maryland governor’s grants conference 2011 kate oliver, program manager,

DUNS/CCR/FFATA/FSRS Management and Reporting

Implementing the Federal Funding Accountability & Transparency Act (FFATA) Using the FFATA Sub-

award Reporting System (FSRS)

Maryland Governor’s Grants Conference 2011

Kate Oliver, Program Manager,U.S. General Services Administration

Agenda

►FFATA – The Requirements

►FSRS – System Overview

►System Resources

►Getting Help

►The future of FSRS

FFATA – THE REQUIREMENTS

► 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

What Does FFATA Require?

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)

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)

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

Who Is Responsible for Reporting?

► Agencies must report prime award information

► Prime awardees must report first-tier sub-award information and executive compensation information

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)

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)

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 award’s 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

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 Act’s executive compensation and sub-award reporting.

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

FSRS – SYSTEM OVERVIEW

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 (D&B, 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

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

FSRS Home Page (www.fsrs.gov)

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FSRS Awardee Login Page

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FSRS Awardee Home Page

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

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)

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If “Yes” on 16

Then answer 17

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

Where Do I Find System Resources?

FSRS’ Resources Page (https://www.fsrs.gov/resources) 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

www.fsrs.gov/resources

Resources Page (1 of 2)

Resources Page (2 of 2)

GETTING 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

Where Can I Find Help?

► 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

Service Desk (1 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

Service Desk (2 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

Service Desk (3 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:

1. U.S. Calls: 866-606-82202. International Calls: 334-206-7828

Service Desk (4 of 4)

Register for DUNS Number

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►http://fedgov.dnb.com/webform

CCR On-Line Registration Help► https://www.bpn.gov/ccrupdate/Help/New/CCR_New_Registration_Help.htm

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► Further information about sub-award reporting is available at USAspending.gov under “Sub-award Documents”

► http://www.usaspending.gov/sub-award-documents

USAspending.gov (1 of 2)

USAspending.gov (2 of 2)

COMING SOON

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Changes Ahead for IAE Systems

► Siloed – Separate systems, each with a separate login

► Redundant – Overlapping data

► Separate – Various hosting locations, managed separately

► Siloed – Separate systems, each with a separate login

► Redundant – Overlapping data

► Separate – Various hosting locations, managed separately

Today

► 1 Login!1 Login! – Functionality accessible at one online location to streamline the process

► 1 Data Source!1 Data Source! – Centralized, normalized data to eliminate potential for conflicting values

► 1 Host!1 Host! – Consolidated hosting to reduce O&M costs

► 1 Login!1 Login! – Functionality accessible at one online location to streamline the process

► 1 Data Source!1 Data Source! – Centralized, normalized data to eliminate potential for conflicting values

► 1 Host!1 Host! – Consolidated hosting to reduce O&M costs

Future

Existing capabilities, streamlined for efficiency.Existing capabilities, streamlined for efficiency.

Includes FedReg

Includes FedReg

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SAM Organization

►IAE system capabilities notionally have been organized around six key functional areasFunctional 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 55

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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

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

FY10 FY11 FY12

CCR/FedReg, ORCA, EPLS Migration

Initiate Requirements

Gathering5/127/10 Development

Capabilities Available in SAM

Requirements input through CCBs, user groups, and

industry meetings

User Training

Solicitation Testing/ Deployment/ Integration

Agency participation in Government

Acceptance Testing

► Subsequent migration groups will follow this same pattern.► 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@gsa.gov

►Participate in our Contract Writing System/Interfaces meetings, if applicable – write to AskSAM@gsa.gov to be invited.