance
     
   • Problem Area Information
     
   • FONSI or Categorical Exclusion Determination
     
   • Authorization to Proceed

FEDERAL ASSISTANCE MANUAL
January 2, 1998