• The significant project funding change level was increased from $25,000 or 10% of a project’s total funding whichever is less to $100,000 or 25% of a project’s total funding whichever is less.
• Decision Maker for allocation changes may delegate, in writing, individuals authorized to make changes in allocation.
• Funding initially allocated to the Region/Headquarters with the expectation that the funding will be distributed to projects during the fiscal year no longer require coordination with the program coordinator.

The purpose of this memorandum is to document the administrative procedures that the U.S. Geological Survey (USGS) will use during fiscal year (FY) 2003 for allocating appropriated funds to cost centers, ensuring effective internal controls. The administrative procedures support the program planning and management procedures described in:

A. Email with attachments, dated November 1, 2002, from the Chief, Administrative Policy and Services, to the Regional Directors, Associate Directors, Regional Executives, Program Coordinators, and Cost Center Managers, Subject: FY 2003 Project Approval Process and Timeline. Following the prescribed procedures for program planning and funds allocation, program coordinators, Associate Directors, Regional Directors, Regional Executives, cost center managers, and project chiefs collectively determine the funds to be allocated to each project, account, cost center, and region. See Attachment 1.

B. “Changing the Distribution of Appropriated Funds,” dated January 17, 2003. See Attachment 2.

2. Overview

For FY 2003, USGS controls on appropriated funding will be established at three levels and cannot be exceeded:

A. Within the Federal Financial System (FFS), control amounts will be in place (on the Sub-allotment (SALT) table) for each budget activity in each cost center (allocation organization) and for each budget fiscal year. FFS will reject transactions that cause obligations and expenditures to exceed these amounts.

B. Within BASIS+, Master Agreements will establish a funding limit for each USGS program, other than the Water Resources Cooperative Program, and budget fiscal year within each region, and at headquarters. Agreement allocations for a USGS program in the region may not exceed the funding limit established for the program in the Master Agreement. For the Water Resources Cooperative Program, Master Agreements will exist for each relevant cost center.

C. Within BASIS+ and FFS, an agreement allocation will establish a funding limit for each USGS program and budget fiscal year within each cost center. Funding levels for accounts for a USGS program in the cost center may not exceed the funding limit established for the program by the agreement allocation.

D. Within BASIS+ and FFS, funding levels will exist for each account.

3. Responsibilities

A. Office of Budget:
1) Informs program coordinators (Associate Directors) of the funds available for each program element.
2) In coordination with the Office of Fiscal Services (OFS), establishes funding limits in FFS (on the SALT table) for each budget activity in each cost center.
3) Determines the amount of other appropriated funds available to USGS, by cost center and program. Other funds include, but are not limited to, appropriated funds carried over from the previous fiscal year.
B. Program Coordinators (Associate Directors):
1) Provide funding data to cost centers, regions, and Fiscal Services offices about the initial allocation of appropriated funds.
2) Establish funding targets for each USGS program by region and provide the OFS a table in electronic form (Excel workbook) displaying the funds allocated to cost centers for each program. (See Attachment 3 for a sample Allocation Table).
C. Office of Fiscal Services:
1) Ensures that the allocation of appropriated funds is consistent with the amounts apportioned to USGS.
2) Computes the total appropriated funds allocated to each region for each USGS program and establishes a Master Agreement in BASIS+ for those amounts, except for the Master Agreements for Water Resources Cooperative Program.
3) Computes the total appropriated funds allocated to each cost center for each Budget Activity and establishes a funding limit in FFS (SALT table) for those amounts.
4) Collects and maintains data about the allocation of appropriated funds in a single database.
5) For headquarters organizations, establishes one agreement allocation for each applicable program element in each cost center.
6) Reviews and approves funding for projects entered in BASIS+ by the headquarters organizations.
7) Revises Master Agreements, except for Master Agreements for the Water Resources Cooperative Program, and funding limits within FFS (SALT table) throughout the fiscal year to reflect approved changes in the allocation of funds.
8) Provides timely and complete information about the funds allocation data to regional Branches of Fiscal Services (BFS), the Office of Financial Management, and the Office of Budget.
D. Regional Branches of Fiscal Services:
1) Enter agreement allocations into BASIS+ for each program in each cost center.
2) Ensure the agreement allocations entered in BASIS+ and the Master Agreements for the Water Resources Cooperative Program are consistent with the allocation data provided by the Program Coordinators.
3) Review the account funding levels for projects entered by cost center administrative staff and ensure they are consistent with the agreement allocations entered into BASIS+.
4) Provide timely and complete information about the allocation of appropriated funds to cost center managers, administrative staff, and project staff.
E. Cost center administrative staff:
1) Enter the account funding levels for projects into BASIS+, subject to approval by the relevant Regional Director or, in the case of headquarters cost centers, the Chief Scientist.
2) For the Water Resources Cooperative Program, enter Master Agreements into BASIS+.

4. Initial Allocation of Appropriated Funds

A. Once Congress appropriates funds to USGS, the Office of Budget shall determine the funds available for each program (program element) and inform the program coordinators (Associate Directors), regions, and cost centers.
B. Associate Directors, in consultation with Chief Scientists and Program Coordinators, shall determine the funds from each program to be allocated to each region.
C. Regional Directors, Regional Executives, Cost Center Managers, and Project Chiefs shall determine the funds to be allocated to each project and account.
D. After the Office of Budget informs the program coordinators of the funds available for each program, the program coordinators shall provide, in electronic form (Excel worksheet), the OFS and the BFS with the following information about the funds allocated to cost centers for each program:
1) The program, program number, fund type, budget fiscal year;
2) For each cost center (and cost center number), the funds allocated. (See Attachment 3 for a sample Allocation Table.)
E. The OFS shall compile the data for all programs and compute the total funds allocated to cost centers by program and budget activity.
F. The OFS shall provide the funds allocation data to regional BFS, the Office of Financial Management (OFM), and the Office of Budget.
G. The OFS shall establish Master Agreements in BASIS+, except for the Water Resources Cooperative Program, in the proper amounts for each region and for headquarters.
H. Along with the Office of Budget, the OFS shall establish funding limits in FFS (on the SALT table) for each budget activity in each cost center.
I. The BFS (and in the case of headquarters organizations, the OFS) shall establish one agreement allocation for each applicable program (program element) in each cost center.
J. Cost centers shall populate BASIS+ with correct funding for each project and account.
K. The BFS (and in the case of headquarters organizations, the OFS) shall review and approve funding for projects and accounts entered in BASIS+ by the cost centers.
L. The Office of Budget and OFM shall determine the amount of other appropriated funds available to USGS by cost center and program. The other funds include, but are not limited to, appropriated funds carried over from the previous year.
M. The regional BFS, the Office of Budget and OFM shall provide the OFS with information about other appropriated funds:
1) The program, program number, fund type, budget fiscal year;
2) For each cost center (and cost center number), the funds allocated. (See Attachment 3 for a sample Allocation Table.)
N. The OFS, along with the Office of Budget, shall establish appropriate funding limits in FFS for the other appropriated funds.

5. Changing the Distribution of Appropriated Funds

A. “Changing the Distribution of Appropriated Funds,” dated July 17, 2003 (Attachment 2) provides detailed guidance about the process and programmatic approvals required to change the initial allocation of appropriated funds. Section 6, below, describes the administrative process for changing the allocation of appropriated funds between cost centers.

6. Changing Allocations From One Cost Center to Another

A. For changes to the allocation of funds that require written concurrence, Cost Center Chiefs will provide their request for allocation change via email, fax, or hardcopy to their servicing Fiscal Services office. In the email, the Cost Center Chief will state the reason for the change and that they have consulted with appropriate managers, who will also be copied on the email request. Approval by the Regional Executive(s) and Program Coordinators may be indicated by an email reply to all with “concur” in the response.
B. The regional BFS (and in the case of headquarters organizations, the OFS) shall review requests for changes in allocations submitted by the cost centers. See the attached sample request for change in allocation (Attachment 4).
C. The regional BFS (and in the case of headquarters organizations, the OFS), in cooperation with the cost centers, shall decrease, as proposed, the funding for account(s) and adjust, as needed, the agreement allocation(s) in BASIS+.
D. The regional BFS shall forward the cost centers’ submission to the OFS, including both documentation of the appropriate program approvals and the appropriate financial information.
E. Within two working days of receipt of a change request from a BFS, the OFS shall update the funds allocation database and adjust, as appropriate, the funding limits for cost centers in FFS (on the SALT table) and the Master Agreements in BASIS+.
F. The OFS shall forward a copy of the cost center’s submission to the regional BFS that serves the gaining cost center.
G. The regional BFS (and in the case of headquarters organizations, the OFS) shall update, as appropriate, the agreement allocations in BASIS+, and increase funding for account(s) and notify the OFS that they have done so.
H. The OFS, on a weekly basis, shall provide the regional BFS, the Office of Financial Management, and the Office of Budget with a copy of the funds allocation database. (The database shall contain data about the initial allocation of funds and all changes in allocation from one cost center to another).
I. The OFS and the regional BFS shall provide managers and administrative staff with up-to-date information about the funds allocated to cost centers, programs, and regions.

Chief, Office of Administrative Policy and Services

Attachment 1
Attachment 2
Attachment 2(redlined version)
Attachment 3
Attachment 4

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