DUNS/CCR/FFATA/FSRS Management and Reporting Implementing the Federal Funding Accountability

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DUNS/CCR/FFATA/FSRS Management and
ReportingImplementing the Federal Funding
Accountability Transparency Act (FFATA) Using
the FFATA Sub-award Reporting System (FSRS)

• Maryland Governors Grants Conference 2011
• Kate Oliver, Program Manager,
• U.S. General Services Administration

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Agenda

• FFATA The Requirements
• FSRS System Overview
• System Resources
• Getting Help
• The future of FSRS

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FFATA the requirements
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What Does FFATA Require?

• The Federal Funding Accountability and
  Transparency Act (FFATA, or the Transparency Act)
  of 2006 and subsequent 2008 amendments requires
• Information disclosure of entities receiving
  Federal funding through Federal awards such as
  Federal contracts and their sub-contracts, as
  well as Federal grants and their sub-grants
• Disclosure of executive compensation for certain
  entities
• The establishment of a publicly available,
  searchable website that contains information
  about each Federal award
• Agencies to comply with OMB guidance and
  instructions and assist OMB in implementation of
  website

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What New Reporting Is Required?

• Prime grant awardees of Federal grants of 25K or
  more must report associated grant first-tier
  sub-grants of 25K or more (effective October 1,
  2010)
• Prime contract awardees of Federal contracts of
  25K or more must report associated contract
  first-tier sub-contracts of 25K or more
• Data collection was phased with all required
  first-tier sub-contracts reporting by March 2011
  
• Phase 1 Reporting first-tier sub-contracts of
  prime awards valued greater than 20M (effective
  July 2010)
• Phase 2 Reporting first-tier sub-contracts of
  prime awards valued greater than 550K (effective
  October 1, 2010)
• Phase 3 Reporting first-tier sub-contracts of
  prime awards valued at 25K or more (effective
  March 1, 2011)

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What Is the Specific New Information?

• Sub-award Information Required for FFATA
  Reporting
• Name of entity receiving award
• Amount of award (obligated amount)
• Funding agency
• NAICS code
• Program source
• Award title descriptive of the purpose of the
  funding action
• Location of the entity (including congressional
  district)
• Place of performance (including congressional
  district)
• Unique identifier of the entity and its parent
  and
• Total compensation and names of top five
  executives (prime or sub-awardee)

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What about Executive Compensation?

• Prime awardees must report executive compensation
  information for prime and/or sub-awardees if in
  the preceding fiscal year
• (1) The organization received 80 or more of its
  annual gross revenues in Federal awards and those
  revenues are greater than 25 million annually,
  and
• (2) The public does not have access to
  information about the compensation of the
  executives through periodic reports filed under
  section 13(a) or 15(d) of the Securities Exchange
  Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section
  6104 of the Internal Revenue Code of 1986.
• NOTE Classified information remains exempt from
  the prime and sub-award reporting requirements

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Who Is Responsible for Reporting?

• Agencies must report prime award information
• Prime awardees must report first-tier sub-award
  information and executive compensation
  information

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How Does Contracts Reporting Occur?

• Prime contract awardees must register with the
  Central Contractor Registry (CCR)
• Sub-awardees must register with Dun Bradstreet
  to get a DUNS number
• Prime contract awardees must respond to the
  executive compensation questions through CCR
• Agencies must report prime contract award
  information through the Federal Procurement Data
  System Next Generation (FPDS-NG)
• Prime contract awardees must report eligible
  sub-award information through the FFATA Sub-award
  Reporting System (FSRS)
• Prime contract awardees must respond to the
  executive compensation questions about their
  first-tier sub-awardee through FSRS (if the
  sub-awardee is NOT already in CCR)

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How Does Grants Reporting Occur?

• Prime grant awardees must register with the
  Central Contractor Registry (CCR)
• Sub-awardees must register with Dun Bradstreet
  to get a DUNS number
• Prime grant awardees must respond to the
  executive compensation questions through CCR
• Agencies must report prime grant award
  information through their FAADS-PLUS file
  submissions to USAspending.gov
• Prime grant awardees must report first-tier
  sub-award information through the FFATA Sub-award
  Reporting Systems (FSRS)
• Prime grant awardees must respond to the
  executive compensation questions about their
  first-tier sub-awardee through FSRS (if the
  sub-awardee is NOT already in CCR)

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How Long Do I Have To Report?

• Prime awardees must report first-tier sub-award
  information by the end of the month following the
  month the award or awards obligation was made
• For example, if a sub-award is made on August 5,
  2011 the prime awardee would have until September
  30, 2011 to report the sub-award
• Sub-awards made during August all have until
  September 30, 2011 to report

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What Else Helps Implement FFATA?

• The Office of Management Budget has issued
  guidance related to Open Government and
  Transparency to include the April 6, 2010 memo
  requiring the reporting of first-tier sub-awards.
• On July 8, 2010, an interim FAR Rule was
  published containing information on the FFATA
  reporting requirements for Federal contracts for
  executive compensation and first-tier
  sub-contract reporting.
• On August 27, 2010, OMB issued guidance to
  Federal agencies on implementation of the
  Transparency Acts executive compensation and
  sub-award reporting.

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Summary
Who? Reports what? How?
Agency Prime award information for Federal awards 25K or more FPDS-NG for contracts FAADS-PLUS file submission to USAspending.gov for grants
Prime awardee Prime awardee information Executive compensation First-tier sub-awards of 25K or more CCR CCR FSRS
Sub-awardee Register for DUNS Number Provide required entity information, including executive compensation responses, to prime awardee Dun Bradstreet Self, or register in CCR
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FSRS System overview
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What Is FSRS?

• FSRS (www.fsrs.gov) is the FFATA Sub-award
  Reporting System
• Collects sub-award information from prime
  awardees
• Uses existing sources to pre-populate prime
  contract data and sub-contractor data by
  interfacing with
• Central Contractor Registration (CCR,
  www.bpn.gov/ccr)
• Dun Bradstreet (DB, www.dnb.com)
• Contracts Federal Procurement Data System (FPDS)
• Grants FAADS-PLUS from USAspending.gov
• Supports multiple report submission via XML
  web services, a .csv batch template or an .xml
  report template
• Leverages the Electronic Subcontract Reporting
  System (eSRS)
• You do not need to re-register if you have an
  existing account in eSRS

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The Middleman

• FSRS enables prime awardees to report
  FFATA-required sub-award and executive
  compensation data about their sub-awardee then
  provides this data for display on USAspending.gov
• if not registered in CCR

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FSRS Home Page (www.fsrs.gov)
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FSRS Awardee Login Page
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FSRS Awardee Home Page
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In FSRS, Prime Awardees Can

• Manage FFATA Reports
• Search for an Award
• Create New FFATA Sub-award Report
• Save Draft FFATA Sub-award Report
• Delete Draft FFATA Sub-award Report
• Submit New FFATA Sub-award Report
• Reopen and Revise Submitted FFATA Sub-award
  Report
• Copy Existing FFATA Sub-award Report
• Manage FFATA Sub-award Report List
• Submit Multiple FFATA Sub-award Reports
• Manage Awardee Worklist
• Organize Prime Awards Associated with
  Registered DUNS
• Search for Prime Award
• Add Prime Award to / Remove Prime Award from
  Worklist

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Create New FFATA Sub-award Report
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Step 1 Instructions
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Step 2 Enter Contract / Award
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Step 2 Enter Contract / Award
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Step 2 Enter Contract / Award
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Step 3 Grant Award Details
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Step 4 Prime Award Details (1 of 5)
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Step 4 Prime Award Details (2 of 5)
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Step 4 Prime Award Details (3 of 5)
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Step 4 Prime Award Details (4 of 5)
If Yes on 16
Then answer 17
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Step 4 Prime Award Details (5 of 5)
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On-line CCR Registration Help
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Step 5 Subawardee Data (1 of 3)
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Step 5 Subawardee Data (2 of 3)
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Step 5 Subawardee Data (3 of 3)
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Step 6 Review
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Step 7 Submit Report
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System resources
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Where Do I Find System Resources?

• FSRS Resources Page (https//www.fsrs.gov/resourc
  es) contains
• Quick Reference Guides for Contracts and Grants
• Managing Sub-award Reporting in FSRS
• Add an Award to the Awardee Worklist
• Delete an Award from the Awardee Worklist
• Creating and Submitting a FFATA Sub-award Report
  in FSRS
• Edit a Report from the FFATA Reports List
• Review, Access and Retrieve Reports from the
  FFATA Reports List
• Complete a Batch Upload for Sub-award Reporting
• User Guides
• Demonstration Videos Webinar Archives
• Technical Documentation

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www.fsrs.gov/resources
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Resources Page (1 of 2)
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Resources Page (2 of 2)
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GetTING help
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Where Can I Find Help?

• FSRS is one of several systems served by the
  Federal Service Desk (www.fsd.gov) for Tier 1
  support
• The FSRS home page has a For Help Federal
  Service Desk link directing users to the
  multi-channel FSD contact center
• FSRS also has system FAQs posted on the home page
  and again within the site on the Resources Page

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Service Desk (1 of 4)

• Clicking on the For Help Federal Service Desk
  link on the home page, or anywhere within the
  site, takes the user to a splash screen
• The user can either click the logo to be quickly
  redirected immediately or wait 30 seconds and be
  sent to the FSD home page at www.fsd.gov

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Service Desk (2 of 4)

• There are multiple ways to find information
  within the FSD site the easiest is the Answer
  Center
• Users can enter search terms in the box or narrow
  the search by system
• FSRS feeds the Answer Center with new questions
  and updated information continually

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Service Desk (3 of 4)

• Click on Search by System to narrow the search
• Click the drop-down arrow to Limit by System
• Enter search terms and the results are provided
  with links to other like answers
• Search Tips are provided

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Service Desk (4 of 4)

• Users can also establish an account to use Ask a
  Question web form
• In addition, live FSD Customer Service
  Representatives are available from 8 a.m. 8
  p.m. Eastern Time, Monday-Friday at
• U.S. Calls 866-606-8220
• International Calls 334-206-7828

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Register for DUNS Number

• http//fedgov.dnb.com/webform

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CCR On-Line Registration Help

• https//www.bpn.gov/ccrupdate/Help/New/CCR_New_Reg
  istration_Help.htm

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USAspending.gov (1 of 2)

• Further information about sub-award reporting is
  available at USAspending.gov under Sub-award
  Documents
• http//www.usaspending.gov/sub-award-documents

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USAspending.gov (2 of 2)
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Coming Soon
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Changes Ahead for IAE Systems
Today

• Siloed Separate systems, each with a separate
  login
• Redundant Overlapping data
• Separate Various hosting locations, managed
  separately

Includes FedReg
Future

• 1 Login! Functionality accessible at one online
  location to streamline the process
• 1 Data Source! Centralized, normalized data to
  eliminate potential for conflicting values
• 1 Host! Consolidated hosting to reduce OM costs

Includes FedReg
Existing capabilities, streamlined for efficiency.
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SAM Organization

• IAE system capabilities notionally have been
  organized around six key functional areas

Functional Area Capabilities Legacy Systems
Entity Management Manage entity core data Manage certifications/representations CCR/FedReg Central Contractor Registration ORCA Online Representations and Certifications Application
Award Management Post solicitation and award data Maintain government-wide contract award data Manage government-wide subcontractor data FBO Federal Business Opportunities FPDS-NG Federal Procurement Data System-Next Generation eSRS/FSRS Electronic Subcontracting Reporting System
Wage Data Access wage determinations WDOL Wage Determination Online
Performance Information Manage/maintain past performance information Manage exclusion list PPIRS/CPARS Past Performance Information Retrieval System EPLS Excluded Parties List System
Assistance Program Catalog Create/maintain assistance program catalog CFDA Catalog of Federal Domestic Assistance
Support Provide security/access control Provide reporting/communications support Provide internal controls
For the purposes of this capability area,
Entity refers to prime contractors, organizations
or individuals applying for assistance awards,
those receiving loans, sole proprietors,
corporations, partnerships, and any Federal
government agencies desiring to do business with
the government
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Accessing SAM Phase 1

• After migration, all the capabilities in
  CCR/FedReg, ORCA, and EPLS will be available at
  SAM.gov 1 login!
• Users will be automatically redirected from the
  legacy systems to SAM
• Users will specify a new user ID and password
  the system will guide users through the process
  when they log in with their old user name
• Users will experience a streamlined process
• Data and process will be integrated into logical
  groupings (e.g., Core Data, Reps and Certs)
• Registration purpose will be captured at the
  start to guide data entry
• Process steps will be reordered to improve
  efficiency (e.g., TIN match, CAGE validation, POC
  collection)

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Next Steps

• Subject Matter Experts have provided input to and
  validation of requirements for the CCR/FedReg,
  ORCA, EPLS migration group
• The next migration group includes FBO, eSRS/FSRS
  and CFDA

FY10
FY11
FY12
M A M J J A S O N D J F M A M J J
A S O N D J F M A M J J A S
Initiate Requirements Gathering
Capabilities Available in SAM
CCR/FedReg, ORCA, EPLS Migration
5/12
7/10
Development
User Training
Solicitation
Testing/ Deployment/ Integration
Requirements input through CCBs, user groups, and
industry meetings
Agency participation in Government Acceptance
Testing

• Subsequent migration groups will follow this same
  pattern.

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Staying Informed

• Go to http//sam.gov
• Direct any SAM-related questions to
  AskSAM_at_gsa.gov
• Participate in our Contract Writing
  System/Interfaces meetings, if applicable
  write to AskSAM_at_gsa.gov to be invited.