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(3) The provisional approval by CSA completing items 3.B and 3.D and colof an indirect cost rate in a budget is umns D and E vary depending on the subject to final negotiation and/or ad nature of the amendment request, as justment based upon an audit.

follows:

(1) Increase in Total Program (41 FR 26689, June 29, 1976, as amended at 45 FR 64940, Oct. 1, 1980)

CostsNo Additional Funds. This type of amendment is required when the

grantee has previously underestimat$ 1067.17-5 CSA Form 325, budget sum

ed, at the time of the last refunding, mary.

the amount of unexpended CSA This form will be used in all initial funds, and now is requesting authority and refunding grants and all budget to use those unexpended funds. Item amendments.

3.B should indicate the beginning and (a) Initial Grants. Applicants for ini ending dates of the current funding tial grants should complete only items period. Item 3.D should indicate the 1, 2, 3B, Columns E(1) and (2) of Sec amount of unexpended CSA funds at tion I, and item 1 of Section II on the the end of the prior funding period CSA Form 325. Where the applicant above and beyond the amount of CSA has been informed that non-Federal funds previously estimated by the share is not required Column E(2) grantee to be unexpended. For examshould be left blank.

ple, if the grantee previously, at the (b) Refunding Grants. Applicants for time of refunding, estimated unexrefunding should complete items 1 pended funds to be $20,000, and the through 3 Columns C(1) and (2) and actual unexpended balance

was E(1) and (2) of Section I, and item 1 of $50,000, the figure in Item 3.D should Section II of the CSA Form 325. be the difference, or $30,000. In item Where non-Federal share is not re 3.D cross out the word "current" and quired Columns C(2) and E(2) should substitute “prior". Column D should be left blank. The figures in Column C be completed so that the total of should be taken directly from Column Column D(1) should equal the amount F of the CSA Form 325 of the last pre in item 3.D, with the total additional vious OED grant amendment budget authority requested allocated action. Any adjustments within the to one or more cost categories. Column grantee's flexibility should be includ E should be a total, by cost category of ed. The figures in Column E for re Columns C and D. funding actions should reflect the (2) Increase in Total Program total budget authority

authority requested Costs-Supplementary Funds. (i) The which may be greater than the beginning date in item 3.B should be amount of new funding requested if the beginning date of the current the grantee has unexpended balances funding period. If the amendment refrom the current grant. The figures in quest is to supplement the current Column E should not be reduced by grant without extending the funding the amount of such unexpended bal period beyond the current termination ances. The most recent OEO Form date, the ending date in item 3.B 315a, Quarterly Financial Report, should be the termination date of the Support Data Sheet, must be attached current funding period. If the request to the 325 as support for the amount is to both supplement and extend the of unexpended funds claimed in Block grant, the ending date in item 3.B 3D.

should be the ending date of the re(c) Budget Amendments. For all cate quested extension. (NOTE: If the gories of amendments 1, 2, 3.A, and period of extension exceeds four 3.C on the CSA Form 324 are self-ex months refunding application proceplanatory, Columns C (1) and (2) dures should be followed.) should show the safe figures appear (ii) Item 3.D will normally be left ing in Columns F (1) and (2) of the blank, unless the grantee is both relast previous CSA Form 325 approved questing authority to use unexpended by OED (unless adjusted by the grant funds and requesting additional new ee within the flexibility), and Section funds as well, in which case item 3.D II should be omitted. Instructions for will be completed as in section (i)

or

unex

above. Columns D (1) and (2) should be completed to show, by cost category, the amount of additional budget authority requested. Where item 3.D has been left blank, the amount of the supplementary funds requested will equal the additional budget authority requested; where unexpended funds have been shown in item 3.D, the difference between the additional budget authority requested and the pended funds. Columns E (1) and (2) will be the totals of Columns C(1) and D(1) and of C(2) and D(2), respectively. If an extension of the funding period is being requested in addition to supplementary funds, the number of months of operation shown in Column E should be the total of the current funding period and the extension period.

(3) Shifts between cost categories. (i) Sections 1067.16-1 through 1067.16-7 (CSA Instruction 6710-7) provides instructions as to the flexibility which each grantee has in shifting funds between cost categories. For shifts in excess of that flexibility a budget amendment request is required. The beginning and ending dates in item 3.B should be the beginning and ending dates of the current funding period. Item 3.D should be left blank. Column D should show the requested increase or decrease in cost category 2.5, Investment Capital, or (for those few research or demonstration grants where indirect costs have been approved) the requested increase in cost 3.0, Indirect Costs and the offsetting decreases in one or more other cost categories.

(ii) Increase should be designated with plus (+) signs; decreases with minus (-) signs. The total Column D should be zero (0), since the total increases will be offset by the total decreases. Column E should be a total, by cost category, of Column C and D. The total for Column E will be the same as the total for Column C.

(4) No-cost extensions of four to twelve months. (i) Normally, when the funding period of a grant is extended for more than four months beyond its current termination date the extension is considered a refunding, subject to the requirements of $ 1067.15-1 through § 1067.15-12 (CSA Instruction 6710-6). However, since no-cost exten

sion from four to 12 months involve the obligation of no additional funds and extend the grant for periods shorter than a normal refunding period, the documentary and procedural requirements applicable are those of an amendment. No-cost extensions of more than 12 months are subject to refunding procedures.

(ii) Since a no-cost extension of four to 12 months is in effect a refunding, the CSA Form 325 that accompanies this form of amendment request is prepared as if a refunding were being requested. Accordingly, the beginning and ending dates in item 3.B should be the appropriate dates for the period of the extension, i.e., the day after the current grant's termination date and the day the extension period will end. Item 3.D should always be completed, since if there are no unexpended funds available to cover costs to be incurred during the extension period a supplementary grant rather than a nocost extension would be required. The figure to be inserted in item 3.D will be the unexpended balance as of the end of the current grant. The most recent OEO Form 315a, Quarterly Financial Report, Support Data Sheet, must be attached to the 325 as support for the amount of unexpended funds claimed in block 3.D.

(iii) Since this kind of amendment request is prepared as a refunding, Column D of the CSA Form 325 should be left blank. Column E should be completed, showing the requested budget, by cost category, for the period of the extension (rather than a budget for the combined current period and the extension period). The total of Column E(1) should equal the figure in item 3.D since the requested budget is in effect a plan for using the unexpended funds available.

Subpart 1067.30—Preparation of CSA

Form 314, Statement of CSA Grant (CSA Instruction 6710-CH10)

SOURCE: 41 FR 56197, Dec. 27, 1976, unless otherwise noted.

§ 1067.30-1 Applicability.

This subpart applies to all grants to public and private organizations made

under Titles II, III-B, and VII of the this section grant funds that are not Community Services Act when such expended by the end of the program assistance is administered by the Com- account funding period must be remunity Services Administration.

turned to the Office of Community

Services (OCS) in accordance with 45 § 1067.30-2 Definitions of terms as used in

CFR 1050.112(b). this subpart.

(1) Exception. Under a grant with a (a) A program year is a grantee's 12

planned minimum number of months month accounting period. For commu

which expires before June 24, 1982 nity action agencies, this is the fund

funds may be used until June 24, 1982. ing period for the principal grant that

(2) Extensions and reprogramming. provides funds for most of the grantee's administrative costs. For other

If a grantee applies for an extension of agencies funded by CSA this is their

time in which to use the funds under usual 12-month accounting period

its approved work program, OCS may which may or may not correspond

extend the program account funding with the funding period of their

period under such terms and condigrant(s) from CSA.

tions as it deems appropriate. Alterna(b) A program account funding tively, OCS may reprogram unexpendperiod extends from the effective date ed funds as part of a new grant action of a new or refunding action (Item 3) if the grantee is awarded an OCS through the termination date (Item grant pursuant to the block grant 12) or expiration of planned number transition provisions of 42 U.S.C. 9911. of months for which funding is provided (Item 13). (See attached CSA

(41 FR 56197, Dec. 27, 1976, as amended at

47 FR 22535, May 25, 1982) Form 314.) (c) Unobligated balances' (i.e., Unex

§ 1067.30-4 Policy. pended funds) is that portion of the funds authorized by CSA which has

(a) All grants made to the same ornot been obligated by the grantee ganization will be identified by a prior to program year end or other 12- single grant number. month accounting period.

(b) The Statement of CSA Grant, (d) Obligations' is that amount of CSA Form 314, is the basic action docorders placed, contracts and grants ument completed by CSA and sent to awarded, services received, and similar the grantee. CSA Form 314 is also an transactions during a given period acceptance document upon which the which will require payment during the grantee indicates his acceptance of the same or future period.

grant action with all attached condi

tions. § 1067.30-3 Purpose.

(c) Approval of a CSA grant or fundThis subpart provides for:

ing action means that Federal funds (a) Use of a single grant number for

have been awarded to the grantee for each grantee;

the purpose of carrying out an ap(b) Use of CSA Form 314, Statement

proved work program. Specifically, of CSA Grant, as the basic action doc

CSA Form 314, Statement of CSA ument; and

Grant, is used to: (c) Grantees' use of funds through the program account funding period.

(1) Approve an amount of Federal A grantee may not incur expenses

funds and specify the required nonunder its program account after the

Federal share percentage and amount termination date entered in column 12

for each program account; of CSA Form 314, or after the expira

(2) Approve transfers of funds betion of the planned number of months tween program accounts when for which funding is provided (column quired (reference OEO Instruction 13 of CSA Form 314). Except as pro- 6710-1, Change 3, relating to flexibilvided in paragraphs (c)(1) and (2) of ity guidelines);

(3) Approve program extensions Source: OMB Circular A-110 and FMC where no change in funding is in74-7.

volved; and

re

(4) Deobligate funds as necessary this funding action before the date from an on-going project or remaining shown in this block. from a terminated program.

(7) Item 4-Obligation date. This is

the date on which a grant action (CSA 8 1067.30-5 Procedure.

Form 314) obligating new funds is (a) A single grant number is used to mailed to the Governor or grantee. identify CSA grants, regardless of the Enter the effective date (Item 3) for source of funding within CSA.

all other types of actions, e.g., deobli(b) The following explanations refer gations, extensions, etc. to specific items on CSA Form 314, (8) Item 5-Program year. This secStatement of CSA Grant:

tion will show the grantee's program (1) Item 1-Name and address of year. This period will not necessarily grantee. This item is self-explanatory. agree with the period for which funds

(2) Item 2-Grantee number. This are awarded. However, whenever possispace contains a five-digit number as- ble the grantee's fundings will coincide signed by CSA. All funds awarded to a

with the grantee's program year. grantee will be identified by this (9) Item 6- Program account number.

number. This will show the program (3) Item 2-Fund source code (FS). accounts (i.e., 01, 05, 55, etc.) as exThis space contains an applicable al- plained in CSA Instruction 6100-1a, phabetic character identifying the Program Account Structure, funded source of CSA funds from among the

by this grant action. following:

(10) Item 7Program activity code

(PAC). This code is for identification F-Office of Economic Development.

of CSA obligations, as explained in G-Office of Operations.

OEO Staff Manual 2135-1, Accounting J-Boston Region (1).

Codes.
K-New York Region (2).
L-Philadelphia Region (3).

(11) Item 8- Program account name. M-Atlanta Region (4).

This will show the program account N-Chicago Region (5).

being funded by this grant action by P-Dallas Region (6).

name. Refer to OEO Instruction 6100Q-Kansas Region (7).

la, Program Account Structure. R-Denver Region (8).

(12) Item 9-Federal funds awarded S-San Francisco Region (9).

this action. (i) Funds awarded. This T-Seattle Region (0).

column shows the amount of Federal (4) Item 2Federal fiscal year (FFY). funds awarded by this action. An This refers to the Federal fiscal year amount will be shown for each proin which funds are awarded (i.e., for gram account funded by this action the Federal Fiscal Year ending Sep- and the total shown at the bottom of tember 30, 1977, 77 would be entered). the column. Previous amounts award

(5) Item 2-Action number. This is a ed to the grantee will not be shown on consecutive number assigned by the this form. funding office to identify each funding (ii) Funds deobligated. A deobligaaction by grantee within a Federal tion of Federal funds will be shown in fiscal year. For example the number this column by placing a minus (-) “01” will be assigned to the first fund- sign in front of the amount. ing action by a Regional Office; the (iii) Funds transferred. This column number “01” will likewise be assigned is also used to reflect CSA's approval to the first funding action by a Head- for the transfer of funds between proquarters Program Office and so on gram accounts (reference OEO Inthrough the end of the Federal fiscal struction 6710-1, Change 3) by placing year, at which time the fundings in the appropriate (+) and (-) in front the next fiscal year would begin with of the amounts representing the in"01.".

crease and decrease. Only the amount (6) Item 3Effective date. This is the being transferred will be reflected in effective date of the funding action; this column and not the original i.e., obligations, deobligation, exten- amount awarded. sion, etc. If funds are being obligated, (13) Items 10 and 11-Non-Federal grantees may not incur costs against share. These columns show the per

centage and amount of non-Federal share required for each program account. If the non-Federal share is not required for a program account, not applicable (N/A) will be entered in this space. In no case will a figure higher than that legally or administratively required be entered.

(14) Item 12Termination date. When a termination date is entered, expenses may not be incurred for the program account beyond this date. When this date is entered, this will determine the end of the program account funding period.

(15) Item 13Planned number of months funding provided. This information is to assist the grantee in planning and budget control and in determination of the program account funding period.

(16) Item 14Recommendation for approval. Contains name of appropriate Regional Director.

(17) Item 15Statement of CSA approval. This item is self-explanatory.

(18) Item 16Grantee acceptance of grant. This item is self-explanatory.

cepts so that these achieve a genuine self-sustaining life on their own. In order to furnish grantees support for this evolution, CSA has permitted, and will continue to permit, flexibility in developing, justifying, and locally implementing the means for planning, programming and budgeting to meet the perceived needs of their constituencies. For local initiative programs funded under Section 221 of the Economic Opportunity Act, the grantee has been given increased responsibility to select and develop the programs which will be most meaningful to its community. The implementation of such grantee plans and programs remains subject to the approval of the grantee's governing board. CSA exercises its program review authority through continuous monitoring and evaluation of performance, review for compliance for eligibility and auditing for financial management evaluation.

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§ 1067.40-3 Application process for funds

under Title II, Sections 221, 222(a), and

231 of the EOA. (a) Overview of the application process. The grant application process for Title II funding consists of the following steps which, except as noted, apply to all initial and refunding grants:

(1) Initial inquiry (initial grants only).

(2) Submission of notification of intent to clearinghouse by applicant.

(3) Submission of documents re eligibility for funding to Administering Office.

(4) Determination or verification of grantee eligibility by Administering Office.

(5) Planning Process undertaken by applicant.

(6) Receipt of program and funding guidance.

(7) Field Pre-review (optional) (8) Submission of formal application.

(9) Review by Administering Office of grant application.

(10) If acceptable, recommendation for funding and submission of grant funding documents to Headquarters funding official for action.

(11) If approved, and after Congressional release has been accomplished,

(42 FR 10689, Feb. 23, 1977, as amended at 46 FR 43691, Aug. 31, 1981)

8 1067.40-2 Policy.

CSA continues to support the position stated in 1971 that grantees must increase their independence and selfreliance and be concerned with solidly establishing community action con

13-154 0-83_-27

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