[Federal Register Volume 67, Number 210 (Wednesday, October 30, 2002)]
[Notices]
[Pages 66177-66178]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-27542]


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OFFICE OF MANAGEMENT AND BUDGET


Office of Federal Financial Management; Proposed Policy on Use of 
a Universal Identifier by Grant Applicants

AGENCY: Office of Management and Budget.

ACTION: Notice of Proposed Requirement for Use of a Universal 
Identifier by Grant Applicants.

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SUMMARY: The Office of Management and Budget (OMB) seeks to establish a 
standard means for tracking Federal grant recipients throughout the 
entire grant life cycle and to provide the public with a uniform 
business practice. Currently Federal agencies use multiple and 
different identifiers for the entities which apply for and receive 
Federal grant funds, while a single identifier is used by entities 
which apply for and receive Federal contracts.
    The Federal Government is in the process of developing an 
electronic standard grant application capability, known as E-APPLY, 
under an E-Grants system which will require each applicant to be 
uniquely identified. This notice seeks comments on the proposal by 
OMB's Office of Federal Financial Management (OFFM) to establish a 
requirement for applicants to register for a Dun and Bradstreet (D&B) 
Data Universal Numbering System (DUNS)) number for use as the Universal 
Identifier needed to respond to Federal agency grant or cooperative 
agreement announcements. The DUNS is already in use by those entities 
seeking Federal contracts.

DATES: All comments on this proposal should be in writing, and must be 
received by December 30, 2002.

ADDRESSES: Due to potential delays in OMB's receipt and processing of 
mail sent through the U.S. Postal Service, we encourage respondents to 
submit comments electronically to ensure timely receipt. We cannot 
guarantee that comments mailed will be received before the comment 
closing date.
    Electronic mail comments may be submitted to [email protected]. 
Please include ``DUNS Comments'' in the subject line of the message. If 
including the comments as an attachment to the e-mail, identify the 
attachment with ``DUNS Comments.'' Please include your name, title, 
organization, postal address, telephone number, and e-mail address in 
the text of the e-mail message. Comments may also be submitted via 
facsimile to (202) 395-4915.
    Comments may be mailed to Sandra R. Swab, Office of Federal 
Financial Management, Office of Management and Budget, Room 6025, New 
Executive Office Building, Washington, DC 20503.

FOR FURTHER INFORMATION CONTACT: Sandra R. Swab, Office of Federal 
Financial Management, Office of Management and Budget, at 202 395-5642 
(direct), 202-395-3993 (main office), or via e-mail 
([email protected]).

SUPPLEMENTARY INFORMATION: The Federal Government is in the process of 
developing a government-wide electronic portal that will include grant 
opportunity announcement (E-FIND) and electronic application (E-APPLY) 
capabilities. This new system is referred to as E-Grants and is one of 
the 24 cross-agency electronic government (E-Gov) initiatives referred 
to in the President's Management Agenda.
    The E-Grants system will require that a Universal Identifier be 
used to verify each applicant. The identifier will be used for grant 
status tracking purposes, as well as by the Federal agencies as a 
source of other business information pertaining to the applicant.
    OMB expects that with the use of a Universal Identifier, the need 
for organizations to submit redundant data with each application and 
report will be significantly reduced. Agencies will be able to use the 
Universal Identifier to obtain the standard legal name and address of 
the organization doing business with the government. The use of the 
Universal Identifier will also make it possible to create a unified, 
simplified, government-wide grant application and report submission 
mechanism.
    Use of the DUNS number as the Universal Identifier for grants-
related business transactions will provide the public with a uniform 
business practice since the DUNS is already in use by those entities 
seeking Federal contracts. Furthermore, use of a Universal Identifier 
will enable applicants and grantees to carry out authenticated and 
secure electronic interactions with the Federal Government. For Federal 
agencies, grantee use of the Universal Identifier can facilitate an 
analysis of grant applications and awards across agencies.
    The E-Grants system will be one means of implementing the 
requirement for a DUNS number for the Federal grant process. Applicants 
submitting paper applications will also be required to include a DUNS 
number.
    OMB is working to ensure that the Federal Assistance Awards Data 
System (FAADS) database, the government-wide grant payment systems, and 
the Federal Audit Clearinghouse (FAC) database will incorporate the 
Universal Identifier and make grant information more accessible and 
usable for the public. OMB plans to require use of a Universal 
Identifier by October 1, 2003 (which is the planned implementation date 
of the E-Grants Application process, E-APPLY), contingent on the 
results of our review of the public comments received in connection 
with this proposed policy.

DUNS Number

    Many entities already hold a D&B DUNS number. For those 
organizations that do not already have a DUNS number, the number is 
easily obtained by telephone or via the Internet (http://www.dunandbradstreet.com). The DUNS number will be assigned by D&B upon 
request at no charge to the requestor. About 10-12 data elements are 
required for D&B to assign a DUNS number. Data elements include 
business name(s), address, telephone numbers, ownership information, 
legal structure of business, primary line of business, and the number 
of employees.

Request for Comment

    OMB seeks comment from the affected public on the proposal to 
require use of the DUNS number to conduct grants business with the 
Federal Government. Questions that you should address include: Are 
there any barriers that preclude organizations or entities from 
obtaining a DUNS number by the planned October 1, 2003, implementation 
date of the E-Grants application process (E-APPLY)? When this 
requirement is adopted, what outreach and education for the applicant 
community will be necessary to increase awareness of the requirement 
for DUNS numbers? What additional barriers or problems could result, if 
the proposed DUNS number requirement is expanded to require sub-
recipients to obtain a DUNS number? Does the policy statement which 
follows provide sufficient information about the requirement to use a 
DUNS number?


[[Page 66178]]


    Dated: October 17, 2002.
Joseph L. Kull,
Deputy Controller.

Proposed OMB Policy Directive

To the Heads of Executive Departments and Establishments

    Subject: Requirement for Use of a Universal Identifier by Grant 
Applicants.
    1. Purpose. This policy directive establishes the requirement for 
any applicant for Federal funds under a grant program to obtain a Dun 
and Bradstreet (D&B) Data Universal Numbering System (DUNS) number for 
use as the applicant's Universal Identifier.
    2. Authority. This policy directive is part of the implementation 
of the Federal Financial Assistance Management Improvement Act of 1999 
(Public Law 106-107).
    3. Background. Public Law 106-107 requires the Office of Management 
and Budget (OMB) to direct, coordinate, and assist Executive Branch 
departments and agencies in establishing an interagency process to 
streamline and simplify Federal financial assistance procedures for 
non-Federal entities. It also requires each executive agency to 
develop, submit to the Congress, and implement a plan for the 
streamlining and simplification effort that ``allows applicants to 
electronically apply for, and report on the use of, funds from the 
Federal financial assistance program administered by the agency. . .''.
    In response to that requirement, the Federal Government is in the 
process of developing an electronic standard grant application process 
under an E-Grants system, which requires each applicant to be uniquely 
identified by a Universal Identifier. The identifier will be used for 
grant status tracking purposes and as a source of business information 
pertaining to the applicant. Use of the Universal Identifier will 
enable applicants and grantees to carry out authenticated and secure 
electronic interactions with the Federal Government. Use of the DUNS 
number as the Universal Identifier for grants-related business 
transactions will provide the public with a uniform business practice 
since the DUNS is already in use by those entities seeking Federal 
contracts.
    4. Policy. Applicants for Federal funds under any grant program 
administered by Federal agencies shall seek and obtain a Dun and 
Bradstreet (D&B) Data Universal Numbering System (DUNS) number for use 
as the Universal Identifier. A DUNS number is required for any 
applicant to make use of the E-Grants system. Applicants submitting 
paper applications are also required to include a DUNS number as their 
Universal Identifier. The policy does not apply to individuals applying 
for direct assistance under Federal programs.
    5. Responsibilities.
    a. Agency Responsibilities. Executive Branch departments and 
agencies:
    (1) Must issue any needed direction to offices that award grants 
and cooperative agreements to implement this policy.
    (2) Shall also direct recipients to initiate actions to obtain a 
DUNS number. The number is easily obtained by telephone or via the 
Internet (http://www.dunandbradstreet.com).
    b. OMB Responsibilities. The Office of Management and Budget will 
update this policy letter as needed, based on recommendations from 
interagency work groups.
    6. Information Contact. Direct any questions regarding this policy 
directive to Sandra Swab, OFFM, 202-395-5642 (direct) or 202-395-3993 
(main office).
    7. Effective Date. The policy directive is effective 30 days after 
issuance. All implementing actions other than regulatory revisions must 
be completed by the Executive departments and agencies within 6 months 
of issuance, and no later than October 1, 2003, when applicants and 
grantees must begin using the Universal Identifier.
Date:

Controller

[FR Doc. 02-27542 Filed 10-29-02; 8:45 am]
BILLING CODE 3110-01-P