OMB Control Number 3045-0102

Expiration: 05/31/2021

Applicant Operational and Financial Management Survey

This survey is intended to collect information about the capacity of applicants to manage federal grant funds. Per 2 CFR 

§200.205, the Corporation for National and Community Service must evaluate the degree of risk posed by an applicant. 

Information from the survey will be used to assess an organization’s operational and financial management capabilities prior to 

receiving a federal award. Completion of this survey is required but is independent from the competitive grant process. 

Responding organizations are advised to ensure that the person or persons preparing this form are those responsible for, and 

with sufficient knowledge of, the organization’s operational and financial management functions. The information provided will 

be used to support future monitoring activities, should the applicant receive federal funds from CNCS. In completing this form, 

each question requires a response. Please include the completed form within the application materials that are submitted to the 

Corporation for National and Community Service. Refer to the applicable Notice of Funding Opportunity for instructions on how 

to submit all application materials.

General Information

Organization Legal Name [Organization Legal Name]

EIN [EIN]

City, State Associated with EIN [City, State Associated with EIN]

DUNS Number [DUNS Number]

CFDA Number Associated with Funding Opportunity [CFDA Number Associated with Application]

Operational Management

The policies identified below address some of the most critical elements for administration of a federal grant. As a recipient 

of federal funds, organizations are required to have a full complement of programmatic, financial, and administrative policies, 

as well as internal controls in place, as applicable. Policies and procedures should be reviewed and refined, as applicable, at 

least once every two years. Should the applicant receive federal funding from CNCS, full copies of the policies and procedures 

may be requested for monitoring purposes. 

Please indicate whether the organization has current written policies and procedures in the following areas (select Yes or 

No):

Personnel/Employee Handbook [P&P: Personnel/Employee Handbook]

Financial/Internal Controls [P&P: Financial/Internal Controls]

Sub-award Monitoring and Oversight [P&P: Sub-award Monitoring and Oversight]

Timekeeping [P&P: Timekeeping]

Travel Guidance, including purchase/travel credit card use [P&P: Travel Guidance, Credit Card Use]

Procurement [P&P: Procurement]

Standards for Use of Federal Funds [P&P: Standards for Use of Federal Funds]

Code(s) of Conduct/Ethics, applicable to employment/purchasing [P&P: Code of Conduct/Ethics]

Document Retention [P&P: Document Retention]

Please indicate the training areas below that are provided to employees by the organization (select Yes or No)

Personnel/HR Issues [Training: Personnel/HR Issues]

Financial Accounting [Training: Financial/Accounting]

Risk Management [Training: Risk Management]

Cyber-security [Training: Cyber-security]

Fraud, Waste, and Abuse [Training: Fraud, Waste and Abuse]

Financial Management

Are financial reports (profit and loss, budget vs. actual, etc.) provided to and 

reviewed by leadership level staff, at least quarterly?

[Financial: Reports Reviewed Quarterly]

Does the organization utilize an automated accounting system? [Financial: Automated Accounting System]

Can the organization’s accounting system separate the receipts and payments 

of a federal grant from the receipts and payments of the organization’s other 

activities supported by separate funding streams?

[Financial: Ability to Separate Multi-Funding 

Streams]

Can the organization’s accounting system summarize expenditures from a 

federal grant according to different budget categories such as salaries, rent, 

supplies, and equipment?

[Financial: Ability to Summarize Budget 

Categories per Grant]

Public reporting burden -- Estimated time to complete this form, including time for reviewing instructions and 

gathering and providing the information needed to complete the form is 2 hours. Send comments regarding this 

burden or the content of this form to: Corporation for National and Community Service, Office of Grants 

Management, 250 E Street, SW, Washington, DC 20525. CNCS informs the potential persons who are to respond

to this collection of information that such persons are not required to respond to the collection of information unless 

it displays a currently valid OMB control number on this page of the form (see 5 CFR 1320.5(b)(2)(1)).
OMB Control Number 3045-0102

Expiration: 05/31/2021

How often does the organization post transactions to the accounting system 

ledger(s)?

[Financial: Frequency of Transaction Posting]

Does the organization use an automated payroll system? [Financial: Automated Payroll System]

Please indicate whether organizational leadership approval is required for any of the following financial transactions (select 

Yes or No):

Opening/Closing Bank Accounts [Financial: Leadership Approval 

Opening/Closing Bank Accounts]

Opening Lines of Credit [Financial: Leadership Approval Opening Lines 

of Credit]

Assigning Credit Cards [Financial: Leadership Approval Assigning 

Credit Cards]

Buying/Selling Property [Financial: Leadership Approval Buying/Selling 

Property]

Financial Investment/Divestment [Financial: Leadership Approval Financial 

Investment/Divestment]

Has the organization issued loans to an employee or officer of the 

organization or forgiven/written-off any loans or debts in the last year?

[Financial: Loans to Employees/Debt Write 

Offs]

Please identify who is authorized to write-off any debt owed to the 

organization as a bad debt.

[Financial: Staff Authorized to Write-off Debt]

Has the organization experienced cash flow deficits an any point in the 

previous 2 years?

[Financial: Cash Flow Deficit]

Compliance

Has the organization received federal funds for similar programs or projects? [Compliance: Recipient of Similar Federal 

Funding]

If so, has your organization met federal program requirements for similar 

programs?

[Compliance: Met Requirements for Similar 

Program]

Has an audit been performed on the organization’s financial accounts? [Compliance: Audit Performed on Financial 

Accounts]

If so, what was the audit opinion? [Compliance: Audit Opinion]

If applicable, has the organization addressed any outstanding deficiencies 

identified in the most recent audit?

[Compliance: Outstanding Audit Deficiencies 

Addressed]

Please provide any clarifications or similar remarks/information in the section below (optional):

[Preparer Comments]

Preparer’s Certification

Preparer’s Name (First, Last) [Preparer Name]

Preparer’s Position Title [Preparer Position Title]

I certify that the above information is complete and correct to the best of my 

knowledge and ability.

[Preparer Certification]

Date of Certification [Preparer Certification Date]

Privacy Statement -- In compliance with the Privacy Act of 1974, the following information is provided: The collection of this information is 

authorized by the provisions of the National and Community Service Act of 1990, by the National and Community Service Trust Act of 1993, and 

the Serve America Act of 2009. The primary purpose of the information is to determine if appropriate systems are in place to manage federal 

grant funds or, if not, to identify training and technical assistance a grantee may need to develop or enhance appropriate systems. Completion 

of this survey is required as an element of CNCS’ pre-award risk assessment process. The information provided will be maintained and treated 

confidentially. However, appropriate federal, state, and local law enforcement entities may request and obtain this information under certain 

circumstances. Otherwise, the information provided will not be disclosed without express written permission.