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OSM/\0:'1 

DEPARTMENT OF THE 

Funds 

2 • SUIIIIIl8.rv. 

a. Field Office Directors are required to: 

,,, obtain budget 

4.b.(l)). 

information ' from States (par. 

b. Assistant Directors, Field Operations are required to: 

(1) analyze field office budget submissions and 

provide information and recommendations to the Assistant 

Director, Program Policy (par. 4.b. (2)), and 

,, ) adjust State allocations as necessary. (par. 

4.b.(4)). 

c. Assistant Directors for Field operations have the 

authority to adjust allocations within the limitations of their 

suballotment (4.C. (4)). 

3. Definitions. 

a. 

OSM to 

The distribution of appropriated funds by 

b. Suballotment. Transfer of SOAP funds to OSM Field 

Operations accounts, along with the fiscal and legal 

responsibility for these funds. All such transfers are subject 

to the Anti-Deficiency Act, Section 3679, revised statute. 

d. Operational grant. A grant to a state to pay for 

authorized services in the SOAP on behalf of approved applicants. 
e. Bacgyarad funds. SOAP funds obligated under a grant or 

contract in a previous fiscal year which have become available in 

the current year by virtue of a deobligation resulting in unused 

fund authority. A deobligation of current fiscal-year funds is 

not a recovery. 

4. Policy/Procedures. 

a. The basis for approving state allocations and 

""'b'•o•i~:•·~ consist of budget information routinely supplied by the States. The basis for approving Federal 

allocations and suballotrnents shall consist of budget information 

supplied by the Field Office Directors. state and Federal budget 

information shall be analyzed, revised as appropriate by OSM 

officials and acted upon by the Deputy Director, Operations and 

Technical Services. Recovered SOAP funds shall be reallotted for 

the specific purpose of the program. 

b. Responsibilities. 

(1) Field Office Directors (FOD) shall obtain annual 

budget projections and budget update information from their 

states 18 months and 3 months prior to the applicable Federal 

fiscal year as specified in 30 CFR 735.13. FODs shall review the 

information and provide budget recommendations to the Assistant 

Directors, EasternjWestern Field Operations. FODs shall provide 

budget recommendations for any Federal SOAP within their area of 

responsibility. 

(2) Assistant Directors, EasternjWestern Field 

Operations shall analyze the FOD recommendations, and provide 

budget recommendations with supporting documentation and reports 

as specified in paragraph (5.) of this directive to the Assistant 

Director, Program Policy. 

(3) The Assistant Director, Program Policy shall 

review the Assistant Directors•, EasternjWestern Field Operations 

budget recommendations and provide recommendations for 

suballotments and State allocations to the Deputy Director, 

Operations and Technical Services. 

(4) The Chief, Division of Budget, Planning and 

Management Analysis shall insure that proposed suballotments do 

not exceed available funds and shall prepare the necessary 

suballot:ment forms for signature/approval by the Deputy Director, 

Operations and Technical Services. 

(5) The Deputy Director, operations and Technical 

Services shall approve or disapprove recommendations for funding 

and shall provide written suballotrnents to the Assistant 

Directors, EasternjWestern Field Operations which contain State 

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allocations. The Deputy Director shall reallot recovered prioryear SOAP funds. The Deputy Director shall notify the Assistant 

Director, Program Policy of suballotments made to the Assistant 

Directors, Eastern/Western Field Operations. 

c. Procedures. 

(1) Budget information. The Assistant Directors, 

Eastern/Western Field Operations shall provide the following 

information each year to the Assistant Director, Program Policy: 

(a) Seventeen months prior to the Federal fiscal 

year for which an operational grant[s) will be requested 

(April 30), budget recommendations for each state or Federal 

regulatory program reflecting funding needs over the entire 

fiscal year. 

(b) Two months prior to the Federal fiscal year 

for which an operational grant will be requested (July 31), 

updated budget recommendations fer each State or Federal 

regulatory program reflecting funding needs ever the entire 

fiscal year. 

(c) Budget recommendations for each State shall 

to the extent practical, be based en information previously 

submitted en OSM Form 51-C, program management information, and 

OSM Form 47, budget information report. 

{2) Recommendations for Allocations. The Assistant 

Director, Program Policy shall develop recommendations tor 

suballotments and State allocations based on analysis of state 

budget information, Eastern/Western Field Operations and Field 

Office analyses, and available SOAP funds. The Assistant 

Director, Program Policy may combine several grant requests into 

one general allocation category for those States, who in the past 

have not used the grant funds or have used only a small 

percentage of the awarded funds. If available funds are less 

than those required to satisfy the updated state budget requests, 

the recommendations will be based on the proportion of each 

justified state budget to the total of all State requested and 

justified budgets. Alternately, the Assistant Director, Program 

Policy may base the allocation recommendation on a case-by-case 

evaluation of individual grant requests. If additional SOAP 

funds become available and State operational grant requests have 

not been fully funded, the Assistant Director, Program Policy 

shall provide additional recommendations for allocations and 

suballotments. Recommendations shall be made in writing to the 

Deputy Director, Operations and Technical Services through the 

Chief, Division of Budget, Planning and Management Analysis. 

(3) Suballotments. The Deputy Director, Operations 

and Technical Services shall provide written suballot:ments to the 

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Assistant Directors, EasternjWestern Field Operations which 

contain State allocations. The Chief, Division of Budget, 

Planning and Management Analysis shall certify that SOAP funds 

are available by signing the memorandum containing the 

recommendations of the Assistant Director, Program Policy, shall 

prepare the necesary suballotment forms and shall forward the 

recommendation memorandum and the suballotment forms to the 

Deputy Director, Operations and Technical Services for action. 

(4) Ad1uataent of allocations. The Assistant 

Directors, Eastern/Western Field Operations have the authority to 

adjust state allocations to meet unusual or unexpected 

conditions, within the limitations of their total suballotment. 

They shall notify the Assistant Director, Program Policy in 

writing of any adjustments and the reasons for them. 

5. Reporting Requirements. Submission to the Assistant 

Director, Program Policy: 

a. a projection of the SOAP contractual budget for each 

State 17 months (April 30) prior to the Federal fiscal 

year for which an operational grant will be requested. 

b. updated SOAP budget summary for each State two months 

(July 31) prior to the Federal fiscal year for which an 

operational grant will be requested. 

c. copies of approved grant documents (Form MB 212). 

d. copies of semi-annual progress reports (OSM Forms 51-C 

and 47, and Standard Form 269). 

e. copies of approved grant performance period and closeout extensions (Form MB 212). 

f, copies of approved grant close outs and deobligations 

of funds (Forms MB 212, OSM 61, and OSM 61A). 

6. Effect on other Documents. None 

'· ••!:~~;,,,sections 507(c) and 712(b) of the Act, 30 CFR 

Parts 5 OSM Directive FIN-5, Administration Control of 

Funds (January 1988), and OSM Director OPM-5, Delegation of 

Authority (January 29, 1988). 

8. Effective pate. Upon issuance. 

9. contact. Chief, Division of Technical Services, 343-1480. 

10. Kaywords. Small Operator Assistant Program, Grants, 

Allocation, Suballotment. 

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11. Appendices, None. 

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