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Chapter 5-90
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The Office of Surface Mining uses this Financial Assistance Manual to show how OSM and its grantees manage Federal grants. This chapter tells how OSM reports information on its Federal assistance awards to a government-wide data system.

CHAPTER 5-90
FEDERAL ASSISTANCE AWARD DATA SYSTEM

5-90-00 PURPOSE

The purpose of this chapter is to provide policy and procedures for reporting information on Federal assistance awards.

5-90-10 BACKGROUND

  1. The FAADS program is authorized by P.L. 97-326, the Consolidated Federal Funds Report Act of 1982. Information collected in the FAADS is used in the Consolidated Federal Funds Report to provide data on Federal Government expenditures of obligations to the Congress, the Executive Branch, and other political and private interest groups.

  2. FAADS aids the Federal agencies in their compliance with Section 201 of the Intergovernmental Cooperation Act of 1968 (P.L. 90-577). FAADS also provides data consistent with the requirements and intents of the Federal Program Information Act, the Federal Grant and Cooperative Agreement Act of 1977 (P.L. 92-244); the Legislative Reorganization Act of 1970 (P.L. 91-510), as amended by the CongressionalBudget Act of 1974 (P.L. 344); and Executive Order 12372 (July 1982). The authorities and intents of these statutes require notification to States and the Congress of fiscal, budgetary, and program-related information.

  3. In October 1989, the Department of the Interior (DOI) issued the form DI-1961, FAADS Reporting Form, to replace the SF 424 as the form on which to report FAADS data elements. In December 1993, the DOI discontinued use of the DI-1961 for reporting FAADS data directly to the Office of Acquisition and Property Management (PAM). The DI-1961 has been replaced with on-line data entry for submission of FAADS data.However, the DI-1961 may continue to be the reporting document used within OSM for submission to the designated OSM office responsible for on-line data entry.

5-90-20 APPLICABILITY

The FAADS reporting requirements are applicable to all OSM financial assistance actions that involve funding (award, amendment, deobligation, closeout).

5-90-30 PROCEDURES

  1. After approval of a financial assistance action, the responsible OSM office shall input the required FAADS data into the system.

  2. On-line data should be submitted to PAM by the sixth calendar day after the end of the quarter. If the due date falls on a Saturday, the submission is due on Friday; if the due date falls on a Sunday, the submission is due on Monday.

  3. If occasions arise where, after the ending date, an audit is conducted and a change in the dollar amount results, the ending and action dates shall be changed to reflect the day the change was made. In addition, "Action Type" should indicate that the dollar change is because of the findings of a program audit.

EXHIBIT X5-90-1

FAADS DATA ELEMENT CODING

The following is a list of the reportable data elements, along with instructions for verifying the data for FAADS.

DI-1961 ITEM FAADS REQUIREMENTS
   Leave blank. The DI 1961 number will be automatically entered when all data has been entered. This number will only be entered by the individual when operation codes "C" or "D" are used.
1 CD Program Number Enter the last 3 characters ofthe 5 character number from the CFDA.

15.250 Regulation of Surface CoalMining and Surface Effects of Underground Coal Mining

15.252 Abandoned Mine Land Reclamation Program

  State Application Identification Number

Enter the 13 character number assigned by a state clearinghouse. SAI numbers must be reported for all awards under programs that have been determined as covered by EO 12372. For awards under covered programs for which no SAI number was supplied, "SAI NOT AVAILABLE" should be entered.

For awards under programs not covered by EO 12372, an SAI number must still be reported if supplied by the State review agency. Otherwise, the entry in this field should be "SAI EXEMPT."

  Applicant Name Enter the State/Tribe's name.
2 City Code Enter the appropriate FIPS 5 character code for the city or township in which the recipient is located.
  City Name Enter the specific name of the city or township in which the recipient is located.
  County Code Enter recipient's 3 character numeric FIPS code for the county.
  County Name Enter specific name of the county in which the recipient is located.
  State Code Enter appropriate 2 character numeric FIPS code for the state in which the recipient is located.
  Zip Code Enter recipient's 5 character numeric zip code from the U.S. Postal Service manual.
  Start Enter the date (yyyymmdd) of the beginning of the performance period. This field has been expanded to include four digits for the year.
  End Enter the date (yyyymmdd) of the scheduled ending of the performance period. This field has been expanded to include four digits for the year.
3&4 Title & Description Give a brief description of project or purpose for which funds are being obligated.
5 Type App Enter 2 numeric character code which depicts the recipient.

    00 = State government
    11 = Indian Tribe

  Type Act Enter the appropriate character representing thenature of the award transaction:

    A = new assistance award
    B = continuation (funding in a succeeding budget period which stemmed from a prior agreement to fund). Regulatory grants are considered continuation grants.
    C = revision (any change in OSM's financial obligation or contingent liability from an existing obligation)
    D = funding adjustment to completed project

  Cong Dist Enter the 2 number code of the congressional district of the recipient. For a congressional district at large, enter "00"; For jurisdictions with a nonvoting delegate, enter "98"; For jurisdictions with no representative, enter "99".
  Fed Agcy Enter OSM's 4 character FIPS code: 1438
  Federal Grant Identification Enter the recipient's OSM grant number.
  Federal Funds Enter the dollar amount of federal funds for this project.
  State Funds Enter the State's dollar amount of funds for this project.
  Action Date Enter the date (yyyymmdd)that the funds were obligated for this action. Action date can be prior to starting or ending date but must be within the quarter being reported unless it is a corrected or late entry. This field has been expanded to include four digits for the year.
  Type Assist. Enter the appropriate 2 numeric code depicting the type of financial assistance.

    04 Project Grant (All Title IV and V grants)
    05 Cooperative Agreements (All title IV and V Cooperative Agreements)
    06 Direct payment (If a SOAP grant is awarded directly to a small operator)

  Action Type Enter a number "2" (indicating individual action reporting)
  Late Entry Enter the appropriate alpha "C" or "L" indicating that the award transaction being reported is a correction or late record which was omitted from a previous quarter's submission. For a current financial assistance award, this field is left blank.
  QTR Enter the appropriate numeric designation of Federal fiscal year and quarter to which the correction applies, or in which the record should have been submitted. The entry should be in the format representing the federal fiscal year and the quarter of the year e.g., 19973 (yyyyq). Do not report late/corrected records that are more than two years old.
  Place Enter FIPS 2 character numeric state code and FIPS 5 character city code.
  Force Entry Leave blank
  Action Type "SEND" when all data has been entered.

NOTE: All data should be entered in capital letters. Use the numeric keypad when entering numeric data and the "Enter" key on the numeric keypad. Print document before sending and then send. Also, before leaving system do a random sample under edit to confirm correct ID number.

EXHIBIT X5-90-2

STATE, COUNTY, CITY, AND CONGRESSIONAL DISTRICT CODES

STATE/TRIBE CODE COUNTY CODE CITY CONG. CODE DISTRICT
ALABAMA (AML) 01 MONTGOMERY 101 MONTGOMERY 51000 02
ALABAMA (A&E) 01 WALKER 127 JASPER 38416 04
ALASKA 02 ANCHORAGE 020 ANCHORAGE 03000 00
ARIZONA (NAVAJO) 04 MCKINLEY 001 WINDOW ROCK 83720 04
ARIZONA (HOPI) 04 NAVAJO 017 KYKOTSMOVI 39100 04
ARKANSAS 05 PULASKI 119 LITTLE ROCK 41000 02
COLORADO 08 DENVER 031 DENVER 20000 01
ILLINOIS 17 SANGAMON 167 SPRINGFIELD 72000 20
INDIANA 18 MARION 097 INDIANAPOLIS 36000 06
IOWA 19 POLK 153 DES MOINES 21000 04
KANSAS 20 SHAWNEE 117 TOPEKA 71000 02
KENTUCKY 21 FRANKLIN 073 FRANKFORT 28900 06
LOUISIANA 22 E. BATON ROUGE 033 BATON ROUGE 05000 06
MARYLAND (AML) 24 ALLEGANY 001 FROSTBURG 30900 06
MARYLAND (A&E) 24 ANNE ARUNDEL 003 ANNAPOLIS 01600 04
MICHIGAN 26 INGHAM 065 LANSING 46000 03
MISSISSIPPI 28 HINDS 049 JACKSON 36000 04
MISSOURI 29 COLE 051 JEFFERSON CITY 37000 04
MONTANA 30 LEWIS & CLARK 049 HELENA 35600 01
MONTANA (CROW) 30 BIGHORN 003 CROW AGENCY 18325 02
MT (N CHEYENNE) 30 BIGHORN 003 LAME DEER 54550 02
NEW MEXICO 35 SANTA FE 049 SANTA FE 70500 03
NORTH DAKOTA 38 BURLEIGH 015 BISMARCK 07200 00
OHIO 39 FRANKLIN 049 COLUMBUS 18000 12
OKLAHOMA 40 OKLAHOMA 109 OKLAHOMA CITY 55000 05
PENNSYLVANIA 42 DAUPHIN 043 HARRISBURG 32800 17
RHODE ISLAND 44 PROVIDENCE 007 PROVIDENCE 59000 01
SOUTH DAKOTA 46 DEWEY 041 EAGLE BUTTE 17620 00
TENNESSEE 47 DAVIDSON 037 NASHVILLE 52000 05
TEXAS 48 TRAVIS 453 AUSTIN 05000 10
UTAH 49 SALT LAKE 035 SALT LAKE CITY 67000 02
VIRGINIA 51 WISE 195 BIG STONE GAP 07480 09
WASHINGTON 53 THURSTON 067 OLYMPIA 51300 03
WEST VIRGINIA 54 KANAWHA 039 CHARLESTON 14600 03
WYOMING 56 LARAMIE 021 CHEYENNE 13900 00

EXHIBIT X5-90-3

DEPARTMENT OF THE INTERIOR
FEDERAL ASSISTANCE AWARD DATA SYSTEM REPORTING FORM

1. CFDA NUMBER OR PSEUDO CODE

15.   

2. STATE APPLICATION IDENTIFIER
3. RECIPIENT NAME

 4. RECIPIENT CITY CODE
5. RECIPIENT CITY NAME

 6. RECIPIENT COUNTY CODE 7. RECIPIENT COUNTY NAME
8. RECIPIENT STATE CODE

 9. RECIPIENT ZIP CODE
10. PROJECT DESCRIPTION



11. TYPE OF RECIPIENT 12. TYPE OF ACTION 13. RECIPIENT CONGRESSIONAL DISTRICT

14. FEDERAL AGENCY

1438

 15. FEDERAL AWARD IDENTIFIER NUMBER
  1. CORE NUMBER
  2. MODIFICATION NUMBER
16. FEDERAL FUNDING SIGN



 17. FEDERAL FUNDING AMOUNT 18. NON-FEDERAL FUNDING SIGN 19. NON-FEDERAL FUNDING AMOUNT 20. ACTION/OBLIGATION DATE
21. STARTING DATE

 22. ENDING DATE 23. TYPE OF ASSISTANCE



24. RECORD TYPE
25. CORRECTION OR LATE INDICATOR 26. FISCAL YEAR AND QUARTER OF CORRECTED OR LATE RECORD



 27. PRINCIPAL PLACE OF PERFORMANCE 28. RESERVED

Form DI-1961
(OCTOBER 1989)

FEDERAL ASSISTANCE MANUAL
January 2, 1998

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Page Master: Marie Sibrell
Office of Surface Mining
1951 Constitution Ave. N.W.
Washington, D.C. 20240
202-208-2719
getinfo@osmre.gov