DOT 4600.17A

1. PURPOSE. This Appendix gives guidance for:
   • Reporting DOT Federal financial assistance awards as required by 31 U.S.C. §6102(a);

   • Maintaining records of Federal assistance programs and reporting on these programs to the Office of Management and Budget (OMB) and the General Services Administration (GSA) for inclusion in the Catalog of Federal Domestic Assistance (CFDA) in accordance with 31 U.S.C. '6104; and

   • Maintaining records of lobbying disclosures of recipients of Federal-aid.

2. BACKGROUND. The DOT Grant Information System (GIS) is a comprehensive information system that answers questions about assistance awards, provides periodic reports on various aspects of assistance programs, and provides periodic reporting to the Federal Assistance Awards Data System (FAADS) as required by 31 U.S.C. §6102(a). Except for awards to other Federal agencies or interagency agreements, all departmental financial assistance awards shall be reported to the GIS. Information on contracts awarded under the Federal Acquisition Regulation are not included in the GIS, but are reported to the Contract Information System. Reporting is done by a variety of means, such as manually prepared data entry forms, computer disks or tapes, or a PC-based data entry system. The GIS is designed to accommodate FAADS and the various operating administration (OA) and secretarial office (SO) information systems as much as practicable.
   The CFDA is a comprehensive listing of all Federal assistance programs, and provides information on program history, eligibility requirements, funding levels, application procedures, and Federal program points of contact. Executive departments and agencies are required to periodically provide updated information on existing and new programs in accordance with Public Law 98-169. The Office of the Senior Procurement Executive coordinates the submission of departmental information to the General Services Administration, maintains required records, and provides guidance on reporting procedures as required.
   Part 20 of 49 CFR prohibits the use of federally appropriated funds in connection with lobbying activities related to the award of a Federal contract, grant or loan.
   Part 20 also requires contractors and recipients of Federal assistance to disclose whether any funds other than federally appropriated funds have been used in connection with lobbying activities.

3. REQUIRED ACTIONS: GRANT INFORMATION SYSTEM
   • The Assistant Secretary for Administration shall:
     1. Be responsible for the operation of the GIS, including responding to requests for information and submitting data to FAADS.

     2. Develop, maintain, and revise as required, all reporting information, including but not limited to: Record Layout and General Data Descriptions; DOT F 1340.7B (04-97), DOT Grant Information System Form (see Appendix H, Page 4); and DOT Grant Information System Reporting Instructions.

     3. Edit information submitted to the GIS,identify problem areas, and contact the submitting organization directly to resolve the problems.

   • The OAs and SOs shall:
     1. Advise the Office of the Senior Procurement Executive of new assistance programs and make arrangements to have data submitted to the system.

     2. Report all obligations of Federal assistance awards to the GIS by the 15th of the month following the end of each quarter. Reports shall contain obligation information for the previous quarter and any other awards not previously reported. Data shall be submitted on magnetic tape, computer disk or diskette, on DOT F 1340.7B (Appendix H, Page 4),or via a PC-based direct data entry system. The Office of the Senior Procurement Executive will provide required input forms and documentation requirements. Except when data is provided to the GIS by automated systems, a copy of the completed DOT F 1340.7B shall be included in the project file for all DOT assistance awards.

4. REQUIRED ACTIONS: CATALOG OF FEDERAL DOMESTIC ASSISTANCE
   • The Assistant Secretary for Administration shall:
     1. Be responsible for DOT submission of CFDA information in accordance with OMB and GSA directives and guidance, and provide OAs and SOs with required submission guidance. Review and edit submissions, and provide a consolidated DOT input to OMB and GSA as required.

     2. Develop, distribute, maintain, and revise, as needed, all reporting information and materials, including reporting forms, pre-formatted diskettes, and edit checklists.

   • The OAs and SOs shall:
     1. Provide the Office of the Senior Procurement Executive with a point of contact responsible for reporting CFDA data.

     2. Advise the Office of the Senior Procurement Executive of new assistance programs and provide information on the programs as required.

     3. Provide periodic information updates to the Office of the Senior Procurement Executive upon request. Content and format of submissions will be provided by that office.

5. REQUIRED ACTIONS: REPORTS OF LOBBYING ACTIVITIES
   The OAs and SOs shall ensure copies of all lobbying disclosure forms submitted to them are retained in the project files.