FEDERAL ASSISTANCE AWARD DATA SYSTEM USERS' GUIDE Office of Management and Budget U.S. Department of Commerce General Management Division Bureau of the Census (Executive Agent) Table of Contents Section Page TABLE OF CONTENTS. . . . . . . . . . . . . . . . . . . . . . . . i INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . 1 GENERAL DESCRIPTION. . . . . . . . . . . . . . . . . . . . . . . 3 Background . . . . . . . . . . . . . . . . . . . . . . . . . 3 Coverage . . . . . . .3 Relationship to Other Systems. . . . . . . . . . . . . . . . 4 System Limitations . . . . . . . . . . . . . . . . . . . . . 5 DATA AVAILABILITY. . . . . . . . . . . . . . . . . . . . . . . . 7 State Governments. . . . . . . . . . . . . . . . . . . . . . 7 U.S. Congress. . . . . . . . . . . . . . . . . . . . . . . . 7 General Public . . . . . . . . . . . . . . . . . . . . . . . 8 Federal Agencies . . . . . . . . . . . . . . . . . . . . . . 8 DATA CHARACTERISTICS . . . . . . . . . . . . . . . . . . . . . . 9 Record Contents. . . . . . . . . . . . . . . . . . . . . . . 9 Output Tape Specifications . . . . . . . . . . . . . . . . . 9 Diskette Specifications. . . . . . . . . . . . . . . . . . .10 RECORD FORMAT. . . . . . . . . . . . . . . . . . . . . . . . . .11 FAADS DATA QUALITY . . . . . . . . . . . . . . . . . . . . . . .19 Edit Checks. . . . . . . . . . . . . . . . . . . . . . . . .19 Federal Agency Compliance. . . . . . . . . . . . . . . . . .19 APPENDIX A: List of Selected Federal Departments and Agencies. . . . . . .21 INTRODUCTION Users and potential users of the Federal Assistance Award Data System (FAADS) will find in this guide a detailed description of the nature and scope of FAADS. In addition to the technical information on computer tape or diskette format, output records, and data elements, important information is included on program coverage, system limitations, and other user precautions. We recommend a careful reading of this guide prior to making use of FAADS. Questions concerning the content of this guide or about any other aspect of FAADS should be directed to the Bureau of the Census. User feedback is invited on data quality, possible errors or discrepancies, utilization of data and any suggestions for improving the overall presentation in FAADS. The Bureau of the Census serves as the executive agent responsible for operating FAADS. Policy oversight is provided by the General Management Division of the Office of Management and Budget. For further information, users can contact: Federal Programs Branch Governments Division Bureau of the Census Washington, DC 20233 Telephone Number: 301/457-1565 GENERAL DESCRIPTION Background FAADS is required by Title 31, Section 6102(a) of the United States Code. The first FAADS report was issued in February 1981, covering assistance award actions during the first quarter of Federal fiscal year 1981 (October 1 to December 31, 1980). FAADS is a central collection of selected, computer-based data on Federal financial assistance award transactions, compiled quarterly. Each standard record is identified as being one of two possible types. Each action-by-action record contains such items as the name and location of the recipient (but not the address), the amount of awarded or amended Federal assistance (usually on the basis of the obligated amount), the program under which the award was made, and a project description. For some programs, primarily transfer payments to individuals and large volume loan programs for individual home ownership, data in the record are presented as aggregate amounts for all recipients in each county area. Such aggregate records do not contain all the data elements specified in the standardized format. The record format, which begins on page 11, indicates which items are available in each type of record. Coverage All departments and major agencies of the Executive Branch of the Federal Government with grant making authority are now reporting to FAADS. Appendix A lists the agencies providing data to FAADS, as well as those smaller Federal agencies identified as providing assistance but not yet reporting. For the fourth quarter of fiscal year 1994, 28 agencies were included in FAADS. Reporting covers approximately 600 Federal assistance programs. While primarily concerned with assistance to State and local governments, all major programs providing transfer payments to individuals, loans, or insurance are also covered. The long term objective is to include in FAADS all Federal financial assistance programs. This includes all assistance programs listed in the Catalog of Federal Domestic Assistance (CFDA) as well as financial assistance awards made by Federal agencies but not included in the CFDA. Relationship to Other Systems/Processes The Intergovernmental Cooperation Act of 1968, the Federal Program Information Act, the Federal Grant and Cooperative Agreement Act of 1977, and the Legislative Reorganization Act of 1970 require Federal agencies to provide fiscal, budgetary, and program-related information to State and local governments and to the Congress. FAADS assists Federal agencies in complying with applicable sections of these statutes, and promotes the government's effort to provide access to information on Federal assistance activities. Other related efforts include the Catalog of Federal Domestic Assistance (CFDA), Federal Assistance Programs Retrieval System (FAPRS), Budget Information for States (BIS) report, and the Consolidated Federal Funds Report Act. The CFDA and its automated companion, FAPRS, present a summary of Federal domestic assistance programs available from Federal executive branch agencies. In addition to program description and other information, the CFDA provides data on Federal funding for past and current budget years. The BIS reports estimates of potential State allocations of Federal formula grant funds from Federal executive branch agencies for the budget year, as well as the past and current years. The Consolidated Federal Funds Report Act (Title 31, U.S. Code, Chapter 62) requires the publication of data on Federal Government expenditures on a geographic basis. These annual reports are developed from existing data sources, including FAADS, within the Federal Government. Coverage includes grants and payments to State and local governments, salaries and wages of Federal employees, Federal Government procurement awards, and direct Federal payments for individuals. Executive Order 12372 outlines the Federal Government's system of consultation with the States on applications for grants, direct development, and other forms of financial assistance. The States, in consultation with their local governments, design their own process of review for applications of Federal financial assistance, and determine which programs are subject to review. The FAADS helps the States in this review process through the inclusion of the State Application Identifier (SAI) number in field two. The SAI number is assigned by State review agencies during the grant application process. Users need to be aware of the commonality and differences among the various reports mentioned above. While each report serves a specific purpose, knowledge about the relationships among the reports, the President's budget, and the funds made available through Congressional enactment of appropriations plays a vital part in understanding the nature of the allocation and distribution of Federal funds. Due to differences in definitions or reporting bases (obligations vs. expenditures, or fiscal year vs. calendar year vs. program year), users are cautioned not to expect amounts appearing in one report to match amounts found in other reports. System Limitations FAADS is a quarterly compilation of Federal assistance actions. No summation, consolidation, or other linkage with previous or future quarterly data is provided to users. Because each quarterly report stands on its own, it is necessary for users to refer to previous and future quarterly data to obtain a complete picture of assistance actions. The series of FAADS computer tapes and reports provides a basic data source for analysis of Federal assistance awards by those who wish to apply their own data evaluation programming. FAADS is not a "database" to be queried. It is a sequental tape file that can only be "read" by a custom-written computer program. FAADS is NOT an accounting system. The funds reported in FAADS may differ from those reported in various accounting or finance systems. Some differences are due to agency reporting practices, while others result from differences in effective reporting dates or interpretations of definitions and requirements. Reporting in FAADS is based on the geographic location of the initial recipient. This may be different from the location of the funded project and could also be different from the location of secondary recipients or the prime beneficiaries. Since 1983, information on project location has been provided for each transaction record. Another strong note of caution is that funding amounts for loan guarantees, insurance, and other forms of contingent liabilities do not in all cases represent an actual flow of Federal funds. The user needs to understand the type of financial assistance (e.g., grant, cooperative agreement, direct loan) being provided by a specific Federal award so that the meaning of the amount of Federal funding reported is not misinterpreted. DATA AVAILABILITY Data are submitted quarterly by the Federal agencies. These data are then compiled on a government-wide basis for OMB by its executive agent, the Bureau of the Census. Agency submissions are due within 30 days after the end of the quarter. Submissions that fail to meet the reporting deadline are not integrated into FAADS until the following quarter. State Governments Complete data files are provided to the State and Territorial governments. Each State can request the data file in electronic form (computer tape or diskettes), or printed form. Specification for electronic transmission (tape or diskette characteristic) should be provided to the Census Bureau. Each state is encouraged to share the FAADS information with its political subdivision's and the general public. U.S. Congress Complete data files are provided quarterly to the U.S. Congress. The servicing agencies are: House Information Resorces Committee on House Administration Ford House Office Building Washington, D.C. 20515 Telephone: (202) 225-0801 U.S. Senate Computer Center 2 Massachusetts Avenue, N.E. 6th Floor Washington, D.C. 20510 Telephone: (202) 224-3976 Congressional members or their staff can obtain FAADS information directly from these servicing agencies. In cases where these agencies cannot provide enough detailed or historical FAADS information, Congressional staff should call the Census Bureau directly for assistance. The general public cannot obtain access to the FAADS information through the U.S. Congress. General Public The general public can obtain FAADS files on electronic devices from two sources: Administrative and Customer Services Division Bureau of the Census Washington, D.C. Telephone: (202) 763-INFO(4636) National Archives and Records Administration Center for Electronic Records National Archives at College Park 8601 Adelphi Road College Park, MD 20740-6001 Telephone: (301) 713-6645 The data are available on a fee basis. For special requests, such as for partial FAADS files, and for electronic transfer via INTERNET, users should contact the Governments Division of the Census Bureau at the address on page 1). Federal Agencies Many Federal agencies have found uses for the FAADS quarterly files, or some variation thereof. Inquiries should be made directly to the Governments Division, Bureau of the Census (301/763-5276). DATA CHARACTERISTICS Record Contents There are two types of FAADS records: action-by-action and county aggregate. Both types use the same record format containing 34 data element fields. Action-by-action records usually contain data in each field, except where the submitting agency has been unable to provide that data. County aggregate records, on the other hand, will not contain data in all fields, since data for numerous individual actions are being summarized into one record. Examples include activities such as entitlement payments made directly for individuals, or other large volume transactions (e.g., housing loans, flood insurance). When these transactions are aggregated at the county level, not all data elements can be applicable. Therefore, some of the 34 fields are blank. County aggregate records normally contain data in up to 20 fields; but again, some variance may occur because of differing agency practices. The FAADS record format, which follows, contains asterisks (*) for those fields which do not apply to county aggregate reporting. The records have been sorted by State and territory (alphabetically by State, followed by the territories). Within each State, all action-by-action records appear before county aggregate records. Within these two groupings, the records are sorted first by Federal agency. Within an agency grouping, records are sorted by the CFDA number. The sort within these groupings is then by county and then by city name. All sorts are in alphanumeric ascending order, except Record Type (Field 26) which is in descending order. It should be noted that the output tapes and diskettes sent to States contain data that pertain only to the receiving State. A complete data base covering all States would have to be purchased from the National Archives and Records Administration or the Bureau of the Census. Users should contact the Bureau of the Census, Governments Division, concerning questions associated with processing FAADS quarterly tapes and diskettes. Output Tape Specifications The FAADS quarterly output tape contains only the FAADS data base for the current quarter. The specifications are: STANDARD IBM 360 OS LABEL HDRI WILL HAVE "FAADS FY 94 QTR #( )" RECL = 624 BLKSIZE = 6240 DENSITY = 1600 or 6250 BPI (user specified) Diskette Specifications The FAADS quarterly diskette contains only the FAADS data for the current quarter. The specifications are: Record length = 624 Density = High or Low (user specified) MS-DOS compatible 5 1/4 inch diskettes or 3 1/2 inch diskettes (user specified) Fixed field/fixed record length ASCII data Packed by ZIPIT software (to be UNZIPPED by user) or not packed (user specified) The records are in the 624 position record layout displayed beginning on page 11. RECORD FORMAT Field Data Field Record No. Data Element Type Length Position 1 CFDA Program Number AN 7 1-7 Six-position program number from latest edition of CFDA (left justified, space filled). Field is seven positions to accommodate possible expansion in this number. If CFDA program number is not available, a pseudocode is used. This consists of the first two positions of the agency's CFDA program numbering series, followed by AAA, AAB, etc. for each program being reported. Program titles are listed in field 31. 2 State Application Identifier (SAI Number) AN 20 8-27 If the program being reported is not subject to State review in accordance with Executive Order 12372 and no number is reported, "SAI EXEMPT" is entered. If the program is subject to State review under EO 12372 but for some reason the SAI is not available, "SAI NOT AVAILABLE" is entered (left justified). 3 Recipient Name AN 45 28-72 Left justified, space filled. For county aggregate records, will read "MULTIPLE RECIPIENTS." 4* Recipient City Code AN 5 73-77 Five position FIPS 55-2 place code. 5* Recipient City Name AN 21 78-98 Left justified, space filled. 6 Recipient County Code AN 3 99-101 Three-position numeric code for county from FIPS PUB 6-3. * Field will be blank in county aggregate reporting. Field Data Field Record No. Data Element Type Length Position 7 Recipient County Name AN 21 102-122 Left justified, space filled. 8 Recipient State Code AN 2 123-124 Two-position numeric code for State or territory from FIPS PUB 5-1. The State name is provided in field 33. 9* Recipient Zip Code AN 9 125-133 Nine-position numeric U.S. Postal Service Zip code (left justified, space filled). The first five positions are required. The remaining four positions are reported, where available. 10 Project Description AN 149 134-282 Left justified, space filled. 11 Type of Recipient AN 2 283-284 Two-position numeric code which depicts the type of recipient or borrower Government codes: 00 = State government 01 = county government 02 = city or township government 04 = special district government 05 = independent school district 06 = State controlled institution of higher education Nonprofit agencies: 11 = Indian tribe 12 = other nonprofit Private: 20 = private higher education 21 = individual 22 = profit organization 23 = small business 25 = all other * Field will be blank in county aggregate reporting. Field Data Field Record No. Data Element Type Length Position 12* Type of Action AN 1 285 A = new assistance action B = continuation (funding in succeeding budget period which stemmed from prior agreement to fund - amount of the current action) C = revision (any change in Federal Government's financial obligation or contingent liability in existing assistance transaction - amount of the change in funding) D = funding adjustment to completed project 13 Recipient Congressional District AN 2 286-287 Two-position numeric code for congressional district of the recipient. For a congressional district at large, a "00" is entered. For jurisdictions with a nonvoting delegate, a "98" is entered. For jurisdictions with no represent- ative, the designation "99" is entered. Where a jurisdiction is included in more than one congressional district, a code "90" might be used when a more precise notation is not available. The district designations reflect the Congressional Districts of the 103rd Congress. 14 Federal Agency/Organizational Unit Code AN 4 288-291 Four-position FIPS-95 agency/bureau sequencing numeric code. The agency name is provided in field 32. 15* Federal Award Identifier Number The number reflects each Federal agency's unique coding system for identifying individual assistance awards. Entries are left justified, space filled. a. Core number AN 16 292-307 b. Modification number AN 4 308-311 16 Federal Funding Sign AN 1 312 Minus sign indicates decrease in Federal Government's obligation or contingent liability; if not a decrease, position is blank. * Field will be blank in county aggregate reporting. Field Data Field Record No. Data Element Type Length Position 17 Federal Funding Amount N 10 313-322 Right justified with leading zeros; in whole dollar amount. 18 Non-Federal Funding Sign AN 1 323 Minus sign indicates decrease in all reported non-Federal funding; if not a decrease, position is blank. 19 Non-Federal Funding Amount N 10 324-333 Right justified with leading zeros; in whole dollar amount. 20 Total Funding Sign AN 1 334 Minus sign indicates decrease in total funding; if not a decrease, position is blank. 21 Total Funding Amount N 11 335-345 Right justified with leading zeros; in whole dollar amount. 22 Obligation/Action Date AN 6 346-351 Entered numeric as yymmdd. For county aggregate records, entry will be the last day of the quarter. 23* Starting Date AN 6 352-357 Entered numeric as yymmdd. 24* Ending Date AN 6 358-363 Entered numeric as yymmdd. * Field will be blank in county aggregate reporting. Field Data Field Record No. Data Element Type Length Position 25 Type of Assistance Transaction AN 2 364-365 02 = block grant (A) 03 = formula grant (A) 04 = project grant (B) 05 = cooperative agreement (B) 06 = direct payment for specified use, as a subsidy or other non- reimbursable direct financial aid (C) 07 = direct loan (E) 08 = guaranteed/insured loan (F) 09 = insurance (G) 10 = direct payment with unrestricted use (retirement, pension, veterans benefits, etc.) (D) 11 = other reimbursable, contingent, intangible, or indirect financial assistance NOTE: The alphabetic designation following each entry above refers to the type of assistance in the Catalog of Federal Domestic Assistance. 26 Record Type AN 1 366 1 = county aggregate reporting 2 = action-by-action reporting 27 Correction/Late Indicator AN 1 367 C = correction to a record reported in a prior quarter (funding amount is the amount of change, if any). L = late reporting of an action occurring in a prior quarter blank = current entry 28 Fiscal Year and Quarter Correction AN 3 368-370 Three position numeric designation of the fiscal year and quarter to which the corrected or late record applies. The format is yyq. Field is blank for current quarter records. Field Data Field Record No. Data Element Type Length Position 29 Principal Place of Performance Code AN 7 371-377 The entry is the numeric code for the principal place of performance--the project being funded. The field contains seven positions. State: The first two positions (371, 372) are the numeric FIPS code for the State, ter- ritory, or the District of Columbia. A "00" code followed by five asterisks (*) indicates multi-State project. A "00" numeric code followed by "FORGN" in the next five positions indicates the place of performance is in a foreign country. County or city: Positions 373 through 377 indicate the principal county or city of performance (project location). If the project is Statewide, asterisks appear in positions 373 through 377. If the project is countywide, or in more than one county, the three character numeric FIPS code for the county, or county of principal performance, appears in positions 375-377, preceded by two asterisks. All FAADS transactions reported on a county aggregate basis are in the countywide format. If the principal place of performance is a par- ticular city, the five character numeric FIPS 55 place code is in positions 373-377. * Field will be blank in county aggregate reporting. Field Data Field Record No. Data Element Type Length Position 30 Principal Place of Performance AN 50 378-427 The name of the State or territory, and county or city of performance, are indicated. Entries are left justified, space filled within each subfield. State AN 25 378-402 County or city AN 25 403-427 31 CFDA Program Title AN 74 428-501 The title of the program under which the award is being funded, taken from the Catalog of Federal Domestic Assistance. Entry is left justified, space filled. 32 Federal Agency Name AN 72 502-573 The name of the agency making the award of financial assistance. Entry is left justified, space filled. 33 State Name AN 25 574-598 The name of the State or territory in which the recipient of the award is located. 34 Reserve (blank) AN 26 599-624 * Field will be blank in county aggregate reporting. FAADS DATA QUALITY Edit Checks The Bureau of the Census performs a series of edit checks to ensure that all input requirements are met, and that data in certain fields are valid. There are edit checks for each data element. All of the input records of each Federal agency's FAADS submission are edited. Copies of the edit program are available to users, upon request. Federal Agency Compliance FAADS is dependent upon the data supplied by Federal departments and agencies. Since agency operations are established to meet their internal requirements, some agencies are not capable of reporting all the requested FAADS data. Agencies were requested to submit waivers to OMB where specific provisions in the reporting instructions could not be met. A summary of Federal agency compliance accompanies each FAADS quarterly report to assist the user in interpreting FAADS information. APPENDIX A LIST OF SELECTED FEDERAL DEPARTMENTS AND AGENCIES PARTICIPATING IN FAADS Agriculture, Department of Agricultural Marketing Service Agricultural Research Service Animal and Plant Health Inspection Service (APHIS) Center for Nutrition Policy and Promotion Cooperative State Research, Education and Extension Service Economic Research Service Farm Service Agency Federal Crop Insurance Corporation Food Safety and Inspection Service (FSIS) Food and Consumer Service Foreign Agriculture Service Forest Service (FS) Grain Inspection, Packers and Stockyards Administration National Agricultural Statistics Service Natural Resource Conservation Service Office of International Cooperation and Development Risk Management Agency Rural Business - Cooperative Service Rural Housing Service Rural Utilities Service Appalachian Regional Commission (only reporting programs for which ARC obligates funds directly) Commerce, Department of Economic Development Administration (EDA) International Trade Administration (ITA) National Institute of Standards and Technology Minority Business Development Agency (MBDA) National Oceanic and Atmospheric Administration (NOAA) National Telecommunications and Information Administration (NTIA) Corporation for National and Community Service (formerly ACTION) Defense, Department of Department of the Army, Office of the Chief of Engineers National Guard Bureau Office of the Assistant Secretary of Defense for Force Management and Personnel Education, Department of Bilingual Education and Minority Language Affairs Educational Research and Improvement Elementary and Secondary Education Postsecondary Education Special Education and Rehabilitative Services Vocational and Adult Education Energy, Department of Energy Efficiency and Renewable Energy Environment, Safety and Health Energy Research Environmental Management Fossil Energy Economic Impact and Diversity Nuclear Energy Civilian Radioactive Waste Management Environmental Protection Agency Office of Administration and Resources Management Office of Air and Radiation Office of Enforcement Office of International Activities Office of Pesticides and Toxic Substances Office of Policy Planning and Evaluation Office of Research and Development Office of Solid Waste and Emergency Response Office of Water Equal Employment Opportunity Commission Federal Emergency Management Agency Federal Insurance Administration Preparedness, Training and Exercises Response and Recovery U.S. Fire Administration Health and Human Services, Department of Administration on Aging Administration for Children and Families Health Care Financing Administration Public Health Service Housing and Urban Development, Department of Community Planning and Development Federal Housing Commissioner Office of Policy Development and Research Public and Indian Housing Institute of Museum Services Interior, Department of the Bureau of Indian Affairs Bureau of Land Management Bureau of Reclamation Geological Survey Minerals Management Service National Biological Survey National Park Service Office of Surface Mining Reclamation and Enforcement U.S. Fish and Wildlife Service Justice, Department of Bureau of Justice Statistics Bureau of Prisons National Institute of Justice Office of Justice Programs Office of Juvenile Justice and Delinquency Prevention Community Relations Service Labor, Department of Bureau of Labor Statistics (BLS) Employment Standards Administration (ESA) Employment and Training Administration (ETA) Mine Safety and Health Administration Occupational Safety and Health Administration (OSHA) Office of the American Workplace Pension and Welfare Benefits Administration Veterans Employment and Training Service National Aeronautics and Space Administration National Archives and Records Administration National Historical Publications and Records Commission National Endowment for the Arts National Endowment for the Humanities National Science Foundation Nuclear Regulatory Commission Railroad Retirement Board Social Security Administration Small Business Administration Smithsonian Institution Transportation, Department of Federal Aviation Administration (FAA) Federal Highway Administration (FHA) Federal Railroad Administration Maritime Administration National Highway Traffic Safety Administration Office of the Secretary (Essential Air Traffic Services) United States Coast Guard Federal Transit Administration Treasury, Department of the Internal Revenue Service (IRS) Veterans Affairs, Department of Veterans Benefits Administration Veterans Health Administration Less Frequently Participating Agencies Federal Mediation and Conciliation Service Harry S. Truman Scholarship Foundation Japan - United States Friendship Commission Pension Benefit Guaranty Corporation State, Department of United States Information Agency U.S. Institute of Peace