Frequently Asked Questions for Section 1512(c) Reporting
LAST UPDATED: 6/22/2010
General Questions
Data Element Questions
Jobs Data Questions
General Questions
- What is a prime recipient?
- How do I know if I am a prime recipient, subrecipient or vendor for an award?
- Are state agencies considered prime or subrecipients of state awards?
- If we have a MOU with another jurisdiction who received the award, do we still have to report on the portion we received?
- Can we include information from multiple awards in a single report?
- Do I have to renew my organization's DUNS number and entity record before submitting a Section 1512(c) report?
- How do I search, review or modify a DUNS number and entity record?
- How do I request a new DUNS number?
- How can I verify that my organization's DUNS number is active and confirm other pertinent information?
- Do subrecipients have to have a DUNS number?
- How often do I have to renew my organization's CCR registration?
- Do subrecipients have to register with CCR?
- Do I have to provide a DUNS number for all of my vendors? What if my vendor does not have one?
- How do I know if I have to report highly compensated officer names and compensation for my organization?
- Do I need to report highly compensated officer data for subrecipients and vendors and subrecipients?
- How do I determine who the five most highly compensated officers are and what to include in the total compensation?
- Do we have to submit section 1512(c) reports if we already submit progress and financial reports in GMS?
- If we discover an error after we submit our quarterly 1512(c) report, who should I contact to correct it?
- Once I submit a final Section 1512(c) report, do I have any additional reporting requirements in OJP's Grant Management System (GMS)?
- Final progress report
- Final SF-425 report
- Special condition compliance
- Financial reconciliation completion
- Programmatic requirements certification
- If my award (prime recipient) is less than $25,000, do I still have to report?
- Do I need to provide reports to the end of the grant period, even if the funds are completely spent before that time?
- At least 75% of the total award amount must be drawn down from OJP.
- All funds must be expended at the prime recipient level.
- The project's activities must be completed per OJP requirements.
- The Project Status field must be marked as "Fully Complete" (marked as "4").
- No additional jobs will be funded.
- The Final Report field must be marked as "Yes."
- Final progress report
- Final SF-425 report
- Special condition compliance
- Financial reconciliation completion
- Programmatic requirements certification
- Where can I find a list of awards/programs that are required to submit 1512(c) reports?
- If our state has registered as a centralized reporting state, do individual agencies still need to register in FederalReporting.gov? (How do I know if the information I submitted through a state-wide system is going to be used for this report?)
- Who is responsible for collecting the data?
- How will the state compile data before submitting the final report?
- How and by whom will data be entered, reviewed and submitted?
- Who is responsible for responding to federal agency comments and making necessary changes?
- Who is responsible for forwarding the federal agency comments to the appropriate recipients to respond?
- Where can I find the FRPIN for my organization?
- When should my organization submit a final Section 1512(c) report?
- At least 75% of the total award amount must be drawn down from OJP.
- All funds must be expended at the prime recipient level.
- The project's activities must be completed per OJP requirements.
- The Project Status field must be marked as "Fully Complete" (marked as "4").
- No additional jobs will be funded.
- The Final Report field must be marked as "Yes."
- Final progress report
- Final SF-425 report
- Special condition compliance
- Financial reconciliation completion
- Programmatic requirements certification
- If my agency submitted our Section 1512(c) report as an incorrect award type, how can we change the report?
- How can I change an incorrect award number and/or DUNS number on my agency's submitted Section 1512(c) report?
- Where can I find the CFDA number for my award?
- What is the Funding Agency Code?
- What is the Awarding Agency Code?
- What should be put as the Award Date?
- Where do I find the Program Source (TAS) number and which one do I use?
- Where do I find the Sub Account Number for Program Source (TAS) and which one do I use?
- Where do I find the NAICS or NTEE-NPC codes (i.e., Activity Codes) and which one should I use?
- What if our agency/organization supports activities that span multiple Congressional Districts, which district number should I use?
- What vendor expenditures should be included on the Vendor Worksheet (Tab) of the Section 1512(c) template?
- If compensation programs are sending, on behalf of individuals, payments to hospitals, forensic sexual assault examiners, mental health providers, funeral homes, and other vendors, should these payments be reported as payments to vendors or as payments to individuals?
- Our quarterly financial/payroll records will not be closed prior to the end of the reporting period (10th). Do we still need to report on expenditures that have not yet posted in our system?
- How do I calculate jobs for the Section 1512(c) report?
- Should I report jobs data cumulatively?
- How should I report the description of jobs in my Section 1512(c) report?
- Administrative/Human Resources
- Community/Social/Victim Services
- Community Corrections
- Construction/Manufacturing
- Courts/Prosecution, Defense, And Civil Attorneys
- Detention, Probation, Parole
- Information Technology (IT)
- Law Enforcement
- Policy/Research/Intelligence
- Training and Technical Assistance
The entity who has received the funding directly from the Department of Justice (DOJ) in the form of grants, loans, or cooperative agreements is considered the prime recipient. All prime recipients are required to submit Section 1512(c) reports.
Prime recipients receive the award directly from DOJ.
Subrecipients are state agencies, units of local government (including units of local government receiving funds under the Byrne JAG program as a disparate jurisdiction), and organizations that receive Recovery Act funding through a formal instrument such as a subgrant or memorandum of understanding with a prime recipient.
Vendors are dealers, distributor merchants, or other sellers providing goods or services to Recovery Act funded prime and subrecipients.
The state agency who has received the award directly from DOJ is considered the prime recipient. State agencies that receive a sub-award from the prime recipient are sub-recipients.
The jurisdiction who received the award from DOJ is considered the prime recipient and has the primary reporting responsibility. An entity that has a MOU with a prime recipient is considered a subrecipient. If the prime recipient delegates reporting responsibilities to you, you will be required to report directly to FederalReporting.gov. Please contact your prime recipient immediately to determine if you have been delegated reporting responsibilities.
No. Recipients must submit a separate report for each prime award.
[Source: Recipient Reporting Data Model]
It is the recipient's responsibility to ensure that that their DUNS number and entity record is accurate and active with Dun and Bradstreet (D&B). While DUNS numbers don't expire, Dun and Bradstreet (D&B) does conduct routine and continuous data maintenance and outreach to verify operations at a location. When operations cannot be verified for a particular DUNS number, D&B may flag the DUNS number "inactive," which could interfere with successful reporting. It is also important that the information about your entity is accurate when used to report on government websites.
In order to lookup, review or modify a record at D&B, recipients may use the self-service web form at http://fedgov.dnb.com/webform. This application allows a recipient to lookup their DUNS number and review the data on file and request changes if necessary.
Recipients may use the self-service web form at http://fedgov.dnb.com/webform to request a new DUNS number if one does not exist.
Recipients may call (866) 705-5711 to verify that a DUNS number is active and confirm other details about their entity.
Yes. The subrecipient DUNS is a mandatory field in the Section 1512(c) report. All subrecipients must have a DUNS number, regardless of whether or not the prime has delegated reporting responsibilities.
[Source: Award special condition entitled RECOVERY ACT – Subawards – DUNS and CCR for Reporting. The recipient agrees to work with its first-tier subrecipients (if any) to ensure that, no later than the due date of the recipient’s first quarterly report after a subaward is made, the subrecipient has a valid DUNS profile and has an active registration with the Central Contractor Registration (CCR) database.]
It is the recipient's responsibility to ensure that their CCR information is up-to-date and that their registration is active and will remain active throughout the reporting cycle. CCR registrations must be renewed at least every 12 months or the registration expires preventing a recipient from submitting a report in FederalReporting.gov until the registration is re-instated.
Because re-instating an expired registration requires specific recipient actions to protect the security of the record, processing time, and additional time to update FederalReporting.gov, recipients must check their CCR registration prior to the beginning of each reporting cycle and maintain current Points of Contact (POC) in their CCR record to assure that the POC receives CCR renewal reminders.
Yes. DOJ requires that all subrecipients register with CCR before registering with FederalReporting.gov.
[Source: Award special condition entitled "RECOVERY ACT - Subawards - DUNS and CCR for Reporting"
The recipient agrees to work with its first-tier subrecipients (if any) to ensure that, no later than the due date of the recipient's first quarterly report after a subaward is made, the subrecipient has a valid DUNS profile and has an active registration with the Central Contractor Registration (CCR) database.]
When a DUNS number for a vendor is not available, recipients have the option to list the Name and Zip Code of the vendor’s headquarters when reporting.
[Source: Recipient Reporting Data Model]
The requirement applies to your organization if it meets all of the following three criteria:
1) Received 80% or more of its annual gross revenues from federal awards during the preceding year;
2) Received $25M or more in annual gross revenues from federal awards in the preceding year; and
3) Senior executive compensation information is not publicly available, such as on a public agency website or through SEC or IRS reports.
If you determine that you are required to provide this information, remember to calculate the value of the total compensation package, not the salary alone.
[Source: Recipient Reporting Data Model]
Vendors are not required to provide information on highly compensated officers.
Subrecipients who meet the same reporting criteria as prime recipients, see question 10 for criteria, are required to provide highly compensated officer data.
[Source: Recipient Reporting Data Model]
Report the five officers with the highest total compensation value.
"Total compensation" means the cash and noncash dollar value earned by the executive during the sub recipient’s past fiscal year of the following (for more information see 17 CFR 229.402(c)(2)):
(i) Salary and bonus.
(ii) Awards of stock, stock options, and stock appreciation rights. Use the dollar amount recognized for financial statement reporting purposes with respect to the fiscal year in accordance with FAS 123R.
(iii) Earnings for services under non-equity incentive plans. Does not include: Group life, health, hospitalization or medical reimbursement plans that do not discriminate in favor of executives, and are available generally to all salaried employees.
(iv) Change in pension value. This is the change in present value of defined benefit and actuarial pension plans.
(v) Above-market earnings on deferred compensation which are not tax-qualified.
(vi) Other compensation. For example, severance, termination payments, value of life insurance paid on behalf of the employee, perquisites or property if the value for the executive exceeds $10,000.
[Source: Recipient Reporting Data Model]
Yes. Recovery Act recipients are required to submit Section 1512(c) in www.FederalReporting.gov. Some information collected in Section 1512(c) is similar to data collected in financial and progress reports required by the awarding office. Recipients must continue to submit regular financial, programmatic and performance reports as well as Section 1512(c) reports.
As always, prime recipients should closely review the special conditions outlining the reporting requirements in their award documents. The awarding agency may require report submission in three different systems. For example, OJP’s Bureau of Justice Assistance (BJA) requires financial and program reports to be submitted in OJP’s Grants Management System (GMS); the performance measure data to be submitted in BJA’s Performance Measurement Tool; and the Section 1512(c) report to be submitted to www.FederalReporting.gov.
If errors are discovered after a report is submitted, please contact your federal grant manager and request that the report be unlocked during the Federal Review period. Errors discovered after the end of the Federal Review period may be corrected during the Continuous Quality Assurance period. See the graphic of the reporting timeline, entitled Reporting Timeline and Activities found at https://www.federalreporting.gov/federalreporting/documentation/timeline.pdf.
If a final report does meet the final report criteria and the report is accepted by OJP, no additional Section
1512(c) reports will be required to be submitted to FederalReporting.gov; however, recipients will need to initiate the grant close out process in the Grants Management System (GMS). In order to close out the award, recipients must complete and submit a closeout package in GMS, which includes the following:
For detailed instructions on how to submit a closeout package, please view OJP's GMS on-line training tool at http://www.ojp.usdoj.gov/gmscbt.
No. Prime recipients of Recovery Act funds for awards below the $25,000 threshold are not required to submit recipient reports; however, prime recipients issuing sub-awards are required to report these in aggregate. It is important to note that the Federal agencies are currently and will continue to report the aggregate totals of the obligations and outlays for these awards.
[Source: OMB Frequently Asked Questions Clarification On Aggregation Of Recipient Reports; Question #1. See http://www.whitehouse.gov/omb/recovery_faqs/#agg1]
Once a recipient has received all Recovery Act funds through drawdown, reimbursement, or invoice and completes all project activities meeting the goals and objectives stated in the approved application, the recipient submits a final Section 1512(c) report. In order for your final Section 1512(c) report for a grant award to be accepted by OJP in FederalReporting.gov, all of the following criteria must be met (please note, the following does not apply to contracts):
If your report does not meet the final report criteria, OJP will require you to change the Final Report field in their Section 1512(c) report to "No," and you will need to submit a Section 1512(c) report for the next reporting period.
If your report does meet the final report criteria and the report is accepted by OJP, you will not be required to submit any additional Section 1512(c) reports to FederalReporting.gov; however, you will need to initiate the grant closeout process in GMS. In order to close out the award, you must complete and submit a closeout package in GMS, which includes the following:
For detailed instructions on how to submit a closeout package, please view OJP's GMS Online Training Tool (www.ojp.usdoj.gov/gmscbt).
Supplement 1 to OMB’s Guidance released on June 22, 2009 provides a list of all programs subject to Section 1512(c) reporting requirements: http://www.whitehouse.gov/omb/assets/memoranda_fy2009/m09-21-supp1.pdf
DOJ programs are also listed in Activity Code Recommendations and CFDA Numbers posted at http://www.ojp.gov/recovery/recipientreporting.htm.
In a state that will be submitting reporting, on-behalf of the prime recipients, through a centralized system, the entity granted the responsibility to report must register in http://www.FederalReporting.gov. We recommend that you contact State officials responsible for the central reporting to receive guidance on registering. Prime recipients who will be reporting through a centralized state system should notify their grant manager as soon as possible.
DOJ also encourages the state to develop written operating procedures that address the following.
To receive the FRPIN, users must submit an FRPIN request in FederalReporting.gov. This request will be sent to the DUNS administrator (the POC listed in CCR for your organization) who can then approve or deny the request. When the request is approved, the system will send the FRPIN to the user who made the request.
Data Element Questions
Once a recipient has received all Recovery Act funds through drawdown, reimbursement, or invoice and completes all project activities meeting the goals and objectives stated in the approved application, the recipient submits a final Section 1512(c) report. In order for your final Section 1512(c) report for a grant award to be accepted by OJP in FederalReporting.gov, all of the following criteria must be met (please note, the following does not apply to contracts):
If your report does not meet the final report criteria, OJP will require you to change the Final Report field in their Section 1512(c) report to "No," and you will need to submit a Section 1512(c) report for the next reporting period.
If your report does meet the final report criteria and the report is accepted by OJP, you will not be required to submit any additional Section 1512(c) reports to FederalReporting.gov; however, you will need to initiate the grant closeout process in GMS. In order to close out the award, you must complete and submit a closeout package in GMS, which includes the following:
For detailed instructions on how to submit a closeout package, please view OJP's GMS Online Training Tool (www.ojp.usdoj.gov/gmscbt).
The recipient must submit a new report with the correct award type during the next reporting period. Recipients must not use the "Copy Forward" function.
Recipients can change incorrect award and/or DUNS numbers throughout the reporting period using the "Change Business Key Information" function. For detailed instructions on how to use the "Change Business" function, please refer to the FederalReporting.gov user guide, Chapter 13 entitled: How to Update Reports. The instructions can be viewed or downloaded at https://www.FederalReporting.gov/federalreporting/downloads.do#docs.
Activity Code Recommendations and CFDA Numbers posted on the OJP Recovery website.
For DOJ awards, list the code for the Department of Justice, 1500
Note: The templates on FederalReporting.gov have been updated to include this code. If your template does not allow you to enter the DOJ agency code, please download an updated template from FederalReporting.gov.
For DOJ awards, list the code for the Department of Justice, 1500
Note: The templates on FederalReporting.gov have been updated to include this code. If your template does not allow you to enter the DOJ agency code, please download an updated template from FederalReporting.gov.
The award date listed on your OJP or OVW award document (Block #6).
Use the code associated with the awarding office:
Office of Justice Programs................................................... 15-0402
Office on Violence Against Women....................................... 15-0411
Office of Community-Oriented Policing Services...................... 15-0412
Bureau of Alcohol, Tobacco, Firearms and Explosives.............. 15-0699
DOJ does not have Sub Account Numbers for Program Source. Recipients should leave this field blank.
The handout entitled Activity Code Recommendations and CFDA Numbers lists recommended activity codes by program: This document can be found on the OJP website: http://www.ojp.gov/recovery/recipientreporting.htm. If the codes recommended in Activity Code Recommendations and CFDA do not accurately describe your individual program, you may search for additional codes at the following websites:
National Taxonomy of Exempt Entities – Nonprofit Program Classification (NPC) at http://nccsdataweb.urban.org/PubApps/nteeSearch.php?codeType=NPC
North American Industry Classification System (NAICS) codes (for infrastructure projects, only) at http://www.census.gov/eos/www/naics
Select the Congressional District of your organization's headquarters.
List all expenditures over $25,000. For expenditures below $25,000, include amounts in the aggregate totals.
[Source: M-09-21 OMB Guidance June 22, 2009]
State victim compensation programs make payments to or on behalf of individual victims. Vendors are not eligible as claimants for compensation programs – only individuals may apply. Moreover, compensation programs generally do not enter into any direct contractual relationships with vendors when making compensation payments to or on behalf of individuals. The individual, not the compensation program, is ultimately responsible for the vendor expenses – these payments are made to vendors primarily as a courtesy to the victim or the victim’s family, and for the administrative convenience of the program. Compensation programs can always (and often do) reimburse the individual directly. Consequently, compensation programs should report all of their compensation payments to or on behalf of individuals as an aggregate number in the "payment to individuals" field in the www.federalreporting.gov reporting form. (Note: Compensation programs that use administrative funds to procure goods or services from vendors – for example, to hire staff or purchase goods or services for the program – must report these payments as vendor expenditures, as appropriate, per the OMB and DOJ guidance.)
Expenditures, including payroll expenditures, should be included in the reporting period in which they occurred. Please estimate total amounts when financial records have not closed prior to the end of the report submission deadline.
Jobs Data Questions
Recipients must report on the total number of jobs funded by Recovery Act funding, whether the jobs are created, retained, or existing. Jobs are reported as "Full-time Equivalents" (FTEs), which are calculated by dividing the total number of Recovery Act-funded hours worked by recipient and subrecipient employees during the reporting period (calendar quarter) by the number of hours in a full-time schedule for that position in your agency during the reporting period.
Example of Calculating Jobs for Section 1512(c): Employee A at Agency X worked 260 hours during the current reporting period, all of which were funded by Recovery Act funding. At Agency X, employees who work full time in positions similar to Employee A's worked 520 hours. Employee A's 260 hours are divided by Agency X's 520 hours, which results in .5 FTE. Assuming that Employee A is the only recipient or subrecipient employee funded by the Recovery Act, Agency X would report .5 FTE in its Section 1512(c) report.
The Department of Justice has created a jobs calculation tool to assist recipients and subrecipients to calculate and track jobs funded by the Recovery Act throughout the life of the grant. Please refer to OJP's Recipient Reporting Tools section at http://www.ojp.gov/recovery/recipientreporting.htm.
Recipients can view OJP's job guidance on the calculating and reporting of jobs at http://www.ojp.usdoj.gov/recovery/pdfs/calculating_and_reporting_job_creation_and_retention.pdf.
Recipients must report jobs estimates on a quarterly basis, not cumulative basis. This means that FTEs must be recalculated each quarter.
Recipients must provide a narrative description of their Recovery Act-funded jobs in the Description of Jobs Created field of the Section 1512(c) report. The description should include job descriptions and a breakdown of numeric data by prime and subrecipient(s). DOJ has provided the following categories to classify the jobs created and retained:
The description should list the number of FTEs and the applicable job category, such as ".5 FTE Law Enforcement, 11.3 Community/Social/Victim Services."
