Section 1512 and Section 1609 Reporting

ARRA Purpose and Opportunities

• National Purpose: ARRA was enacted on February 17, 2009 and is

intended to stimulate the Nation’s economy, create or save millions of jobs, and begin to address long-neglected challenges for the 21st century.

• The Act includes measures to modernize our nation's infrastructure, enhance energy independence, expand educational opportunities, preserve and improve affordable health care, provide tax relief, and protect those in greatest need.

ARRA 1512 Reporting

• Total amount of funds received; and of that, the amount spent on projects and activities;

• A list of those projects and activities funded by name to include: – Description – Completion status – Estimates on jobs created or retained;

• Details on sub-awards and other payments.

ARRA 1512 Reporting

• Payments made by prime recipients of Federal award dollars can be classified into two categories – (i) payments to sub-recipients and (ii) payments to vendors.*

• A sub-recipient is a non-Federal entity that expends Federal awards received from another entity to carry out a Federal program but does not include an individual who is a beneficiary of such a program.

*Refer to OMB Circular A-133, Audits of States, Local Governments, and Non-Profit Organizations for additional information.

ARRA 1512 Reporting• A vendor is defined as a dealer, distributor,

merchant, or other seller providing goods or services that are required for the conduct of a Federal program.

• Prime recipients or sub-recipients may purchase goods or services needed to carry out the project or program from vendors.

• Vendors are not awarded funds by the same means as sub-recipients and are not subject to the terms and conditions of the Federal financial assistance award.

ARRA 1512 ReportingA vendor: (1) Provides the goods and services within normal

business operations; (2) Provides similar goods or services to many different

purchasers; (3) Operates in a competitive environment; (4) Provides goods or services that are ancillary to the operation of the Federal program; and (5) Is not subject to compliance requirements of the

Federal program.

ARRA Reporting Requirements

• A recipient is expected to report on sub-recipient activities but may delegate certain reporting responsibilities to sub-recipients.

• A recipient and sub-recipient are expected to include vendor and purchase information in the recipient’s quarterly reports, unless the recipient delegates this reporting to the sub-recipient.

Data Elements• Prime Recipient • Federal Funding Agency Name • Award identification • Recipient D-U-N-S • Parent D-U-N-S • Recipient CCR information • CFDA number, if applicable • Recipient account number • Project/grant period• Award type, date, description, and amount

Data Elements• Amount of Federal Recovery Act funds expended to

projects/activities.• Activity code and description • Project description and status • Job creation narrative and number • Infrastructure expenditures and rationale, if

applicable • Recipient primary place of performance • Recipient area of benefit • Recipient officer names and compensation (Top 5) • Total number and amount of small sub-awards; less

than $25,000.

Data Elements

Recipient Vendor • D-U-N-S or Name and zip code of Headquarters (HQ) • Expenditure amount • Expenditure descriptionSub-Recipient (also referred to as FFATA Data Elements) • Sub-recipient D-U-N-S • Sub-recipient CCR information • Sub-recipient type

Data Elements• Amount received by sub-recipient • Amount awarded to sub-recipient • Sub-award date • Sub-award period • Sub-recipient place of performance • Sub-recipient area of benefit • Sub-recipient officer names and compensation (Top

5)

• Sub-Recipient Vendor • D-U-N-S or Name and zip code of HQ

ARRA Reporting

• ARRA recipients are required to report quarterly on job creation, compensation, and project details.

• The system for ARRA reporting is called www.FederalReporting.gov and registration begins on August 17, 2009.

• ARRA reports are due within 10 days after the end of the quarter (i.e., October 10th, January 10th, April 10th, and July 10th).

• The first report (October 10, 2009) should include all cumulative ARRA expenditures and activities since the date of grant award.

Reporting Timeline

• Day 1-10 – Recipients Report• Day 11 –Recipient Reports placed on public website• Day 11-21 Prime Recipient Data Review• Day 22 – Updated reports placed on public website• Day 22 -29 Agency Review• Day 30 – Reporting for Quarter ends- Public website

reports

ARRA Registration Procedure for Section 1512 Reporting at FederalReporting .govRegistration Procedure

• Register online at www.FederalReporting.gov before the end of the quarter (preferably no less than 35 days prior to the end of the quarter).

• To register, recipients will need the following:– Dun and Bradstreet number (DUNS)– Central Contractor Registration (CCR)– Valid email address

ARRA Registration Procedure for Section 1512 Reporting at FederalReporting.gov

Step 1–You Need to have a DUNS Number

• If recipients do not have a DUNS number they will need to obtain one.

• Get New DUNS by Phone 866-705-5711, Option 4 - or

• Use the online webform at http:fedgov.dnb.com/webform

ARRA Registration for Section 1512 Reporting

Step 2–You Need to be registered in the Central

Contractor Registration (CCR)• For CCR registration, go to www.ccr.gov• To register, you will need:– DUNS number– Taxpayer or employer ID number (TIN or EIN)– Statistical information about your business– Electronic Funds Transfer information for invoice

payment

ARRA 1512 Reporting• Specifically, sub-recipients are non-Federal

entities that are awarded Recovery funding through a legal instrument from the prime recipient to support the performance of any portion of the substantive project or program for which the prime recipient received the Recovery funding. Additionally, the terms and conditions of the Federal award are carried forward to the sub-recipient.

Need Help with CCR- Go to https://www.bpn.gov/ccr/help.aspx

Helpful CCR Resources Available

• The User’s Guide will walk you through the registration process, providing screen shots and links to find NAIC codes.

• Frequently Asked Questions provides detailed responses to the questions most often asked by registrants.

• Federal Service Desk (8am - 8pm Eastern Time)866-606-8220 – toll free334-206-7828 – charges applied to call

ARRA Registration for Section 1512 Reporting

Step 3 - You will need to Register at

FederalReporting.gov• The system for ARRA reporting is called

www.FederalReporting.gov and registration begins on August 17, 2009.

• Training will be made available by FederalReporting gov.

Resources for ARRA Section 1512 Reporting

• Webinars - There are seven Web-based training sessions on ARRA and its reporting requirements. Each of the sessions includes an audio file and a PowerPoint presentation with screen shots and specific instructions for recipients and subrecipients. The Webinars are located at http://www..whitehouse.gov/Recovery/WebinarTrainingMaterials

• FAQs - Frequently Asked Questions (FAQs) are also available for recipient and subrecipients at www.whitehouse.gov/omb/recovery_faqs

Recipient Login Page

Recipient Login Page (2nd Half)

Federal Reporting Registration Confirmation

Federal Reporting Terms and Conditions

My User Account Page

Create a Report (Prime Recipient reporting Prime data and Sub data)

Enter Prime Recipient Data

Add Vendor Page

My Reports Page

View Report

View Sub Recipients

View Sub Recipient Detail

View Vendors

View Vendor Details

Ways To Report• Online data entry in a Web browser• Excel spreadsheet – Modifying the structure of the spreadsheet will risk non-

compliance due to an invalid submission.

• Custom software system extract in XML– The supplemental materials to the OMB Guidance contain the data

dictionary and XML schema needed for formatting and structuring the XML system extracts. Details about field constraints (elements used in drop down menus on the Web form, etc.) will be added to those materials and posted to www.FederalReporting.gov.

– A service for validating the structure of XML extracts will be available on www.FederalReporting.gov prior to the submission period to ensure extracts are properly formatted. Recipients are strongly encouraged to test their report structures prior to the reporting period.

Alternative Reporting Methods- MS-Excel XML Bound Spreadsheet

• MS- Excel spreadsheet template will be available for download and report submission• Spreadsheet will be “locked” to prevent modification of the structure• Spreadsheet includes XML data bindings and must not be modified• Modification of spreadsheet will likely produce

XML that will not validate• MS-Excel Spreadsheet may be stored offlineand submitted when complete.

Download Template (Ms-Excel or XML Schema)

Over Arching Recommendations

• Register early• Assemble as much necessary information

ahead of time• Plan internal review procedures in advance• Identify key points of contact• Clearly coordinate reporting/reviewing

responsibility within your organization• Read over the FAQs in advance

ARRA Reporting Resources (continued)

• Recipients and subrecipients are strongly encouraged to familiarize themselves with these resources well in advance of the ARRA reporting deadline so that they can collect the relevant data elements in time for the October deadline.

• As administrators of www.FederalReporting.gov, OMB will

provide technical support for users experiencing difficulty navigating the site.

• HUD does not have administrative access to the system and is unable to address technical questions about the system.

ARRA Section 1512 Reporting Recap

• Register with www.FederalReporting.gov ASAP.• Track ARRA expenditures and activities

separately from other programs.• A recipient is expected to report on subrecipient

activities but may delegate certain reporting responsibilities to subrecipients.

• Reports are due within 10 days following the calendar quarter.

• The first report (October 10, 2009) should include cumulative expenditures and activities since the date of grant award.

Section 1609 NEPA Reporting

• The system for filing Section 1609 NEPA Reports is HUD’s RAMPS system found at www.hud.gov/recovery under the “Reporting” tab.

• RAMPS Registration consists of HUD User Registration and Recipient User Registration

• Registration processes have been setup for– External User with HUD ID– External User with no HUD ID– Internal HUD User

NEPA Reporting

• ARRA recipients that conduct their own environmental reviews must submit quarterly reports on the status of National Environmental Protection Act (NEPA) reviews.

• The system for NEPA reporting is called RAMPS and can be found on HUD’s recovery website at www.hud.gov/recovery and under the “Reporting” tab.

• Further guidance on registration and training for use of this system is forthcoming.

RAMPS Registration

• HUD Program Admin– This user is responsible for creating and

maintaining Groups, Users, and assigning Users to Groups.

– Access to the Admin function is through the RAMPS Admin Tools Tab on the HUD Recovery Reporting Page.

RAMPS Reporting PageAdmin Tools

HUD Admin Recipient Group List

• Two list windows– Current recipient groups– Current users

• To create a group– Click the “Create New Group” button– The application will navigate to the Add Recipient

Group Page– Enter Data elements required for the group

HUD Admin Recipient Group List

• To search for a group– Use the search feature at the top of the recipient

group list– Search by Group Name

• To edit a created group– Click the “Edit this Group” link in the column under

the title “Actions”• To view users in a group– Click the “View Users” link in the column under the

title “Actions”

HUD Admin – Recipient Groups List

HUD Admin – Add Recipient Group Page

• Add all required elements• To match a Recipient Group to a set of awards– For program area level groups, select an

associated Recovery Act Treasury Account– For award level groups, enter an appropriate Tax

Id number

HUD Admin – Add Recipient Group Page

HUD Admin – User List

• To search for a user– Use the search feature at the top of the user list– Search by HUD ID (H-ID, C-ID, B-ID, M-ID, etc.)

• To create a user– Click the “Create New User” button– The application will navigate to the Add User Page– Enter Data elements required for the user

• To edit a created user– Click the “Edit User” link in the column under the title

“Actions”

HUD Admin – Users List

HUD Admin – Add User Page

• Add all required elements• To match a user within RAMPS to user

information stored through HUD security– The HUD ID must match exactly

HUD Admin – Add User Page

HUD Admin – User List

• To add a user to a group– Click the “Add to a Group” link in the column

under the title “Actions”– The application will navigate to the Add User to

Group Page– Select the check boxes for the desired groups for

the current user– Click the “Add Users to Selected Groups” button

at the bottom of the list

Admin User List

HUD Admin – Add User to Group Page

Recipient Admin Login Page

Recipient Admin – Add User To Group Page

Recipient Admin – Award List

• Two list windows– Current awards assigned to your group– Current users assigned to your group

• To grant user access to an award– Click the desired award in the awards list– The application will navigate to the Assign/Un-assign

page– Assign and un-assign users using the appropriate

Remove User and Assign User links under the Actions Column

Recipient Admin – Tools

Recipient Admin – Assign/Un-Assign Page