[Federal Register Volume 66, Number 11 (Wednesday, January 17, 2001)]
[Notices]
[Pages 4584-4593]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-1177]



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Part XII

  



Department of Agriculture



Department of Energy



Small Business Administration



National Aeronautics and Space Administration



Social Security Administration



Department of Commerce



Department of State



Agency for International Development



Department of Housing and Urban Development



Department of Justice



Department of Labor



Department of the Treasury



Department of Defense



Department of Education



Department of Veterans Affairs



Environmental Protection Agency



Department of Interior



Federal Emergency Management Agency



Department of Health and Human Services



National Science Foundation



National Foundation on the Arts and the Humanities



Corporation for National Community Service



Department of Transportation



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Federal Financial Assistance Management Improvement Act of 1999; Notice

Federal Register / Vol. 66 , No. 11 / Wednesday, January 17, 2001 / 
Notices

[[Page 4584]]


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DEPARTMENT OF AGRICULTURE

DEPARTMENT OF ENERGY

SMALL BUSINESS ADMINISTRATION

NATIONAL AERONAUTICS AND SPACE ADMINISTRATION

SOCIAL SECURITY ADMINISTRATION

DEPARTMENT OF COMMERCE

DEPARTMENT OF STATE

AGENCY FOR INTERNATIONAL DEVELOPMENT

DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT

DEPARTMENT OF JUSTICE

DEPARTMENT OF LABOR

DEPARTMENT OF THE TREASURY

DEPARTMENT OF DEFENSE

DEPARTMENT OF EDUCATION

DEPARTMENT OF VETERANS AFFAIRS

ENVIRONMENTAL PROTECTION AGENCY

DEPARTMENT OF THE INTERIOR

FEDERAL EMERGENCY MANAGEMENT AGENCY

DEPARTMENT OF HEALTH AND HUMAN SERVICES

NATIONAL SCIENCE FOUNDATION

NATIONAL FOUNDATION ON THE ARTS AND THE HUMANITIES

CORPORATION FOR NATIONAL AND COMMUNITY SERVICE

DEPARTMENT OF TRANSPORTATION


Request for Comment; Interim/Draft Plan of Action To Implement 
Public Law 106-107, the Federal Financial Assistance Management 
Improvement Act of 1999

AGENCIES: Department of Agriculture, Department of Energy, Small 
Business Administration, National Aeronautics and Space Administration, 
Social Security Administration, Department of Commerce, Department of 
State, Agency for International Development, Department of Housing and 
Urban Development, Department of Justice, Department of Labor, 
Department of the Treasury, Department of Defense, Department of 
Education, Department of Veterans Affairs, Environmental Protection 
Agency, Department of the Interior, Federal Emergency Management 
Agency, Department of Health and Human Services, National Science 
Foundation, National Endowment for the Arts--National Foundation on the 
Arts and the Humanities, National Endowment for the Humanities--ional 
Foundation on the Arts and the Humanities, Institute of Museum and 
Library Services--National Foundation on the Arts and the Humanities, 
Corporation for National and Community Service, Department of 
Transportation.

ACTION: Notice; request for public comments

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SUMMARY: This notice is a request for comments, intended to help the 
Federal agencies satisfy the provisions of Public Law 106-107, the 
Federal Financial Assistance Management Improvement Act of 1999 
(henceforth ``the Act''), which requires each agency to develop and 
implement a plan that streamlines and simplifies the application, 
administrative, and reporting procedures for Federal financial 
assistance programs. The Act also requires the agencies to consult with 
representatives of non-Federal entities during the development and 
implementation of their plans.
    This notice and interim/draft plan of action reflect the joint 
effort of the Federal grant-making agencies listed in Section X, below, 
to meet the requirements of the Act. The plan is being published for 
public comment in the Federal Register and on the Internet at the U.S. 
Chief Financial Officers Council's Grants Management Committee home 
page (http://www.financenet.gov/fed/cfo/grants/grants.htm), pursuant to 
Section 5 of the Act. One intent of the agencies is to use the 
information gathered through this notice to identify additional areas 
of the grant life cycle which lend themselves to common practices and 
implementation.
    The Federal departments and agencies will refine this plan as the 
interagency, consultative effort identifies additional specific Federal 
Government actions needed to achieve the purposes of the Act. The 
initial plan will be submitted in May, 2001. As this plan evolves into 
more specific actions, the Federal agencies, after consultations with 
affected constituencies, will submit updated information to Congress in 
the annual implementation reports required by the Act.

Desired Focus of Comments

    The participating agencies request your comments on the Federal 
grantmaking process and the objectives outlined in this plan, 
particularly on the following questions. To the maximum extent 
possible, please provide specific information in your responses. For 
example, the name of the Federal program or the number of a particular 
form. This information will assist the agencies in their efforts to 
reform these programs.

I. Application and Reporting Forms

    A. Please identify application and reporting forms you believe 
could be improved or streamlined.
    B. Please identify specific data elements on these forms that you 
believe could be eliminated or combined to reduce reporting burden 
while still providing the Federal agency enough information to manage 
the program.
    C. What programs do you think could share common application and 
reporting forms that currently do not? Do not limit your response to 
programs within the same agency. For example, if there are programs 
administered by the Department of Agriculture and the Department of 
Health and Human Services that you believe should share common forms 
because they share a similar purpose, please identify them.
    D. How do you obtain copies of the forms you need for your grant? 
Are they readily available over the Internet, or are they provided in 
materials you received from your awarding agency, such as a funding 
notice or handbook? What forms have been difficult to locate in updated 
formats?

II. Terms and Conditions

    A. What terms and conditions are attached to your grants that you 
believe are not treated consistently from program to program, and 
across the various Federal agencies?
    B. How would you suggest the agencies create more uniformity in 
these terms and conditions?

III. Payment Systems

    A. What payment systems are you currently required to use to 
receive grant payments?
    B. Which of these systems offer on-line services?
    C. Does the use of multiple payment systems by Federal agencies 
cause a burden on your financial system?

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IV. Audit Issues

    A. What could the Federal agencies do to improve your understanding 
of the Single Audit process?
    B. Have you used the Single Audit Clearinghouse to obtain 
information on subrecipient audits?
    C. Do you believe that single audits provide appropriate audit 
coverage for your programs and the programs where you are a pass-
through entity?

V. Electronic Processing

    A. What electronic processing systems do you currently use for your 
Federal grants? Please note any systems you use due to Federal agency 
requirements, as well as any systems or technologies your organization 
uses for other activities.
    B. What is the likelihood that your organization would utilize an 
on-line application or financial reporting system?
    C. How can the agencies best prepare your organization for the 
future use of electronic processing option for your grants?

DATES: Comments in response to this notice must be received on or 
before March 19, 2001. Each Federal agency will submit an 
implementation plan to OMB and Congress before May 20, 2001 and report 
annually thereafter.

ADDRESSES: General comments on this notice, and those relating to more 
than one Federal agency, should be addressed to: Attn: PL 106-107 
Comments, Department of Health and Human Services, 200 Independence 
Avenue, SW, Room 517-D, Washington, DC 20201. Comments may also be 
transmitted by E-mail (<a href="/cdn-cgi/l/email-protection#8dddc1bcbdbbbcbdbacde2fea3e9e5e5fea3eae2fb"><span class="__cf_email__" data-cfemail="a5f5e9949593949592e5cad68bc1cdcdd68bc2cad3">[email protected]</span></a>) or by fax, (202) 690-8772. 
Comments that are specific to a particular Federal agency or program 
should be directed to the agency's contact listed at the end of this 
notice.

FOR FURTHER INFORMATION CONTACT: For general questions regarding this 
notice, please contact Rodd Clay, Office of Grants Management, 
Department of Health and Human Services by E-mail (<a href="/cdn-cgi/l/email-protection#14667778756d547b673a707c7c673a737b62"><span class="__cf_email__" data-cfemail="c7b5a4aba6be87a8b4e9a3afafb4e9a0a8b1">[email protected]</span></a>) 
or phone at (202) 690-8723; for the hearing impaired only: TDD 202-690-
6415. For agency-specific issues, please contact the agency's contact 
listed at the end of this notice. Additional information regarding the 
agencies' reform efforts may be found at the Chief Financial Officers 
(CFO) Council's Grants Management Committee home page (http://www.financenet.gov/fed/cfo/grants/grants.htm).

SUPPLEMENTARY INFORMATION:

I. Purpose

    This interim/draft plan of action is being presented for public 
comment. It was developed jointly by the Federal grant-making agencies 
listed in Section X, below, to meet the requirements of the Financial 
Assistance Improvement Act of 1999 (Public Law 106-107, henceforth 
``the Act''). It sets out broad goals and objectives; describes an 
ongoing, coordinated interagency effort to implement the Act in 
consultation with non-Federal entities; and details accomplishments in 
some areas. The Federal agencies will refine this plan as the 
interagency, consultative effort identifies additional specific Federal 
Government actions needed to achieve the purposes of the Act. As this 
plan evolves into more specific actions, the Federal agencies, after 
consultations with affected constituencies, will submit updated 
information to Congress in the annual implementation reports required 
by the Act. This plan and the comments received will help the agencies 
to meet the requirements of the Act.

II. Background

    Federal programs providing financial assistance comprise a large 
and diverse enterprise with widely varying purposes and recipient 
communities. The Catalog of Federal Domestic Assistance lists hundreds 
of programs in more than 25 Federal grant-making agencies with 
approximately $300 billion in annual expenditures. The programs 
stimulate or support a wide variety of public purposes in areas such as 
health, social services, law enforcement, agriculture, housing, 
community and regional development, education and training, and 
research.

III. Statutory Requirement

    In enacting Public Law 106-107, Congress expressed concern that 
some requirements related to the award and administration of Federal 
financial assistance may be duplicative, burdensome, or conflicting, 
thus impeding the cost-effective delivery of services. Congress further 
found that State, local, and tribal governments and private, nonprofit 
organizations must deal with increasingly complex problems that require 
the delivery and coordination of many kinds of services and result in 
complex grant administration. To address these concerns, the Act 
requires each Federal agency to develop and implement a plan, with the 
direction, coordination and assistance of the Director of the Office of 
Management and Budget (OMB), in consultation with representatives of 
non-Federal entities, that:
    <bullet> Streamlines and simplifies the application, 
administrative, and reporting procedures for Federal financial 
assistance programs administered by the agency;
    <bullet> Demonstrates active participation in an interagency 
process to:

    --Streamline and simplify administrative procedures and reporting 
requirements for non-Federal entities receiving Federal financial 
assistance;
    --Improve interagency and intergovernmental coordination of 
information collection and sharing of data pertaining to Federal 
programs providing financial assistance; and
    --Improve the timeliness, completeness, and quality of information 
received by Federal agencies from financial assistance recipients;
    <bullet> Demonstrates appropriate agency use, or plans for use, of 
a common application and reporting system that includes:

    --A common application or set of common applications, whereby a 
non-Federal entity can apply for Federal financial assistance from 
multiple Federal programs that serve similar purposes and are 
administered by different Federal agencies;
    --A common system, including electronic processes, whereby a non-
Federal entity can apply for, manage, and report on the use of 
financial assistance funding from multiple Federal programs that serve 
similar purposes and are administered by different Federal agencies; 
and
    --Uniform administrative rules for Federal financial assistance 
programs across different Federal agencies;
    <bullet> Designates a lead agency official for carrying out the 
responsibilities of the agency under the Act;
    <bullet> Allows applicants the option to electronically apply for, 
and report on the use of, funds from programs of the agency that 
provides financial assistance;
    <bullet> Ensures that recipients of financial assistance provide 
timely, complete, and high quality information in response to Federal 
reporting requirements; and
    <bullet> Establishes, in cooperation with recipients of financial 
assistance, specific annual goals and objectives to further the 
purposes of the Act and measure annual performance as part of

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the agency's planning responsibilities under the Government Performance 
and Results Act of 1993 (Public Law 103-62).

IV. Goal

    An appropriate interagency structure for accomplishing all aspects 
of this Act has been established, and the Federal agencies have agreed 
on a common goal: To maximize the effectiveness with which Federal 
financial assistance programs support the accomplishment of their 
purposes, consistent with good stewardship of public funds and 
accountability.
    Several agencies have already undertaken efforts to identify common 
grant process flows and to streamline business practices. These 
agencies are continuing to work to identify and establish performance 
measures to effectively manage and track grantee use of funds. They 
have also been developing electronic systems for the entire grants life 
cycle which will support these efforts.
    While there have been many studies, reports, and attempts at 
Federal financial assistance simplification in the past, a 
comprehensive, Government-wide review of this magnitude has not been 
undertaken since a standardization effort entitled, ``Federal 
Assistance Review'' was undertaken in 1969. That review, which took 
three years to complete, significantly reduced burdens on recipients 
and improved the uniformity among Federal agencies' assistance awards 
to governmental organizations. For example, it led to the issuance of 
OMB Circulars A-87 and A-102, which contain cost principles and uniform 
administrative requirements for awards to governmental organizations. 
It also resulted in a standard application: The Standard Form 424.
    Similarly, the new interagency effort described in the next section 
of this plan is a multi-year effort. As it progresses, the Federal 
agencies will identify more specific goals, objectives and solutions, 
as the Act requires. Therefore, this plan is necessarily an interim/
draft plan. It will evolve as the Federal agencies, in conjunction with 
their non-Federal partners, continue to identify problems to be 
addressed, devise ways to solve them, and specify the expected 
outcomes.

V. Process

A. Interagency Approach

    Central to the development of the plan and its implementation is 
the active participation in an interagency process, with direction, 
coordination and assistance from OMB, in consultation with 
representatives of non-Federal entities. The Director of OMB charged 
the Grants Management Committee (``the Committee'') of the Chief 
Financial Officers (CFO) Council to perform most of the work required 
in coordinating the interagency, consultative effort to meet the 
objectives of the Act. The Committee is chaired by the Deputy Chief 
Financial Officer of the Department of Health and Human Services (HHS), 
which is assisting OMB as the lead agency for implementation of the 
Act. All Federal grant-making agencies are participating through the 
Committee, and therefore, are developing this coordinated and 
consistent implementation plan with respect to the requirements of the 
Act. The Committee established four streamlining and simplification 
work groups to conduct the effort, chaired by representatives of 
various agencies. It also created a General Policy and Oversight Team 
to examine crosscutting issues and to oversee the progress of the work 
groups. Serving as co-chair of this oversight team along with HHS, OMB 
directs, coordinates and assists the process, and addresses individual 
agency and other related problems. The four streamlining and 
simplification work groups are the Pre-Award, Post-Award, Audit 
Oversight, and Electronic Processing work groups.

B. Public Consultations

    One cornerstone of the interagency effort is consultation with 
representatives of non-Federal entities that apply for and receive 
Federal financial assistance. The consultation process began soon after 
enactment of Public Law 106-107, when several individual agencies 
posted information about the Act on their home pages. The agencies 
asked for comments and suggestions about the Federal processes for 
providing financial assistance. As they received input, they shared it 
with officials in other Federal agencies.
    The Grants Management Committee reinforced and expanded those early 
efforts in two ways. First, it created a central Web site for 
information about the interagency process in general and the four work 
groups more specifically. The Web site allows the public to 
electronically submit comments and suggestions directly to the work 
group members who need it, which gets the input to them more rapidly 
and efficiently. Secondly, through its General Policy and Oversight 
Team and with assistance of the work group chairs, the committee 
conducted five public consultation meetings with the major recipient 
constituencies-States, local governments, tribal governments, 
universities and nonprofit organizations that conduct research, and 
other nonprofit organizations.
    The consultation meetings provided the work groups with a variety 
of insights on issues that need to be addressed in the Act's 
implementation. These included specific examples, by agency and by 
program, of areas requiring attention and, in some cases, concrete 
suggestions for improvement. The public comments at the consultation 
meetings raised several significant issues of a crosscutting nature, 
such as those related to Native American tribal entities and to rural 
access and infrastructure (described in Section VI. A. of this plan). 
They also raised issues related to the different phases of the 
financial assistance process--pre-award, post-award, and audit--as well 
as with the technology that will support the process.
    Non-Federal organizations, in general, are concerned with the 
announcement of funding opportunities, including the availability of 
information, its clarity (e.g., clear statements of eligibility), and 
the time allowed for application preparation and submission. They also 
indicated a need for greater commonality in award requirements across 
agencies, including more consistent reporting requirements in terms of 
both content and timing. While there is widespread support in the non-
Federal constituencies for making the process less paper intensive and 
using the electronic option, the participants in some of these sessions 
reminded the Federal agencies of the real limitations (e.g., personnel, 
equipment, and access) they face and the need to ensure that training 
and technical assistance are available.
    Further information about these consultation meetings, including 
summaries of public comments, is available on the Committee's home page 
(http://www.financenet.gov/fed/cfo/grants/grants.htm). The work groups 
and individual Federal agencies will continue to consult with 
recipients throughout the interagency streamlining and simplification 
effort.

C. Prior and Ongoing Efforts

    A second cornerstone of the interagency process is to build on what 
has already been done or is already underway. There were numerous 
streamlining and simplification initiatives underway before the 
enactment of Public Law 106-107, although not of the magnitude called 
for by the Act. Some affected a particular set of activities, such as 
research, or a particular agency's programs. An example is the Federal 
Demonstration

[[Page 4587]]

Partnership (FDP), an organization comprising 11 Federal awarding 
offices and 65 universities and nonprofit organizations, which already 
has made and is continuing to make more uniform these 11 Federal 
offices' applications, terms and conditions, and reporting 
requirements.
    The Committee's work groups will build upon the results of groups 
like the FDP and prior or ongoing streamlining efforts of individual 
agencies and non-Federal entities. The work groups will use successful 
initiatives as models that may be expanded if they have broader 
applicability to more Federal agencies, to more Federal programs for 
other purposes, and to more of the many recipients of Federal grants 
and cooperative agreements.
    In addition, the Committee has integrated several on-going 
Government-wide initiatives into its four new work groups, to increase 
the initiatives' priority and accelerate them. These include:
    <bullet> The Interagency Committee on Debarment and Suspension 
which, with OMB's support, has been working to simplify and update the 
Government-wide common rule on debarment and suspension. The work of 
this committee has been integrated into the Pre-Award Work Group.
    <bullet> The Committee's prior subcommittees that began the 
streamlining initiatives related to grantees' payments. One effort led 
to a policy decision, now being implemented, to consolidate numerous 
civilian agency payment systems into two systems (The Department of 
Defense will use the Defense Procurement Payment System). The efforts 
of the Committee's prior work have been incorporated into the Post-
Award Work Group.
    <bullet> The Interagency Electronic Grants Committee (IAEGC) that 
has established a standard transaction set for electronic submission of 
applications for grants and cooperative agreements, and is working 
toward a Government-wide system for applicant and recipient electronic 
business interactions with Federal awarding agencies. The IAEGC co-
chairs are leading the Electronic Processing Work Group and electronic 
interagency grant coordination activities.
    <bullet> The Single Audit Compliance Supplement Core group has been 
responsible for producing the annual update to the Compliance 
Supplement required by OMB Circular A-133. The group provides the 
information needed by auditors to guide them to the major compliance 
areas they should review in their single audit of Federal programs. The 
group ensures that compliance requirements are valid and up-to-date.

VI. Specific Projects

    At the outset of the interagency, consultative process, the 
Committee identified specific projects for the General Policy and 
Oversight Team and the four work groups. As the effort progresses, the 
list of specific projects may be modified. The following paragraphs 
describe the projects being undertaken by each work group.
    For most tasks, a goal is to have more uniform approaches across 
the many Federal agencies, at least when their programs have similar 
purposes. This involves three phases. The first phase is to establish 
what Federal agencies are doing today, as a baseline from which any 
improvements would be made. Data is being compiled from a number of 
sources, to help establish the scope of the undertakings and identify 
representative samples of Federal programs for detailed analysis. Input 
from applicants and recipients is being reviewed regarding the problems 
that they see with the way things are today.
    The second phase of the effort is a critical assessment to 
determine which requirements and problems are candidates for 
elimination, streamlining or improvement. The groups must question the 
rationale for current requirements, particularly requirements that are 
not uniform across Federal agency programs with similar purposes and 
recipients.
    The third and final phase is to assist OMB develop recommendations 
for the Committee and Congress.

A. General Policy and Oversight Team

    The General Policy and Oversight Team is overseeing the progress of 
the work groups, and examining crosscutting issues and entitlement 
grant regulatory coverage. It is providing direction and assistance, 
and is coordinating interagency work groups' activities in their 
endeavors to improve the delivery of services to the public. A proposed 
budget has been developed based on an examination of resources 
available through the CFO Council to implement the Act.
    One objective is to ensure that recipients provide timely, 
complete, and high quality information in response to Federal reporting 
requirements. Other objectives include streamlining and simplifying 
administrative requirements and procedures for Federal financial 
assistance programs; and improving the effectiveness and performance of 
programs by facilitating greater coordination among Federal agencies 
responsible for delivering services to the public, e.g., to bring more 
coordination to the administrative process, particularly for similar 
programs.
    In addition, this team will review and prioritize three areas of 
concern that arose during public consultation meetings with recipient 
communities. The team will consider these issues as tasks for possible 
expansion and/or assignment to one or more of the four work groups:
(1) Native American Tribal Entities
    The objective of this task will be to study and address several 
issues unique to Native American tribal entities, such as developments 
under the Indian Self-Determination Act.
(2) Rural Access and Infrastructure
    The objective of this task will be to examine problems related to 
access or infrastructure, as these problems affect the ability to 
participate in Federal financial assistance programs. For example, 
public comments highlighted that some rural and other participants 
encounter barriers due to communications infrastructure, including 
computers and high-speed transmission lines needed for optimal Internet 
access and electronic commerce with Federal agencies.
(3) Grantee Ombudsman
    Due to the many issues raised by non-Federal grantees, the 
objective of this task would be to assess the extent to which 
requirements may be duplicative or unduly burdensome.

B. Pre-Award Work Group

    The Pre-Award Work Group currently has three tasks: applications, 
terms and conditions, and debarment and suspension. The current plans 
for these projects are described in the following paragraphs.
    To carry out the first two tasks, the work group created two 
subgroups based on recipient type. One subgroup will look at 
requirements for States, local and tribal governments, and nonprofit 
organizations participating in Federal programs for purposes other than 
research. The other subgroup will look at universities and nonprofit 
organizations that administer research awards. The work group's 
analysis of Federal funding data suggested that the two subcategories 
of nonprofit organizations are different sets of organizations. As the 
subgroups make progress on these two tasks, they may organize their 
work so as to recognize other types of recipients (e.g., for-profit 
firms) and specific functions (e.g., construction).

[[Page 4588]]

(1) Applications
    The objective of this task is to streamline and simplify 
application or proposal requirements and procedures for Federal 
financial assistance programs administered by the agencies.
    The focus is on the types of information that Federal agencies 
require applicants or proposers to submit as a prerequisite to 
obtaining Federal funds, whether in paper form or electronically. The 
intent is to achieve greater consistency in the requirements of the 
many Federal agencies, particularly where programs have similar 
purposes. The goal of this group is to propose a standard set of data 
elements for application forms or electronic transaction sets, which 
will address more common formats.
(2) Terms and Conditions
    The objective of this task is to streamline and simplify Federal 
agencies' grant terms and conditions, through which agencies 
communicate post-award requirements to recipients. This task includes 
eliminating unnecessary requirements and unjustified differences among 
the various awarding agencies (e.g., in the language used and the 
placement of various provisions within the award document). This task 
also includes developing a model or standard set of terms and 
conditions, as well as standard assurances of compliance with 
applicable national requirements.
(3) Debarment and Suspension
    This task involves completion of ongoing work of the existing 
Interagency Committee on Debarment and Suspension to simplify and 
update the Government-wide common rule on nonprocurement debarment and 
suspension, which also contains the Government-wide regulation 
implementing the Drug-Free Workplace Act of 1988. The Committee is 
drafting the rule in plain language format to make it easier to 
understand and use. The updated rule will be published as a Notice of 
Proposed Rulemaking in the Federal Register, with an opportunity for 
the public to comment.

C. Post-Award Work Group

    The Post-Award Work Group has five tasks: reporting, agencies' 
payment systems, cost principles, grant financial system requirements, 
and pooled payments. These tasks will be addressed primarily in 
subgroups, and are described in the following paragraphs.
(1) Reporting
    The objective of the first task is to review, streamline and 
simplify reporting requirements and procedures for Federal grant and 
cooperative agreement programs administered by the agencies.
    This includes the development of more standard reports, 
particularly among programs that serve similar purposes and are 
administered by different Federal agencies. The current work group 
focus is on the types of information that Federal agencies require a 
recipient to submit for like programs, whether in paper form or 
electronic, and establishing necessary data elements for common forms/
transaction sets. One goal is to consolidate forms, including 
specialized OMB-approved forms for major Federal programs, and ensure 
that instructions are clear.
    Another goal is to improve the effectiveness and performance of 
programs by facilitating greater coordination among Federal agencies 
responsible for delivering services to the public, particularly for 
similar programs.
(2) Agencies' Payment Systems
    On June 16, 1998, the CFO Council approved a plan to have non-
Defense agencies select either the HHS Payment Management System (PMS) 
or the Automated Standard Applications for Payments (ASAP) operated by 
the Treasury's Financial Management Service and the Federal Reserve 
Bank of Richmond for use in making payments to their grantees. The 
Department of Defense will use the Defense Procurement Payment System. 
The work group will continue to monitor agency progress in implementing 
this plan.
(3) Cost Principles
    One objective is to establish uniform administrative rules for 
programs that cross agency lines. The goal in this area is to improve 
the consistent use of language and terminology in describing the 
requirements that are similar in the OMB cost principles (Circulars A-
21, A-87 and A-122). Currently there are differences in language, 
interpretation, and description for many items that basically have the 
same requirements. More consistent use of language and terminology 
among the circulars will improve the relationship between grantees, the 
Federal agencies, and external auditors. Adding new restrictions or 
eliminating current ones, is not an objective.
    In addition, the work group will review widely varying agency 
implementations of Circular A-110 and differing interpretations of 
Circulars A-102 and A-110, and other crosscutting regulations, are also 
being reviewed. However, revision of these circulars and the 
regulations themselves is not a current focus of the work group.
(4) Grant Financial System Requirements
    The work group will monitor agency progress in implementing the 
Grant Financial System Requirements, the first functional requirements 
document issued for grant financial systems of the Federal Government. 
It is one of a series of functional system requirements documents 
published by the Joint Financial Management Improvement Program (JFMIP) 
on Federal financial management systems requirements.
    The Federal Financial Management Improvement Act of 1996 mandated 
that agencies implement and maintain systems that comply substantially 
with Federal financial management systems requirements, applicable 
Federal accounting standards, and the U.S. Government Standard General 
Ledger (SGL) at the transaction level. This act codified JFMIP 
financial systems requirements as a key benchmark that agency systems 
must meet, in order to be substantially in compliance with systems 
requirements provisions.
    This document is intended to identify financial system requirements 
necessary to support grants programs. It is intended to assist system 
analysts, system accountants, and others who design, develop, 
implement, operate, and maintain financial management systems.
(5) Pooled Payments
    On May 1, 2000, an advance notice of proposed revision to Circular 
A-110, that would require Federal awarding agencies to offer recipients 
the option to request cash advances on a ``pooled'' basis, was 
published in the Federal Register (65 FR 25396). Comments were sought 
on the merits of pooled payment systems and grant-by-grant payment 
systems. In that all comments have been received and analyzed, it is 
the intent of this group to clarify differing positions on the issue 
and specify when pooling is applicable.

D. Audit Oversight Work Group

    The Audit Oversight Work Group's task is to streamline and simplify 
audit-related requirements and services. The plans for this project 
include examining the services provided by the Federal Audit 
Clearinghouse (FAC) to determine where improvements can be made to 
reduce the burden on auditors and auditees in complying with OMB 
Circular A-133, and improving those FAC services.

[[Page 4589]]

    The work group will suggest changes to the FAC procedures to 
improve the FAC's dissemination of audit information to the public and 
Federal agencies, its assistance to Federal cognizant and oversight 
agencies in obtaining OMB Circular A-133 data and reporting packages, 
and the FAC's services provided to assist OMB's oversight and 
assessment of Federal award audit requirements. The work group will 
also study ways to improve the FAC's home page, the outputs of the FAC, 
and methods to identify and follow-up on delinquent audits.
    Additional goals include improving single audit coverage of 
critical areas identified by program officials; analyzing the adequacy 
of methods to assess and measure single audit quality (e.g., quality 
control reviews) to support Federal agency reliance on single audits; 
providing general information on the process, responsibilities, and 
role of the FAC; updating the Data Collection Form (Form SF-SAC); 
providing annual updates to the Compliance Supplement; and producing an 
overview of the single audit process to better inform recipients and 
funding officials of the purposes and benefits of the single audit 
process and the FAC.

E. Electronic Processing Work Group

    The Electronic Processing Work Group is chaired by the two co-
chairs of the Interagency Electronic Grants Committee. Its task is to 
enable effective use of electronic commerce throughout the Federal 
financial assistance community, including a common application, 
administrative and reporting system, and information collection and 
sharing. This work group will assist and provide electronic solutions 
to the other work groups in their endeavors. Plans are described in the 
following paragraphs.
(1) Common Application, Administrative and Reporting System
    One goal is to allow applicants the option to electronically apply 
for, and report on the use of funds. This includes the development and 
use of a common application, administrative and reporting system for 
funding from multiple programs administered by different Federal 
agencies.
    These electronic options will be accomplished through the 
establishment of a comprehensive, one-stop Federal Gateway for 
electronic grants processing: the Federal Commons. Given adequate 
funding, the Federal Commons will be developed and supported as the 
common face for E-Commerce over the entire grants life cycle, offering 
both general information exchange and secure electronic transaction 
processing. The Federal Commons would allow each grantee to choose how 
it conducts business with the Federal government, i.e., translate 
whatever technology the grantee uses to a single standard; provide 
electronic search capability; and possibly be housed at HHS.
    Several pilots are underway. If successful, they will be developed 
as modules of the Federal Commons. The first of these is based on the 
FedBizOpps.Gov site (maintained by the General Services Administration) 
for posting procurement opportunities. A contractor will develop a 
parallel, but separate, system based on the Federal Register that will 
be Web searchable. In addition to their work on Transaction Set 194 and 
current activity broadening, as necessary, for the non-research 
community, they are beginning to develop data standards for reporting.
    Short term plans for the electronic option include supporting work 
groups, continuing to pilot test, using successful pilots to develop 
modules, rolling-out modules when ready, and deploying the Federal 
Commons across agencies. Longer term plans include developing data 
standards for reporting, enhancing Federal Commons modules using 
products/end results of work groups, expanding use of the Federal 
Commons across agencies, and eliminating unnecessary categorical 
barriers which impede true streamlining efforts.
(2) Grantee Information Collection and Sharing
    The second goal is to improve interagency and intergovernmental 
coordination of information collection, and sharing of uniform data 
pertaining to financial assistance programs. It applies to grant 
recipients, not recipients of services, and it must be consistent with 
privacy and confidentiality constraints.
    This coordination and sharing would be accomplished through the 
Federal Commons, with the development of a single information release 
form that allows ``boiler-plate'' information (including certifications 
and assurances) to be shared across Federal programs, so that 
participating grantees need not repeat the same information for each 
grant and Federal agency. Electronic processes would be available for 
interactive dialogue and updating. The form could be filed once, easily 
pulled up, referenced, and updated.

VII. Accomplishments

    The following is a list of accomplishments that have been or are 
expected to be completed by May, 2001, or for which there will be a 
short-term plan for resolution.
    <bullet> State, local government, tribal government, research, and 
other nonprofit entity consultation meetings conducted;
    <bullet> The Joint Financial Management Improvement Program (JFMIP) 
standards for grants/financial systems issued. These are standards for 
financial transactions that are part of any grants management 
information system;
    <bullet> Federal Commons concept: a single common portal for secure 
E-Grants Business. Five initial pilots have been successfully completed 
and are in the process of integration testing with three Federal 
agencies--the User Registration, Account Administration, Organizational 
Profile, Professional Profile, and Application Status Checking modules;
    <bullet> Data standards developed for grant application, 
organizational and professional profiles, and grant award (promulgated 
by the National Institute for Standards and Technology);
    <bullet> Data dictionary developed for all grants transactions as a 
result of in-depth reviews by interagency teams of the data elements 
used for grants administration;
    <bullet> Focus/forum for E-grants;
    <bullet> Federal commons electronic user administration completed 
(includes organization profile and professional profile capability);
    <bullet> Debarment and suspension regulatory action;
    <bullet> Entitlement grant regulatory coverage;
    <bullet> Civilian agency conversion to HHS/Treasury payment 
systems;
    <bullet> Pooled payment issues clarified in Federal Register;
    <bullet> Audit clearinghouse form (SF-SAC revised); and
    <bullet> Audit compliance supplement update issued

VIII. Time Frames/Conclusion

    This effort will continue toward the establishment of further 
specific annual goals and objectives, and an interim plan will be 
submitted to Congress by May 20, 2001. However, this is a work in 
progress and completion is expected to take up to five years. 
Implementation of most aspects is expected by 2002, and the electronic 
option is expected to be functional by 2003.
    We recognize the tremendous importance of Federal financial 
assistance programs and the services they provide, and are strongly 
committed to the accomplishment of the objectives of the Act. We are 
committed to making improvements in the areas described, and continuing 
to develop additional specific annual goals and objectives.

[[Page 4590]]

    Implementation can only be accomplished with full-time resources, 
so the CFO Council is working with OMB, the Chief Information Officers 
Council, and the Procurement Executives Council to secure the necessary 
funding for this multi-year effort.

IX. Potential Recommendations to Congress

    Section 6 of the Act requires OMB to submit a report to Congress 
containing recommendations for changes in law to improve the 
effectiveness, performance, and coordination of Federal financial 
assistance programs. Therefore, a very important part of the 
interagency process described in Sections V and VI of this plan will be 
an assessment of the statutory impediments to accomplishing the 
streamlining and simplification that Public Law 106-107 intends. OMB 
will coordinate this assessment.

X. Individual Agency Commitments to the Interagency Process

    The following agencies have jointly submitted the above-described 
plan for implementation of Public Law 106-107; are actively 
participating in the interagency process described in Sections V and VI 
of this plan; support the designation and use of the Federal Commons as 
the single portal for electronic business interactions with non-Federal 
entities related to grants award and administration; and will identify 
and address in their respective resource allocation processes the 
necessary agency resources, including both human and financial 
resources, to interconnect internal agency organizations and systems 
with the Federal Commons and otherwise implement this plan:
    Department of Agriculture, Department of Energy, Small Business 
Administration, National Aeronautics and Space Administration, Social 
Security Administration, Department of Commerce, Department of State, 
Agency for International Development, Department of Housing and Urban 
Development, Department of Justice, Department of Labor, Department of 
the Treasury, Department of Defense, Department of Education, 
Department of Veterans Affairs, Environmental Protection Agency, 
Department of the Interior, Federal Emergency Management Agency, 
Department of Health and Human Services, National Science Foundation, 
National Endowment for the Arts--National Foundation on the Arts and 
the Humanities, National Endowment for the Humanities--National 
Foundation on the Arts and the Humanities, Institute of Museum and 
Library Services--National Foundation on the Arts and the Humanities, 
Corporation for National and Community Service, Department of 
Transportation.

XI. Lead Agency Officials

    The following is a list of the participating agencies' designated 
lead agency official for carrying out the responsibilities of the 
agency under Section 5(a)(4) of the Act and, in some cases, additional 
contact information.

Department of Agriculture

    Patricia Healy, Deputy Chief Financial Officer, 202-720-7407, 
<a href="/cdn-cgi/l/email-protection#a3d3cbc6c2cfdae3c0c5cc8dd6d0c7c28dc4ccd5"><span class="__cf_email__" data-cfemail="adddc5c8ccc1d4edcecbc283d8dec9cc83cac2db">[email protected]</span></a>.

Department of Energy

    Trudy Wood, Office of Procurement and Assistance Policy, Office of 
Procurement and Assistance Management, 202-586-5625, 202-586-0545 
(Fax), <a href="/cdn-cgi/l/email-protection#1165636475683f667e7e755161633f757e743f767e67"><span class="__cf_email__" data-cfemail="acd8ded9c8d582dbc3c3c8ecdcde82c8c3c982cbc3da">[email protected]</span></a>.

Small Business Administration

    Sharon Gurley, Director, Office of Procurement and Grants 
Management, 202-205-6622, 202-205-6821 (Fax), <a href="/cdn-cgi/l/email-protection#42312a23302d2c6c2537302e273b023120236c252d34"><span class="__cf_email__" data-cfemail="32415a53405d5c1c5547405e574b724150531c555d44">[email protected]</span></a>.

National Aeronautics and Space Administration

    David Havrilla, Senior Systems Accountant, 202-358-2482, 202-359-
2952 (Fax), <a href="/cdn-cgi/l/email-protection#b5d1ddd4c3c7dcd9d9f5dbd4c6d49bd2dac3"><span class="__cf_email__" data-cfemail="ea8e828b9c98838686aa848b998bc48d859c">[email protected]</span></a>.

Social Security Administration

    Tom Staples, Deputy Chief Financial Officer, 410-965-3504, 
<a href="/cdn-cgi/l/email-protection#d0a4bfbdfea3a4b1a0bcb5a390a3a3b1feb7bfa6"><span class="__cf_email__" data-cfemail="becad1d390cdcadfced2dbcdfecdcddf90d9d1c8">[email protected]</span></a>.

Department of Commerce

    Elizabeth Dorfman, Acting Director, Office of the Executive 
Assistance Management, 202-482-3313, 202-482-3270 (Fax), 
<a href="/cdn-cgi/l/email-protection#3277565d40545f535c72565d511c555d44"><span class="__cf_email__" data-cfemail="f8bd9c978a9e959996b89c979bd69f978e">[email protected]</span></a>.

Department of State

    Chris Flaggs, Director, Office of Financial Policy, Reporting and 
Analysis, 202-261-8625, 202-261-8622 (Fax), <a href="/cdn-cgi/l/email-protection#c482a8a5a3a3b787ac84b7b0a5b0a1eaa3abb2"><span class="__cf_email__" data-cfemail="dc9ab0bdbbbbaf9fb49cafa8bda8b9f2bbb3aa">[email protected]</span></a>; and 
Lloyd W. Pratsch, Procurement Executive, Office of the Procurement 
Executive, 703-516-1680, 703-875-6155 (Fax), <a href="/cdn-cgi/l/email-protection#a6f6d4c7d2d5c5ceeaf1e6d5d2c7d2c388c1c9d0"><span class="__cf_email__" data-cfemail="9ccceefde8effff4d0cbdcefe8fde8f9b2fbf3ea">[email protected]</span></a>.

Agency for International Development

    Kathleen O'Hara, Deputy Director, Office of Procurement, 202-712-
4759, 202-216-3395 (Fax), <a href="/cdn-cgi/l/email-protection#165d595e776477566365777f7238717960"><span class="__cf_email__" data-cfemail="c48f8b8ca5b6a584b1b7a5ada0eaa3abb2">[email protected]</span></a>.

Department of Housing and Urban Development

    Pamela Woodside, Director, Office of Systems Integration & 
Efficiency, Office of the Chief Information Officer, 202-708-0614 ext. 
109, 202-708-3135 (Fax), <a href="/cdn-cgi/l/email-protection" class="__cf_email__" data-cfemail="5d2d3c3002022a3232392e3439381d352839733a322b">[email protected]</a>; Barbara Dorf, Office of 
the Secretary, 202-708-0614 ext. 4637, <a href="/cdn-cgi/l/email-protection" class="__cf_email__" data-cfemail="82e0e3f0e0e3f0e3dddde6edf0e4c2eaf7e6ace5edf4">[email protected]</a>; Mailing 
Address: Regulations Division, Office of the General Counsel, Attn: 
Barbara Dorf, Room 10276, 451 7th Street, SW., Washington, DC 20410.

Department of Justice

    Cynthia Schwimer, Comptroller, Office of Justice Programs, 202-307-
3186, 202-514-9028 (Fax), <a href="/cdn-cgi/l/email-protection#f7949e99938eb7989d87d9828493989dd9909881"><span class="__cf_email__" data-cfemail="b4d7dddad0cdf4dbdec49ac1c7d0dbde9ad3dbc2">[email protected]</span></a>.

Department of Labor

    Mark Wolkow, Systems Analyst, 202-693-6829, 202-693-6964 (Fax), 
<a href="/cdn-cgi/l/email-protection#b7c0d8dbdcd8c09adad6c5dcf7d3d8db99d0d8c1"><span class="__cf_email__" data-cfemail="c4b3aba8afabb3e9a9a5b6af84a0aba8eaa3abb2">[email protected]</span></a>; and Phyllis McMeekin, Director, Departmental 
Procurement Policy, 202-219-9174, 202-219-9440 (Fax), <a href="/cdn-cgi/l/email-protection#f69b959b93939d9f98db869e8f9a9a9f85b692999ad8919980"><span class="__cf_email__" data-cfemail="5e333d333b3b353730732e36273232372d1e3a313270393128">[email protected]</span></a>.

Department of the Treasury

    Birdie McKay, Director, Program Compliance Division, Financial 
Management Service, 202-874-6925, 202-874-6965 (Fax), 
<a href="/cdn-cgi/l/email-protection#315358435558541f5c525a504871575c421f45435450421f565e47"><span class="__cf_email__" data-cfemail="402229322429256e2d232b213900262d336e34322521336e272f36">[email protected]</span></a>.
    Sheryl Morrow, Director, Program Assistance Division, Financial 
Management Service, 202-874-6847, 202-874-6965 (Fax), 
<a href="/cdn-cgi/l/email-protection#3a49525f4843561457554848554d7a5c5749144e485f5b49145d554c"><span class="__cf_email__" data-cfemail="cfbca7aabdb6a3e1a2a0bdbda0b88fa9a2bce1bbbdaaaebce1a8a0b9">[email protected]</span></a>.

Department of Defense

    Designated lead official: Director of Defense Research and 
Engineering.
    Please send DOD-specific comments concerning this notice to: Mark 
Herbst, 703-696-0372, 703-696-0569 (Fax), <a href="/cdn-cgi/l/email-protection#ea828f9888999e87aa8b899bc485998ec4878386"><span class="__cf_email__" data-cfemail="90f8f5e2f2e3e4fdd0f1f3e1beffe3f4befdf9fc">[email protected]</span></a>; and Ron 
Massengill, Financial Management Analyst, 703-602-0125, 703-602-0777 
(Fax), <a href="/cdn-cgi/l/email-protection#bbd6dac8c8ded5dcc9fbd4c8df95cbded5cfdadcd4d595d6d2d7"><span class="__cf_email__" data-cfemail="dfb2beacacbab1b8ad9fb0acbbf1afbab1abbeb8b0b1f1b2b6b3">[email protected]</span></a>.

Department of Education

    Mark Carney, Deputy Chief Financial Officer, Office of the Chief 
Financial Officer, 202-401-3892, 202-401-2455 (Fax), 
<a href="/cdn-cgi/l/email-protection" class="__cf_email__" data-cfemail="d5b8b4a7be8a8ab6b4a7bbb0ac95b0b1fbb2baa3">[email protected]</a>.

Department of Veterans Affairs

    W. Todd Grams, Deputy CFO and Acting CFO, 202-273-5583, 
<a href="/cdn-cgi/l/email-protection#e1958e8585cf8693808c92a18c80888dcf9780cf868e97"><span class="__cf_email__" data-cfemail="cabea5aeaee4adb8aba7b98aa7aba3a6e4bcabe4ada5bc">[email protected]</span></a>.

Environmental Protection Agency

    Bruce Feldman, Branch Chief, Grants Administration Division, 202-
564-5308, 202-565-2469 (Fax), <a href="/cdn-cgi/l/email-protection#c8aeada4aca5a9a6e6aababdabad88adb8a9e6afa7be"><span class="__cf_email__" data-cfemail="5137343d353c303f7f3323243234113421307f363e27">[email protected]</span></a>.
    William Kinser, Office of Grants and Debarment, Phone: 202-564-
5378, Fax: 202-565-2470, <a href="/cdn-cgi/l/email-protection#0f6466617c6a7d2178666363666e624f6a7f6e21686079"><span class="__cf_email__" data-cfemail="b0dbd9dec3d5c29ec7d9dcdcd9d1ddf0d5c0d19ed7dfc6">[email protected]</span></a>.

Department of the Interior

    Ceceil Belong, Grants Policy Specialist, 202-208-3474, 202-208-

[[Page 4591]]

6301 (Fax), <a href="/cdn-cgi/l/email-protection" class="__cf_email__" data-cfemail="43202620262a2f1c1c21262f2c2d24032a2c306d272c2a6d242c35">[email protected]</a>; and Monica Taylor, 202-219-
0213, 202-208-6940 (Fax), <a href="/cdn-cgi/l/email-protection" class="__cf_email__" data-cfemail="6b06040502080a34341f0a120704192b020418450f0402450c041d">[email protected]</a>.

Federal Emergency Management Agency

    Richard Goodman, Director, Grants and Acquisition Division, 202-
646-4181, 202-646-3846 (Fax), <a href="/cdn-cgi/l/email-protection#c795aea4afa6b5a3e980a8a8a3aaa6a987a1a2aaa6e9a0a8b1"><span class="__cf_email__" data-cfemail="6e3c070d060f1c0a402901010a030f002e080b030f40090118">[email protected]</span></a>.

Department of Health and Human Services

    George Strader, Deputy Chief Financial Officer; and Rodd Clay, 
Office of Grants Management, 202-690-8723, 202-690-6415 (TDD, for the 
hearing impaired), 202-690-8772 (Fax), <a href="/cdn-cgi/l/email-protection#2a5849464b536a4559044e424259044d455c"><span class="__cf_email__" data-cfemail="c7b5a4aba6be87a8b4e9a3afafb4e9a0a8b1">[email protected]</span></a>.

National Science Foundation

    Jean Feldman, Head, Policy Office, Office of Budget, Finance and 
Award Management, 703-292-8243, 703-292-9141 (Fax), <a href="/cdn-cgi/l/email-protection#6e04080b020a030f002e001d0840090118"><span class="__cf_email__" data-cfemail="a0cac6c5ccc4cdc1cee0ced3c68ec7cfd6">[email protected]</span></a>; 
and Rick Noll, Head, Institutional Ledger Section, Division of 
Financial Management, 703-292-4458, 703-292-9005 (Fax), <a href="/cdn-cgi/l/email-protection#c0b2aeafacac80aeb3a6eea7afb6"><span class="__cf_email__" data-cfemail="e0928e8f8c8ca08e9386ce878f96">[email protected]</span></a>.

National Endowment for the Arts

    Nicki Jacobs, Director, Grants and Contracts Office, 202-682-5546, 
202-682-5610 (Fax), <a href="/cdn-cgi/l/email-protection#503a31333f32233e10312224237e353e343f277e373f26"><span class="__cf_email__" data-cfemail="84eee5e7ebe6f7eac4e5f6f0f7aae1eae0ebf3aae3ebf2">[email protected]</span></a>.

National Endowment for the Humanities

    David Wallace, Director, Grants Office, 202-606-8494, 202-606-8633 
(Fax), <a href="/cdn-cgi/l/email-protection#b8dccfd9d4d4d9dbddf8d6ddd096dfd7ce"><span class="__cf_email__" data-cfemail="e28695838e8e838187a28c878acc858d94">[email protected]</span></a>.

Institute of Museum and Library Services

    Rebecca Danvers, Director of Research and Technology, 202-606-2478, 
<a href="/cdn-cgi/l/email-protection#bdcfd9dcd3cbd8cfcefdd4d0d1ce93dad2cb"><span class="__cf_email__" data-cfemail="037167626d75667170436a6e6f702d646c75">[email protected]</span></a>.

Corporation for National and Community Service

    Jim Phipps, Office of Grants Management, 202-606-5000 ext. 271, 
202-565-2850 (Fax), <a href="/cdn-cgi/l/email-protection#a7cacdd7cfced7d7d4e7c4c9d489c0c8d1"><span class="__cf_email__" data-cfemail="ef82859f87869f9f9caf8c819cc1888099">[email protected]</span></a>.
    Quinton Lynch, Grants/Financial Analyst, Office of Grants 
Management, 202-606-5000 ext. 160, 202-565-2850 (Fax), <a href="/cdn-cgi/l/email-protection#27564b5e49444f6744495409404851"><span class="__cf_email__" data-cfemail="d6a7baafb8b5be96b5b8a5f8b1b9a0">[email protected]</span></a>.

Department of Transportation

    Robert G. Taylor, Office of the Senior Procurement Executive, 202-
366-4289, 202-366-7510 (Fax), <a href="/cdn-cgi/l/email-protection#e2b2aed3d2d4d3d2d5a28d9196cc868d96cc858d94"><span class="__cf_email__" data-cfemail="e9b9a5d8d9dfd8d9dea9869a9dc78d869dc78e869f">[email protected]</span></a>; and Richard 
Meehleib, Office of Budget and Finance, Federal Highway Administration, 
202-366-2869, 202-366-7510 (Fax), <a href="/cdn-cgi/l/email-protection#93c3dfa2a3a5a2a3a4d3fce0e7bdf7fce7bdf4fce5"><span class="__cf_email__" data-cfemail="d0809ce1e0e6e1e0e790bfa3a4feb4bfa4feb7bfa6">[email protected]</span></a>.
    Mailing address for comments: Office of the Senior Procurement 
Executive, Attn: Pub. L. 106-107-DOT, Room 7101, M-60, U. S. Department 
of Transportation, 400 7th St SW., Washington, DC 20590.

XII. Agency Adoptions

    As stated in the common agency commitments in Section X, above, the 
following agencies are participating in this notice:

Department of Agriculture

For the Department of Agriculture.
    Dated: December 1, 2000.
Patricia Healy,
Deputy Chief Financial Officer.

Department of Energy

For the Department of Energy.
    Dated: November 16, 2000.
James J. Cavanagh,
Acting Director, Office of Procurement and Assistant Management.

Small Business Administration

For the Small Business Administration.
    Dated: November 21, 2000.
Thomas Dumaresq,
Assistant Administrator for Administration.

National Aeronautics and Space Administration

For the National Aeronautics and Space Administration.
    Dated: November 17, 2000.
David Havrilla,
Senior Systems Accountant.

Social Security Administration

For the Social Security Administration.
    Dated: November 28, 2000.
Tom Staples,
Deputy Chief Financial Officer.

Department of Commerce

For the Department of Commerce.
    Dated: November 20, 2000.
Raul Perea-Henze,
Deputy Assistant Secretary for Administration.

Department of State

For the Department of State.
    Dated: November 22, 2000.
Chris Flaggs,
Office of Financial Policy, Reporting and Analysis.

Agency for International Development

For the Agency for International Development.
    Dated: November 15, 2000.
Richard Nygard,
Deputy Assistant Administrator for Management.

Department of Housing and Urban Development

Initiatives Specific to the Department of Housing and Urban Development

    The Department of Housing and Urban Development (HUD) has taken a 
number of steps to streamline management of its grant programs. 
Highlights of this are discussed below.
A. Creation of A Departmental Grants Management System (DGMS)
    HUD is in the process of creating a department-wide Internet based 
system for managing its grants. The system covers the entire life cycle 
of a grant, including application submission, review and evaluation of 
a submission, award and monitoring, and finally close-out and audit. 
HUD currently has a number of different systems that are used for 
managing grants, none of which provide coverage through the entire 
grant life cycle, or provide a means of capturing data from the various 
systems to create one picture of grants across the department. The 
purpose of DGMS is to have information on HUD grants in one place, at 
one time. This will allow HUD to better monitor grantees for compliance 
with existing regulations and assist in assessing performance of 
grantees against agreed-upon performance measures. DGMS will also 
enable HUD to accurately report performance against the goals in the 
Annual Business Operating Plan and the strategic plan. DGMS will have 
current and active information for timely submission of HUD's Annual 
Progress Report to Congress. For grantees, DGMS can be a useful 
planning tool for the allocation and management of local financial 
resources and staff. DGMS will also allow grantees to have accurate 
knowledge of status of all their grants with HUD. The creation of DGMS 
has been a collaborative effort involving all arms of HUD that are 
directly or indirectly involved in providing information and assistance 
to grantees and potential applicants, or managing grants. Below are 
some results achieved through the DGMS development process:
    <bullet> One process for accepting grant applications for all 
formula grants and one process for accepting competitive grant 
applications.
    <bullet> A single unified way to commit, de-commit, obligate, and 
de-obligate funds to a selected applicant, issue grant

[[Page 4592]]

awards, and issue grant amendments for all grant awards.
    <bullet> Uniform elements for conducting risk assessments of 
grantees.
    <bullet> Uniform monitoring module for assessing grantee 
performance over the life of the grant.
    <bullet> Uniform method for grantees to identify the projects, 
activities they were undertaking as part of their grant programs. DGMS 
will include opportunity for grantees to include tasks but in 
consultation with grantees, it was determined to make tasks optional.
    <bullet> Tracking of grant information as it was proposed in the 
application and as it was approved by HUD. DGMS will also track actual 
fund usage and accomplishments by activity.
    <bullet> Tracking of draw downs and performance in completing 
projects and activities on time and within budget, plus or minus 10% of 
the approved program budget line items and have the ability to roll the 
activity items up into budget line items of salaries, fringe, travel, 
equipment, supplies, etc. for the entire grant. Grantees asked that 
DGMS use the accrual system to make it easier for accounting staff and 
auditors to track funds.
    <bullet> Applicants/Grantees will enter information directly into 
DGMS to avoid errors or misunderstandings among grantees and HUD staff.
    <bullet> Each program will have an administrator to set-up DGMS, 
including creation of parameters and checklists for applicants/grantees 
to use. This idea came from requests by grantees and public interest 
groups, as well as program staff.
    <bullet> Interested parties wanting to get general grant program 
information or applications for assistance will be able to do so at 
HUD's home page (www.hud.gov).
    <bullet> Program administrators will give access rights to staff 
and grantees, who will in turn give access rights to their staff and 
grantees.
    <bullet> Tracking of funds down to an infinite levels of sub-
recipients.
    <bullet> A single process for close-out and audit of all HUD 
grants.
B. HUD's 2020 Management Reform Efforts
    Over the past several years, HUD has been reforming its management 
and operational practices. As part of this effort, HUD examined the 
various processes used to manage its portfolio of grants, subsidies and 
contracts. Agency staff worked to streamline grant application 
processes, identified areas for streamlining and elimination of 
paperwork, and sought ways programs could better work together. Chief 
among examples of where HUD has successfully streamlined its processes 
is HUD's Consolidated Plan which combines four separate entitlement 
programs (CDBG, HOME, ESG, and HOPWA) into a single planning and 
application process that State and local governments can use to manage 
their HUD program dollars; the Continuum of Care Homeless Assistance 
Programs which consolidated the application and submission process for 
a variety of programs (Supportive Housing, Shelter Plus Care, Section 8 
moderate Rehabilitation Single Room Occupancy); and the HOPE VI 
Revitalization program which includes demolition, revitalization, and 
Section 8 program funds into a single application. The Consolidated 
Plan won Harvard University's Innovations In Government Award in 1998; 
the Continuum of Care won this prestigious award in 1999; and HOPE VI 
in the year 2000.
    The same effort that has gone into reforming HUD's programs is 
being used to reform HUD's management of its grant programs. Using a 
collaborative re-engineering process, HUD is currently working in Legal 
Joint Application Design sessions with the Office of General Counsel on 
streamlining application forms, developing common grant award 
documents, and standardized terms and conditions for formula and 
competitive grant awards.
C. Notice of Funding Availability (NOFA)
    HUD now publishes all its competitive grant NOFAs at one time in a 
``SuperNOFA.'' Grant funding opportunities were previously announced at 
various times during the year, and often had varying policies and 
requirements for applications. With the SuperNOFA, HUD has established 
standardized policies and language for the following:
    <bullet> Deadlines and acceptance of applications for competitive 
grants.
    <bullet> Submission procedures for all applications.
    <bullet> Basic criteria for rating and ranking applications--
Capacity of the Applicant and Organizational Staff to Perform the Work; 
Need/Extent of the Problem; Soundness of Approach; Leveraging 
Resources; and Comprehensiveness and Coordination.
    <bullet> Encouragement of applicants to participate in HUD policy 
initiatives.
    <bullet> Eligibility based on program statutory and regulatory 
requirements.
    <bullet> Threshold requirement for compliance with Fair Housing and 
Civil Rights Laws.
    <bullet> Threshold requirements for compliance with the Americans 
With Disabilities Act of 1990, and if applicable, compliance with 
Section 3 of the Housing and Urban Development Act of 1968 for 
providing economic opportunities for Low and Very-Low Income Persons; 
and Affirmatively Furthering Fair Housing.
    <bullet> Application of requirements under the Uniform Relocation 
Assistance and Real Property Acquisition Act of 1970, as amended, and 
the governmentwide rule in 49 CFR part 24.
    <bullet> Use of Standard Forms in the application submission.
    <bullet> Applicability of environmental requirements under 24 CFR 
part 50 and part 58.
    <bullet> Applicability of OMB Circulars and provided information on 
how to obtain copies.
    <bullet> Bonus Points in Rating Applications.
    <bullet> Grant negotiations.
    <bullet> Correction of Deficient Applications.
    <bullet> Adjustments to Funding.
    <bullet> Prohibitions on Lobbying.
    <bullet> Requirements for documentation and public access under 
Section 102 of the HUD Reform Act of 1989 and the regulations codified 
in 24 CFR part 4, Subpart A in a uniform manner.
    <bullet> Application forms that apply to all applications, in 
addition to program specific forms.

For the Department of Housing and Urban Development.
Gloria R. Parker,
Chief Information Officer.

Department of Justice

For the Department of Justice.
    Dated: November 17, 2000.
Stephen R. Colgate,
Assistant Attorney General for Administration.

Department of Labor

For the Department of Labor.
    Dated: November 20, 2000.
Ken Bresnahan,
Chief Financial Officer.

Department of the Treasury

For the Department of the Treasury.
    Dated: November 16, 2000.
Paul Gist,
Director of Asset Management Directorate.

Department of Defense

For the Department of Defense.

[[Page 4593]]

    Dated: November 30, 2000.
Patricia L. Toppings,
Alternate Office of the Secretary of Defense Federal Register Liaison 
Officer.

Department of Education.

For the Department of Education.
    Dated: November 20, 2000.
Thomas P. Skelly,
Acting Chief Financial Officer.

Department of Veterans Affairs

For the Department of Veterans Affairs.
W. Todd Grams,
Deputy Chief Financial Officer and Acting Chief Financial Officer.

Environmental Protection Agency

For the Environmental Protection Agency.
    Dated: November 17, 2000.
Marty Monell,
Director, Grants Administration Division.

Department of the Interior

For the Department of the Interior.
    Dated: November 14, 2000.
Debra E. Sonderman,
Director, Office of Acquisition and Property Management.

Federal Emergency Management Agency.

For the Federal Emergency Management Agency.
    Dated: November 13, 2000.
Richard Goodman,
Director, Grants and Acquisition Division.

Department of Health and Human Services

For the Department of Health and Human Services.
    Dated: November 22, 2000.
Terrence J. Tychan,
Deputy Assistant Secretary for Grants and Acquisition Management.

National Science Foundation

For the National Science Foundation.
    Dated: November 17, 2000.
Lawrence Rudolph,
General Counsel.

National Foundation on the Arts and the Humanities

For the National Endowment for the Arts.
    Dated: November 17, 2000.
Laurence Baden,
Deputy Chairman for Management and Budget.

For the National Endowment for the Humanities.
    Dated: November 20, 2000.
John Roberts,
Deputy Chairman.

Institute of Museum and Library Services

For the Institute of Museum and Library Services.
    Dated: December 6, 2000.
Rebecca Danvers,
Director of Research and Technology.

Corporation for National and Community Service

For the Corporation for National and Community Service.
    Dated: November 16, 2000.
Anthony Musick,
Chief Financial Officer.

Department of Transportation

For the Department of Transportation.
David K. Kleinberg,
Deputy Chief Financial Officer.
[FR Doc. 01-1177 Filed 1-16-01; 8:45 am]
BILLING CODE 3410-KS-P, 6450-01-P, 7510-01-P, 3510-FA-P, 4710-01-P, 
6116-01-P, 4410-18-P, 4510-23-P, 5001-10-P, 4000-01-P, 6560-50-P, 4310-
RF-P, 4150-24-P, 4910-62-P, 4210-01-P, 4810-62-P, 7537-01-P, 7536-01-P, 
7036-01-P, 7555-01-P, 8025-01-P, 7536-01-P, 7036-01-P, 6050-28-P, 4910-
62-P.


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