[Federal Register Volume 68, Number 67 (Tuesday, April 8, 2003)]
[Notices]
[Pages 17090-17097]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 03-8435]


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OFFICE OF MANAGEMENT AND BUDGET


Office of Federal Financial Management; Standard Data Elements 
for Federal Grant Applications

AGENCY: Office of Federal Financial Management (OFFM), Office of 
Management and Budget (OMB).

ACTION: Notice of proposed requirement to establish standard data 
elements.

-----------------------------------------------------------------------

SUMMARY: OMB proposes (1) to establish a standard set of data elements 
and definitions as found on the SF-424, plus five additional data 
elements for Federal agencies and grant applicants to use on both paper 
and electronic applications for discretionary grants, and (2) to 
require a new assurance statement to replace the current assurances 
found on the SF-424. The Federal E-Grants initiative calls for the 
development of a one-stop, electronic grant portal where potential 
grant recipients will receive full service electronic grant 
administration as part of the implementation of the Federal Financial 
Assistance Management Improvement Act of 1999 (Pub. L. 106-107).
    The grantee community is familiar with most of the data elements, 
which have been required by Standard Form (SF) 424, ``Application for 
Federal Assistance,'' SF-424A, Budget Information Non-Construction; SF-
424B, Assurances--Non-Construction Programs; SF-424C, Budget 
Information Construction Programs, and SF-424D, Assurances--
Construction Programs. OMB is adding the following five new standard 
data elements to those already appearing on the current SF-424 and will 
revise the form accordingly. The five new standard data elements being 
added are:
    (1) Requesting entity's universal identifier (see proposal to use 
the Duns Universal Numbering System (DUNS) in the October 30, 2002 
Federal Register, Vol. 67, No. 210, pp. 66177-66178;
    (2) Requesting entity's e-mail address;
    (3) Requesting entity's country location for address purposes;
    (4) Requesting entity's facsimile (Fax) number; and
    (5) Requesting entity's indictor for ``Not-For-Profit'' under 
``Type of Applicant'' based upon how the entity is classified with the 
Internal Revenue Service.
    The use of government-wide standard data elements by grant 
applicants and the Federal agencies that award discretionary grants or 
cooperative agreements establishes the data standard for grant 
applications submitted via the E-Grants portal grant application 
software known as E-Apply. In order to establish data standards, this 
Notice also identifies how the data will be transmitted for E-Apply. 
The proposed electronic transmission of the data set is to use the 
conventions established by the American National Standards Institute 
(ANSI) 194 Data Transaction Set. These data elements will be 
incorporated into the first version of E-Apply, scheduled for release 
in October 2003, which will permit applicants to apply electronically 
for Federal grants.
    The consolidated assurance statement, which is being proposed to 
replace the current assurances found on the SF-424B and SF-424D, is 
designed to provide a streamlined way for Federal agencies to obtain 
assurance about compliance with applicable requirements. OMB believes 
the addition of the consolidated assurance statement will allow 
applicants to proceed through the application process in a more 
efficient manner. Only at time of award would the grantee address any 
specific agency assurances that are incorporated in the award and are 
above and beyond the standard assurances.

DATES: Comments on the proposed data elements, definitions and 
consolidated assurance statement must be submitted by June 9, 2003.

ADDRESSES: Due to potential delays in OMB's receipt and processing of 
mail sent through the U.S. Postal Service, we encourage respondents to 
submit comments electronically to ensure timely receipt. We cannot 
guarantee that comments mailed will be received before the comment 
closing date.
    Electronic mail comments may be submitted to: sswab@omb.eop.gov. 
Please include ``Standard Data Elements Comments'' in the subject line 
and put the full body of your comments in the text of the electronic 
message and as an attachment. Please include your name,

[[Page 17091]]

title, organization, postal address, telephone number, and E-mail 
address in the text of the message. Comments may also be submitted via 
facsimile to 202-395-3952. Comments may be mailed to Sandra Swab, 
Office of Federal Financial Management, Office of Management and 
Budget, Room 6025, New Executive Office Building, Washington, DC 20503.

FOR FURTHER INFORMATION CONTACT: Sandra Swab, Office of Federal 
Financial Management, Office of Management and Budget, telephone 202-
395-3993, and E-mail: sswab@omb.eop.gov.

SUPPLEMENTARY INFORMATION:

Standard Set of Data Elements and Definitions

    The Federal E-Grants initiative, one of 24 initiatives of the 
Administration's overall E-Government program for improving access to 
Government services via the Internet, calls for the development of a 
one-stop, electronic grant portal where potential grant recipients will 
receive full service electronic grant administration. OMB is seeking to 
develop a standard set of data elements that will be used by grant-
making Federal agencies to develop web-based grant application 
software. The application software, E-Apply, will permit the use of on-
line grant applications by October 2003. This Federal Register 
announcement seeks public comment on establishing the current data 
elements and definitions of the SF-424 with the proposed five 
additional data elements as the standard data set that Federal agencies 
would include in the first version for electronic grant applications. 
The standard data elements are found in the attachment to this notice. 
The attachment identifies the current data elements and definitions 
found on the SF-424. The proposed data elements have been required of 
grant applicants when submitting SF-424s to which OMB is proposing to 
add five new elements: (1) Requesting entity's universal identifier 
(see proposal to use the DUNS in the October 30, 2002 Federal 
Register); (2) requesting entity's e-mail address; (3) requesting 
entity's country location; (4) requesting entity's facsimile (Fax) 
number; and (5) for Not-For-Profit entities only, requesting entity's 
indicator for ``Type of Applicant.''
    Additional efforts not included in this initial proposal, seek to 
have the Federal government review various grants management processes 
that focus on different types of business lines that cut across similar 
grant programs. For example, grant programs that focus on research may 
need to have different grant application information than programs that 
focus on education. However, many different agency grant programs may 
be similar in a broad subject category and collect similar information. 
For those grant programs found in broad subject categories and cut 
across various Federal agencies, the data may be standardized and 
shared by collecting the data only once. This cross-agency standard 
data may become a subset to the standard data collected on the SF-424. 
When such data is identified and approved, it is the intention to 
revise the suite of SF-424 standard collection forms to identify cross-
agency data. This effort will be done in consultation with the grants 
community at-large through the public comment process. It is thought 
the standardization of data and establishment of standard data for 
similar types of grant programs will enhance the collection of data and 
help to overall simplify the grants application and management 
processes.

Policy for Electronic Grant Applications

    The SF-424 data elements, including the five proposed data 
elements, are attached for review and comment and are contained within 
the American National Standards Institute's (ANSI) Grant Application or 
Assistance Application 194 Transaction Data Set, a national electronic 
standard for the Federal grant application. The 194 Transaction Data 
Set has evolved under the auspices of the Inter-Agency Electronic 
Grants Committee (IAEGC), ANSI, Federal Demonstration Partnership, 
universities, research institutions, and Federal grant-making agencies. 
Using an established national electronic standard to implement the E-
Apply software application helps to standardize the data conventions 
and provides a foundation upon which to build future applications. The 
attachment correlates the SF-424 data to the related data found in the 
194 Transaction Data Set. Information on the 194 Transaction Data Set 
can be found on the Inter-Agency Electronic Grants Committee's (IAEGC) 
Web site at www.iaegc.gov.

Consolidated Assurance of Compliance for Grant Applicants

    We further propose to revise the SF-424 to provide a streamlined 
way for Federal agencies to obtain assurances of compliance with 
applicable requirements. Currently, a Federal program office that uses 
the entire suite of SF-424 forms for its applications would require an 
applicant to submit assurances on, either a SF-424B, ``Assurances--Non-
Construction Programs,'' or a SF-424D, ``Assurances--Construction 
Programs.''
    The assurance forms (SF-424B/D) list many individual national 
policy requirements and a few selected administrative requirements 
based in statute, Executive Order, regulation, or OMB circular 
language. The national policy requirements address societal objectives 
such as protection of the environment or ensuring civil rights. The 
selected administrative matters, such as conduct of audits, relate to 
stewardship of public funds. The forms require the applicant's 
``authorized certifying official'' to sign, thereby agreeing that the 
applicant will comply with the requirements if an award is made.
    We propose an approach that coordinates the business processes of 
application and award at the time of announcing funding availability. 
Agencies' announcements will identify administrative and national 
policy requirements with which applicants must comply if they receive 
awards, thereby helping potential applicants make more informed 
decisions about whether to apply. If an entity is unable or unwilling 
to comply with any of these requirements, it should not invest time and 
money in preparing an application.
    At time of application, applicants would be asked to sign the 
following consolidated assurance on the cover page of the SF-424, which 
would replace the lists of individual requirements that currently 
appear on the SF-424B and SF-424D:

    I have reviewed the requirements that apply to recipients of 
awards under this program* and assure, as the duly authorized 
representative of the applicant, that the applicant will comply with 
those requirements and other terms and conditions if it receives an 
award.
    *If you are submitting this application in response to a Federal 
agency announcement of a funding opportunity, consult that 
announcement or any associated application instructions for the 
Internet site or other location where you may view the generally 
applicable requirements. Otherwise, if you do not know where to view 
them, contact the office to which you are submitting this 
application to ask about the location.

    At time of award, a successful applicant would receive an award 
document with terms and conditions incorporating the applicable 
national policy and administrative requirements. These would be the 
same requirements for which the applicant provided an assurance of 
compliance at time of application, except for any award-specific 
requirements that the agency

[[Page 17092]]

imposes or any new requirements or changes made to existing 
requirements after the agency issued its announcement.
    This new approach for a consolidated assurance has a number of 
advantages:
    [sbull] It is easier to give potential applicants up-to-date 
information on applicable requirements. National policy and 
administrative requirements change over time, due to enactment or 
adoption of new policies and repeal or revision of existing ones. 
Updating a standard form is a cumbersome and lengthy process, so it is 
difficult to keep forms up to date with the latest policy changes. The 
SF-424B and SF-424D, for example, are not fully up to date at this 
time.
    [sbull] The consolidated assurance eliminates the need to update 
the electronic submission format each time a requirement changes. As 
the Federal Government moves from paper forms to electronic 
transactions, periodically updating the list of national policy and 
administrative requirements would require reprogramming the format for 
electronic submission of applications if each requirement was 
individually listed in the assurances of compliance. Reprogramming 
would increase costs and administrative burdens. Instead, the change 
would be addressed in agencies' terms and conditions, which are more 
easily updated.
    [sbull] Potential applicants only need to consult a single source, 
the agency's terms and conditions, for all applicable requirements 
before providing assurance. Currently, an awarding agency or program 
office must supplement the SF-424B or SF-424D with information about 
agency-or program-specific requirements because the standard forms list 
only government-wide requirements.
    It is anticipated that OMB would change the SF-424 to reflect the 
above assurance language changes when the additional data elements are 
added to the form and public comment supports such a change. Current 
grant application forms can be found at http://www.whitehouse.gov/omb/
grants.

Questions and Comments

    We welcome your input on any aspect of the data elements and 
inclusion of the consolidated assurance in place of those found on the 
SF-424B and SF-424D. Questions that you may wish to address include:
    [sbull] Are the proposed data elements found on the current SF-424 
the essential ones needed to apply for Federal grants? If you recommend 
adding or deleting any data elements, please explain why.
    [sbull] Are the current definitions found on the SF-424 clear and 
explicitly define what is required for applicants to enter on the SF-
424, ``Application for Federal Assistance?''
    [sbull] Are the names of data elements and any terms used in 
describing them readily understandable? Are the terms generic enough to 
cover all programs and agencies in which you might have an interest? Do 
you have suggestions for alternate terms?
    [sbull] Is the current SF-424, plus the five additional proposed 
data elements and assurance language, sufficient enough to establish 
the SF-424 as the data standard? If comments indicate a more in-depth 
change to the SF-424, should OMB establish this as the data standard 
and then proceed with a more complete revision at a later date?
    [sbull] Is the assurance language feasible for use by Federal 
agencies in lieu of those found on the SF-424B and SF-424D?

Joseph L. Kull,
Deputy Controller.

    Attachment: The attachment is a series of tables that list the name 
of the data element found on the SF-424 with the description found on 
the grant application form. The attachment also lists the data element 
name found in the 194 Transaction Data Set for comparison. Use of the 
194 Transaction Data Set is to help define data layout for electronic 
transmission. Each table is titled to help better understand the groups 
of the data elements.

           Table 1.--All Federal Grant Application Information
------------------------------------------------------------------------
                                                        194 Data element
                                                            name for
  SF-424 Caption or Block No.     SF-424 Description       electronic
                                                           submission
------------------------------------------------------------------------
Type of Submission (No. 1)....  Self-explanatory        Construction
                                 (Identify if project    Application
                                 application or pre-     Indicator.
                                 application,
                                 construction or non-
                                 construction.).
Date Submitted (No. 2)........  Date application        Application
                                 submitted to Federal    Date.
                                 agency (or State if
                                 applicable).
Applicant Identifier..........  Applicant's control     Applicant's
                                 number (if              Application
                                 applicable).            Identification.
Date received by State (No. 3)  State use only (if      Date Received by
                                 applicable).            State/Other
                                                         Reviewer.
State Application Identifier..  State use only (if      Reviewing
                                 applicable).            Organization
                                                         Application
                                                         Number.
Date Received by Federal        If this application is  Date Received by
 Agency (No. 4).                 to continue or revise   Federal Agency.
                                 an existing award,
                                 enter date of present
                                 award.
Federal Identifier............  If this application is  Federal Agency
                                 to continue or revise   Application
                                 an existing award,      Number.
                                 enter present Federal
                                 identifier number. If
                                 for a new project,
                                 leave blank.
Type of Application (No. 8)...  Check appropriate box   Application
                                 and enter appropriate   Type.
                                 letter(s) in the
                                 space(s) provided:
                                --``New'' means a new
                                 assistance award.
                                --``Continuation''
                                 means an extension
                                 for an additional
                                 funding/budget period
                                 for a project with a
                                 projected completion
                                 date.
                                --``Revision'' means
                                 any change in the
                                 Federal Government's
                                 financial obligation
                                 or contingent
                                 liability from an
                                 existing obligation.
If Revision...................  Enter the appropriate   Application
                                 choice to specify       Purpose.
                                 reason for renewal.
                                 (List: New,
                                 Continuation,
                                 Revision. If
                                 revision, indicate:
                                 List: Increase Award,
                                 Decrease Award,
                                 Increase Duration,
                                 Decrease Duration,
                                 Other (Specify)).
CFDA Number (No. 10)..........  Use the Catalog of      Catalog of
                                 Federal Domestic        Federal
                                 Assistance (CFDA)       Domestic
                                 number of the program   Assistance
                                 under which             Number.
                                 assistance is
                                 requested.
CFDA Title (No. 10)...........   Use the Catalog of     Program Name.
                                 Federal Domestic
                                 Assistance (CFDA)
                                 title of the program
                                 under which
                                 assistance is
                                 requested.

[[Page 17093]]

 
Descriptive Title of            Enter a brief           Application
 Applicant's Project (No 11).    descriptive title of    Title.
                                 the project. If more
                                 than one program is
                                 involved, you should
                                 append an explanation
                                 on a separate sheet.
                                 If appropriate (e.g.,
                                 construction or real
                                 property projects),
                                 attach a map showing
                                 project location. For
                                 pre-application, use
                                 a separate sheet to
                                 provide a summary
                                 description of this
                                 project.
------------------------------------------------------------------------


              Table 2.--Organization/Applicant Information
------------------------------------------------------------------------
                                                        194 Data element
                                                            name for
  SF-424 Caption or Block No.     SF-424 Description       electronic
                                                           submission
------------------------------------------------------------------------
DUNS New Addition.............  The DUNS number of the  Organization
                                 organization.           DUNS.
                                 (Subject to OMB
                                 approval of single
                                 identifier.).
Applicant Name/Address (No. 5)  Legal name of           Organization
                                 applicant, name of      Name.
                                 primary
                                 organizational unit
                                 that will undertake
                                 the assistance
                                 activity, complete
                                 address of applicant,
                                 including country, if
                                 other than US, and
                                 name and telephone
                                 number and e-mail
                                 address of the person
                                 to contact on matters
                                 related to this
                                 application.
Name of Federal Agency (No. 9)  Name of the Federal     Organization
                                 Agency from which       Type.
                                 assistance is being
                                 requested with this
                                 application.
Organizational Unit (No. 5)...  The department,         Department.
                                 service, laboratory,
                                 or equivalent level
                                 within the
                                 organization.
Organizational Unit (No. 5)...  The division, office,   Division.
                                 or major subdivision
                                 of the organization.
Employer Identification Number  Enter Employer's        Employer's
 (No. 6).                        Identification Number   Identification
                                 (EIN) as assigned by    Number.
                                 the Internal Revenue
                                 Service.
Type of Applicant (No. 7) New   Enter the appropriate   Entity Type.
 Addition: Not for Profit.       choice in the space
                                 provided to show the
                                 applicant type such
                                 as state or county.
                                 (List: State, County
                                 Municipal Township,
                                 Interstate,
                                 Intermunicipal,
                                 Special District,
                                 Independent School
                                 District, State
                                 Controlled
                                 Institution of Higher
                                 Learning, Private
                                 University, Indian
                                 Tribe, Individual,
                                 Profit organization,
                                 Not for Profit, Other
                                 (specify)).
Congressional District (No.     List the applicant's    Congressional
 14).                            Congressional           District.
                                 District and any
                                 (District(s) affected
                                 by the program or
                                 project.
------------------------------------------------------------------------


           Table 3.--Applicant/Individual Contact Information
------------------------------------------------------------------------
                                                        194 Data element
                                                            name for
  SF-424 Caption or Block No.     SF-424 Description       electronic
                                                           submission
------------------------------------------------------------------------
Contact Person, Name (No. 5)..  Type of individual      Individual Type
                                 associated with the
                                 business process of
                                 submitting the
                                 application.
Contact Person, Name (No. 5)..  The individual's first  First Name.
                                 name.
Contact Person, Name (No. 5)..  The individual's last   Last Name.
                                 name.
Contact Person, Name (No. 5)..  The individual's        Middle Name
                                 middle name..
Contact Person, name (No. 5)..  The individual's name   Prefix.
                                 prefix.
Contact Person, Name (No. 5)..  The individual's name   Suffix.
                                 suffix.
Contact Person, Name (No. 18a)  Position title of an    Title.
 Authorized Representative,      individual.
 Title.
Date Signed (No. 18e).........  Date Application        Signature Date.
                                 Signed.
------------------------------------------------------------------------


           Table 4.--Applicant/Individual Address Information
------------------------------------------------------------------------
                                                      194 Data element
 SF-424 Caption or Block No.   SF-424 Description    name for electronic
                                                         submission
------------------------------------------------------------------------
Address, City (No. 5).......  City of an            City.
                               organization or
                               individual.
Address, County (No. 5).....  County of an          County.
                               organization or
                               individual.
Address, State (No. 5)......  State of an           State.
                               organization or
                               individual.
Address (No. 5).............  Street address of an  Street Address.
                               organization or
                               individual.
Address, Zip Code (No. 5)...  Zip code of an        Zip Code.
                               organization or
                               individual.
Contact Person, Telephone     Telephone number for  Telephone Number.
 (No. 5).                      an organization or
                               individual.
Fax Number New Addition.....  Fax number for an     Fax Number.
                               organization or
                               individual.
E-Mail Address New Addition.  E-Mail address for    E-Mail address.
                               the individual.
Country New Addition........  Country of an         Country.
                               organization or
                               individual.
------------------------------------------------------------------------


[[Page 17094]]


                      Table 5.--Project Information
------------------------------------------------------------------------
                                                       194 Data element
                                                           name for
   SF-424 Caption or Block No.    SF-424 Description      electronic
                                                          submission
------------------------------------------------------------------------
Areas Affected by Project (No.    List only the       Geographic
 12).                              largest political   Location Name.
                                   entities affected
                                   (e.g., State,
                                   counties, cities).
Proposed Projected State Date     Self-explanatory    Project Start
 (No. 13).                         (Planned            Date.
                                   beginning date of
                                   project.)
Proposed Project Ending Date      Self-explanatory    Project End.
 (No. 13).                         (Planned ending
                                   date of project.).
------------------------------------------------------------------------


             Table 6.--SF-424 Cover Page Budget Information
------------------------------------------------------------------------
                                                        194 Data element
                                                            name for
  SF-424 Caption or Block No.     SF-424 Description       electronic
                                                           submission
------------------------------------------------------------------------
Estimated Funding.............  Amount requested or to  Budget Item
                                 be contributed during   Code, Budget
                                 the first funding/      Item Cost.
                                 budget period by each
                                 contributor. Value of
                                 in-kind contributions
                                 should be included on
                                 appropriate lines as
                                 applicable. If the
                                 action will result in
                                 a dollar change to an
                                 existing award,
                                 indicate only the
                                 amount of the change.
                                 For decreases,
                                 enclose the amounts
                                 in parentheses. If
                                 both basic and
                                 supplemental amounts
                                 are included, show
                                 breakdown on an
                                 attached sheet. For
                                 multiple program
                                 funding, use totals
                                 and show breakdown
                                 using same categories
                                 as item.
Estimated Funding.............  Dollar amount of the    Dollar Amount.
                                 budget item.
------------------------------------------------------------------------


                Table 7.--SF-424A Non-Construction Budget
------------------------------------------------------------------------
                                                        194 Data element
                                                            name for
  SF-424 Caption or Block No.     SF-424 Description       electronic
                                                           submission
------------------------------------------------------------------------
Section A, Budget Summary       For applications        Budget Item
 (Nos. 1-5, a-g).                pertaining to a         Code, Budget
                                 single Federal grant    Item Cost,
                                 program (Catalog of     Budget Item
                                 Federal Domestic        Name, Budget
                                 Assistance number)      Item
                                 and not requiring a     Description,
                                 functional or           Budget Item
                                 activity breakdown,     Period.
                                 enter on Line under
                                 Column (a) the
                                 Catalog program title
                                 and the Catalog
                                 number in Column (b).
                                For applications
                                 pertaining to a
                                 single program
                                 requiring budget
                                 amounts by multiple
                                 functions or
                                 activities, enter the
                                 name of each activity
                                 or function on each
                                 line in Column (a),
                                 and enter the Catalog
                                 number in Column (b).
                                 For applications
                                 pertaining to
                                 multiple programs
                                 where none of the
                                 programs require a
                                 breakdown by function
                                 or activity, enter
                                 the Catalog program
                                 title on each line in
                                 Column (a) and the
                                 respective Catalog
                                 number on each line
                                 in Column (b).
                                Lines 1-4, Columns (c)
                                 through (g).
                                For new applications,
                                 leave Column (c) and
                                 (d) blank. For each
                                 line entry in Columns
                                 (a) and (b), enter in
                                 Columns (e), (f), and
                                 (g) the appropriate
                                 amounts of funds
                                 needed to support the
                                 project for the first
                                 funding period
                                 (usually a year).
                                Line 5--Show the total
                                 for all columns used.
 
Section B, Budget Categories    In the column headings  Budget Item
 (Nos. 6, a-k).                  (1) through (4),        Code, Budget
                                 enter the titles of     Item Cost,
                                 the same programs,      Budget Item
                                 functions, and          Name, Budget
                                 activities shown on     Item
                                 Lines 1-4, Column       Description,
                                 (a), Section A. When    Budget Item
                                 additional sheets are   Period.
                                 prepared for Section
                                 A, provide similar
                                 column headings on
                                 each sheet. For each
                                 program, function or
                                 activity, fill in the
                                 total requirements
                                 for funds (both
                                 Federal and non-
                                 Federal) by object
                                 class categories.
                                Line 6a-i--Show the
                                 totals of Lines 6a to
                                 6h in each column.
                                Line 6j--Show the
                                 amount of indirect
                                 cost.
                                6k--Enter the total
                                 amounts on Lines 6i
                                 and 6j. For all
                                 applications for new
                                 grants and
                                 continuation grants
                                 the total amount in
                                 column (5), Line 6k,
                                 should be the same as
                                 the total amount
                                 shown in Section A,
                                 Column (g), Line 5.
                                 For supplemental
                                 grants and changes to
                                 grants, the total
                                 amount of the
                                 increase or decrease
                                 as shown in Columns
                                 (1)-(4), Line 6k
                                 should be the same as
                                 the sum of the
                                 amounts in Section A,
                                 Columns (e) and (f)
                                 on Line 5.
                                Line 7--Enter the
                                 estimated amount of
                                 income, if any,
                                 expected to be
                                 generated from this
                                 project. Do not add
                                 or subtract this
                                 amount from the total
                                 project amount, shown
                                 under the program.
Section C, non-Federal          Lines 8-11 Enter        Budget Item
 Resources (Nos. 8-12).          amounts of non-         Code, Budget
                                 Federal resources       Item Cost,
                                 that will be used on    Budget Item
                                 the grant. If in-kind   Name, Budget
                                 contributions are       Item
                                 included, provide a     Description,
                                 brief explanation on    Budget Item
                                 a separate sheet.       Period.

[[Page 17095]]

 
                                Column (a)--Enter the
                                 program titles
                                 identical to Column
                                 (a), Section A. A
                                 breakdown by function
                                 or activity is not
                                 necessary.
                                Column (b)--Enter the
                                 contribution to be
                                 made by the applicant.
                                Column (c)--Enter the
                                 amount of the State's
                                 cash and in-kind
                                 contribution if the
                                 applicant is not a
                                 State or State
                                 agency. Applicants
                                 which are a State or
                                 State agency should
                                 leave this column
                                 blank.
                                Column (d)--Enter the
                                 amount of cash and in-
                                 kind contributions to
                                 be made from all
                                 other sources.
                                Column (e)--Enter
                                 totals of Columns
                                 (b), (c), and (d).
                                Line 12--Enter the
                                 total for each of
                                 Columns (b)-(e). The
                                 amount in Column (e)
                                 should be equal to
                                 the amount on Line 5,
                                 Column (f), Section A.
Section D, Forecasted Cash      Line 13--Enter the      Budget Item
 Needs (Nos. 13-15).             amount of cash needed   Code, Budget
                                 by quarter from the     Item Cost,
                                 grantor agency during   Budget Item
                                 the first year.         Name, Budget
                                                         Item
                                                         Description,
                                                         Budget Item
                                                         Period.
                                Line 14--Enter the
                                 amount of cash from
                                 all other sources
                                 needed by quarter
                                 during the first year.
                                Line 15--Enter the
                                 totals of amounts on
                                 Lines 13 and 14.
 
Section E, Budget Estimates of  Lines 16-19--Enter in   Budget Item
 Federal Funds Needed for        Column (a) the same     Code, Budget
 Balance of the Project (Nos.    grant program titles    Item Cost,
 16-20).                         shown in Column (a),    Budget Item
                                 Section A. A            Name, Budget
                                 breakdown by function   Item
                                 or activity is not      Description,
                                 necessary. For new      Budget Item
                                 applications and        Period.
                                 continuation grant
                                 applications, enter
                                 in the proper columns
                                 amounts of Federal
                                 funds which will be
                                 needed to complete
                                 the program or
                                 project over the
                                 succeeding funding
                                 periods (usually in
                                 years). This section
                                 need not be completed
                                 for revisions
                                 (amendments, changes,
                                 or supplements) to
                                 funds for the current
                                 year of existing
                                 grants.
                                If more than four
                                 lines are needed to
                                 list the program
                                 titles, submit
                                 additional schedules
                                 as necessary.
                                Line 20--Enter the
                                 total for each of the
                                 Columns (b)-(e). When
                                 additional schedules
                                 are prepared for this
                                 Section, annotate
                                 accordingly and show
                                 the overall totals on
                                 this line.
Section F, Other Budget         Line 21--Use this       Budget Item
 Information (Nos. 21-23).       space to explain        Code, Budget
                                 amounts for             Item Cost,
                                 individual direct       Budget Item
                                 object class cost       Name, Budget
                                 categories that may     Item
                                 appear to be out of     Description,
                                 the ordinary or to      Budget Item
                                 explain the details     Period,
                                 as required by the      Paragraph Text.
                                 Federal grantor
                                 agency.
                                Line 22--Enter the
                                 type of indirect rate
                                 (provisional,
                                 predetermined, final
                                 or fixed) that will
                                 be in effect during
                                 the funding period,
                                 the estimated amount
                                 of the base to which
                                 the rate is applied,
                                 and the total
                                 indirect expense.
                                Line 23--Provide any
                                 other explanations or
                                 comments deemed
                                 necessary.
------------------------------------------------------------------------


        Table 8.--SF-424C Budget Information Construction Program
------------------------------------------------------------------------
                                                       194 Data element
                                                           name for
   SF-424 Caption or Block No.    SF-424 Description      electronic
                                                          submission
------------------------------------------------------------------------
Budget Information Construction   Column (a).--If     Budget Item Code,
 Programs (Nos. 1-17, a-c).        this is an          Budget Item Cost,
                                   application for a   Budget Item
                                   ``New'' project,    Description,
                                   enter the total     Budget Item
                                   estimated cost of   Period.
                                   each of the items
                                   listed on lines 1
                                   through 16 (as
                                   applicable) under
                                   ``Cost
                                   Classification''.
                                  If this
                                   application
                                   entails a change
                                   to Item an
                                   existing award,
                                   enter the
                                   eligible amounts
                                   approved under
                                   the previous
                                   award for the
                                   items under
                                   ``Cost
                                   Classification''.
                                  Column (b).--If
                                   this is an
                                   application for a
                                   ``New'' project,
                                   enter that
                                   portion of the
                                   cost of each item
                                   in Column a. that
                                   is not allowable
                                   for Federal
                                   assistance.
                                   Contact the
                                   Federal agency
                                   for assistance in
                                   determining the
                                   allowability of
                                   specific costs.
                                  If this
                                   application
                                   entails a change
                                   to an existing
                                   award, enter the
                                   adjustment [+ or
                                   (-)] to the
                                   previously
                                   approved costs
                                   from column (a)
                                   reflected in this
                                   application.

[[Page 17096]]

 
                                  Line 1--Enter
                                   estimated amounts
                                   needed to cover
                                   administrative
                                   expenses. Do not
                                   include costs,
                                   which are related
                                   to the normal
                                   functions of
                                   government.
                                   Allowable legal
                                   costs are
                                   generally only
                                   those associated
                                   with the
                                   purchases of
                                   land, which is
                                   allowable for
                                   Federal
                                   participation and
                                   certain services
                                   in support of
                                   construction of
                                   the project.
                                  Line 2--Enter
                                   estimated site
                                   and right(s)-of-
                                   way acquisition
                                   costs (this
                                   includes
                                   purchase, lease,
                                   and/or easements).
                                  Line 3--Enter
                                   estimated costs
                                   related to
                                   relocation
                                   advisory
                                   assistance,
                                   replacement
                                   housing,
                                   relocation
                                   payments to
                                   displaced persons
                                   and businesses,
                                   etc.
                                  Line 4--Enter
                                   estimated basic
                                   engineering fees
                                   related to
                                   construction
                                   (this includes
                                   start-up services
                                   and preparation
                                   of project
                                   performance work
                                   plan).
                                  Line 5--Enter
                                   estimated
                                   engineering
                                   costs, such as
                                   surveys, tests,
                                   soil borings, etc.
                                  Line 6--Enter
                                   estimated
                                   engineering
                                   inspection costs.
                                  Line 7--Enter
                                   estimated costs
                                   of site
                                   preparation and
                                   restoration which
                                   are not included
                                   in the basic
                                   construction
                                   contract.
                                  Line 9--Enter
                                   estimated cost of
                                   the construction
                                   contract.
                                  Line 10--Enter
                                   estimated cost of
                                   office, shop,
                                   laboratory,
                                   safety equipment,
                                   etc., to be used
                                   at the facility,
                                   if such costs are
                                   not included in
                                   the construction
                                   contract.
                                  Line 11--Enter
                                   estimated
                                   miscellaneous
                                   costs.
                                  Line 12--Total of
                                   items 1 through
                                   11.
                                  Line 13--Enter
                                   estimated
                                   contingency costs
                                   (Consult the
                                   Federal agency
                                   for the
                                   percentage of the
                                   estimated
                                   construction cost
                                   to use.).
                                  Line 14--Enter the
                                   total of lines 12
                                   and 13..
                                  Line 15--Enter
                                   estimated program
                                   income to be
                                   earned during the
                                   grant period,
                                   e.g., salvaged
                                   materials, etc.
                                  Line 16--Subtract
                                   line 15 from line
                                   14.
                                  Line 17--This
                                   block is for the
                                   computation of
                                   the Federal
                                   share. Multiply
                                   the total
                                   allowable project
                                   costs from line
                                   16, column (c) by
                                   the Federal
                                   percentage share
                                   (this may be up
                                   to 100 percent;
                                   consult Federal
                                   agency for
                                   Federal
                                   percentage share)
                                   and enter the
                                   product on line
                                   17.
------------------------------------------------------------------------


            Table 9.--Assurances, Non-Construction (SF-424B)
            [To Be Replaced by Proposed Assurance Statement]
------------------------------------------------------------------------
                                                       194 Data Element
                                                           Name for
   SF-424 Caption or block no.    SF-424 Description      Electronic
                                                          Submission
------------------------------------------------------------------------
Assurance, Federal Debt, State    16. Applicants      Yes or No
 Review.                           should contact      Condition.
                                   the State Single
                                   Single Point of
                                   Contact (SPOC)
                                   for Federal
                                   Executive Order
                                   12372 to
                                   determine whether
                                   the application
                                   is subject to the
                                   State
                                   intergovernmental
                                   review process.
                                  17. This question
                                   applies to the
                                   applicant
                                   organization, not
                                   the person who
                                   signs as the
                                   authorized
                                   representative.
                                   Categories of
                                   debt include
                                   delinquent audit
                                   disallowances,
                                   loans and taxes.
                                  18. To be signed
                                   by the authorized
                                   representative of
                                   the applicant. A
                                   copy of the
                                   governing body's
                                   authorization for
                                   you to sign this
                                   application as
                                   official
                                   representative
                                   must be on file
                                   in the
                                   applicant's
                                   office. (Certain
                                   Federal agencies
                                   may require that
                                   this
                                   authorization is
                                   submitted as part
                                   of the
                                   application).
Assurance, Federal Debt State     See above.........  Yes or No
 Review.                                               Condition
                                                       Description.
Assurance, Federal Debt, State    See above.........  Yes or No
 Review.                                               Condition
                                                       Response.
Assurance, Federal Debt, State    See above.........  Yes or No
 Review.                                               Condition Type.
------------------------------------------------------------------------


[[Page 17097]]


              Table 10.--Assurances, Construction (SF-424D)
            [To Be Replaced by Proposed Assurance Statement]
------------------------------------------------------------------------
                                                       194 Data element
                                                           name for
   SF-424 Caption or Block No.    SF-424 Description      electronic
                                                          submission
------------------------------------------------------------------------
Assurance, Federal Debt, State    16. Applicants      Yes or No
 Review.                           should contact      Condition Date.
                                   the State Single
                                   Point of Contact
                                   (SPOC) for
                                   Federal Executive
                                   Order 12372 to
                                   determine whether
                                   the application
                                   is subject to the
                                   State
                                   intergovernmental
                                   review process.
                                  17. This question
                                   applies to the
                                   applicant
                                   organization, not
                                   the person who
                                   signs as the
                                   authorized
                                   representative.
                                   Categories of
                                   debt include
                                   delinquent audit
                                   disallowances,
                                   loans and taxes.
                                  18. To be signed
                                   by the authorized
                                   representative of
                                   the applicant. A
                                   copy of the
                                   governing body's
                                   authorization for
                                   you to sign this
                                   application as
                                   official
                                   representative
                                   must be on file
                                   in the
                                   applicant's
                                   office. (Certain
                                   Federal agencies
                                   may require that
                                   this
                                   authorization is
                                   submitted as part
                                   of the
                                   application).
Assurance, Federal Debt State     See above.........  Yes or No
 Review.                                               Condition
                                                       Description.
Assurance, Federal Debt, State    See above.........  Yes or No
 Review.                                               Condition
                                                       Response.
Assurance, Federal Debt, State    See above.........  Yes or No
 Review.                                               Condition Type.
------------------------------------------------------------------------

[FR Doc. 03-8435 Filed 4-7-03; 8:45 am]
BILLING CODE 3110-01-P