june 30, 2017 - usda rural development · dnp verification table, ... burs. usda rd do not pay ......
TRANSCRIPT
20250
Rural Development
Office of the Chief Financial Officer
1400 Independence Ave SW Washington, DC
Voice 202.692.0145 Fax 202.692.0126
June 30, 2017
TO: State Directors Agency Administrators
ATTN: National Office and State Office Program Directors Do Not Pay Local Security Administrators (LSAs)
FROM: Roger Glendenning /s/ Roger Glendenning Chief Financial Officer
Rural Development
SUBJECT: Utilization of Treasury's Do Not Pay Portal and Compliance with the Improper Payments Elimination and Recovery Improvement Act (IPERIA).
PURPOSE
The purpose of this Unnumbered Letter is to provide guidance on the use of the Do Not Pay (DNP) portal and clarify the requirements for USDA Rural Development (RD) programs to comply with the Improper Payments Elimination and Recovery Improvement Act (IPERIA). RD has elected to use the DNP Portal, a platform developed by the Department of Treasury that provides free access to all the IPERIA required databases in a single place, as the approved system for verifying pre-award and pre-payment eligibility.
BACKGROUND
IPERIA requires each agency to review pre-award and pre-payment procedures and ensure, at a minimum and before issuing any award and payment, that each agency review, as appropriate, the databases listed below to verify eligibility of the award and payment before the release of any Federal funds.
As directed by IPERIA, the Department of Treasury currently offers access to the following databases via the DNP portal:
(A) The Social Security Administration’s Death Master File (DMF)
(B) The General Services Administration’s System for Award Management (SAM) Exclusion Records (EPLS-SAM Exclusion)
(C) The General Services Administration’s SAM Entity Registration Records, formerly known as the Central Contractor Registration (CCR-SAM Registration)
(D) The Department of the Treasury’s Offset Program Debt Check (TOP Debt Check)
EXPIRATION DATE: FILING INSTRUCTIONS: May 31, 2018 Administrative/Other Programs
USDA is an equal opportunity provider and employer.
If you wish to file a Civil Rights program complaint of discrimination, complete the USDA Program Discrimination Complaint Form (PDF), found online at http://www.ascr.usda.gov/complaint_filing_cust.html, or at any USDA office, or call (866) 632-9992 to request the form. You may also write a letter containing all of the information requested in the form. Send your completed complaint form or letter to us by mail at U.S. Department of Agriculture, Director, Office of Adjudication, 1400 Independence Avenue, S.W., Washington, D.C. 20250-9410, by fax (202) 690-7442 or email at [email protected].
2
(E) The Department of the Treasury’s Credit Alert System or Credit Alert Interactive Voice Response System (CAIVRS).
(F) The List of Excluded Individuals/Entities (LEIE) of the Office of Inspector General of the Department of Health and Human Services.
(G) The Department of the Treasury’s Office of Foreign Assets Control (OFAC)
RURAL DEVELOPMENT’S DO NOT PAY INITIATIVE
In FY 2014, RD launched a three-phase implementation plan and National and State Offices began onboarding users to the DNP portal. To date, nearly 1,800 users across RD have initiated the onboarding process. The Financial Management Division (FMD), in collaboration with multiple stakeholders and key decision makers, established a Do Not Pay Task Group to collaboratively address the challenges, needs, and concerns for the successful implementation of the DNP Initiative. The Task Group produced the attached DNP Verification Table, which informs users of the eligibility verification requirements in order to comply with IPERIA. All RD Staff involved in verifying pre-awards and pre-payments are to refer to the attached DNP Verification Table for specific information on the required data sources for RD programs.
RD STAFF REQUIREMENTS
RD’s Chief Financial Officer has designated the Department of Treasury’s DNP portal as the approved system for accessing IPERIA’s required verification data sources, and fully expects RD Staff involved in pre-award and pre-payment eligibility verification processes to do the following:
1. Enroll for access to the Do Not Pay portal: Within 90 days of the release of this memo, RD Staff involved in verification and approval processes should contact their State or National Offices Local Security Administrator (LSA) to initiate their enrollment on the DNP portal. A list of State and National Offices LSAs is available on RD’s DNP SharePoint site along with enrollment-specific guidance material and a User Guide to support staff (https://ems-team.usda.gov/sites/RD_CFO/fmd/DoNotPay/SitePages/Home.aspx).
2. Sign up and complete Do Not Pay User Training: Multiple DNP training options are available to RD staff. The Department of Treasury regularly offers Spotlight trainings for DNP. Additionally, customized training sessions have been developed and scheduled for RD staff. Details on registration for one of the Spotlight or RD customized training are available on RD’s DNP SharePoint site.
3. Use the Do Not Pay portal to access above listed databases: From the release of this memo, designated RD staff are expected to enroll and start using the single search functionality of DNP as a primary verification resource, in conjunction with current regulations, business processes and standard operating procedures. No later than 120 days following the issuance of this memo, designated RD staff shall use the DNP portal for accessing the required applicable data sources for use in their verification and approval processes. For further information, a DNP Verification Table is attached to this memo.
In summary the Department of Treasury’s DNP Portal has been designated the approved system for accessing verification data sources, that will assist RD in its efforts to eliminate improper payments, fraud, waste and abuse. Moreover, results from the DNP portal do not provide the final decision on granting or denying an award or payment. Information received from DNP is to be used in
3
conjunction with established regulations, policies and procedures to determine if intended payees are eligible to receive federal funds, and that payments are proper.
ADDITIONAL RESOURCES AND INFORMATION
For details on training registration, questions or additional guidance/resources related to the implementation of DNP, RD staff could:
‐ Contact the LSA in their respective State or National Office;
‐ Visit RD’s DNP SharePoint site https://ems-team.usda.gov/sites/RD_CFO/fmd/DoNotPay/SitePages/Home.aspx
For DNP portal technical support, password or system issues, contact the DNP Agency Support Center at (855) 837-4391 or [email protected] (and cc your LSA).
For questions regarding this memo or RD’s implementation of IPERIA, please contact Jim Mitchell at [email protected] or John Dunsmuir at [email protected].
Attachment: DNP Verification Tables
Cc: USDA DNP Task Group Members, DNP relevant stakeholders
USDA RD Do Not Pay (DNP) Initiative - Instructions to use the DNP Verification Table
This document provides guidance to USDA RD Area staff on the required eligibility checks that USDA RD programs have to complete in order to reduce improper payments, as required with the Improper Payments Elimination and Recovery Improvement Act (IPERIA). This table will serve as a reference tool for USDA RD staff looking to better understand the eligibility requirements they have to fulfill using the DNP portal. The DNP portal compiles information from the Credit Alert System (CAIVRS), System
for Award Management (SAM), Treasury Offset Program (TOP) Debt Check, Death Master File (DMF), HHS List of Excluded Individuals & Entities (LEIE), and Office of Foreign Assets Contro1.1 Currently, for purpose of RD payment eligibility, the relevant
databases in the DNP portal are CAIVRS, SAM, TOP Debt Check, and DMF.
As a reminder, a match on any of these databases does not constitute an automatic rejection of the award/payment, but indicates to RD staff that more information/research is required for that applicant. RD Staff should refer to their existing program
regulations to make decisions based on the information gathered in DNP and other existing eligibility verification steps.
The Chart is organized by RD program. For each RD program, the table shows the different types of applicants, the frequency of eligibility checks, and relevant databases. Further information is below:
1.Applicant Type: Illustrates whose eligibility is being checked. The categories include applicants (Individual/Entity/Entity's Key personnel...), lenders (Entity, Lenders' Principal Officer), Intermediaries (Entity, Principal officer) or vendor/contractor.
Guaranteed loan programs are split over two lines to reflect the different frequencies of check for applicants and lenders. DNP users should refer to their specific program regulations for specific definition of entities.
2. Frequency of Eligibility Check: Illustrates when eligibility verification takes place (at application, origination, closing, disbursement/advance, for each subsequent disbursements/advances) based on Agency input. IPERIA requires a thorough review of
relevant databases to take place before the release of any federal funds. The general requirement is to verify eligibility at least once pre-award (at application) and once pre-payment (at obligation, closing, or initial disbursement). Programs verifying
eligibility at a higher frequency than the minimum required are encouraged to maintain their existing process.
3, Relevant Databases: When a single search is done in DNP, the results for DMF, SAM Exclusion (and SAM registration), CAIVRS, TOP Debt Check, and LEIE will be displayed on the results page. The "X" marks indicate which of the databases are
considered relevant for each program to consider in the eligibility verification process. The relevance of databases was determined based on the nature of the applicant and the purpose of each database.
Individuals (and entities registered as individuals) must be checked on Death Master File, SAM Exclusion, CAIVRS, and TOP Debt Check. (DMF can serve as an important tool to verify entities using SSNs for their Tax ID, such as sole proprietors)
Entities (and Individuals registered as entities) must be checked against SAM Exclusion, CAIVRS, and TOP Debt Check.
Feel free to reach out to Jim Mitchell ([email protected]) and Heather Honkomp ([email protected]) for any questions on this matrix.
For users' convenience this matrix is also available on https://ems-team.usda.gov/sites/RD_CFO/fmd/DoNotPay/SitePages/Home.aspx
Examples of DNP Verification Table Interpretation
Frequency of Eligibility Check DNP Database Usage
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X
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X
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Lender's Principal Officer —
At initiation and every 2 years for recertification
At initiation and every 2 years for recertification X X
X
X
X
X
X
Program ABC: - The program verifies the eligibility of an applicant who is an entity.
- The frequency of checks remains unchanged since the program is already verifying eligibility at least once pre-award (application) and does it twice pre-payment (obligation and first disbursement/advance).
- The only change for program ABC is in the database whose results should be taken into consideration for decision. Additionaly to SAM Exclusion and CAIVRS (already required by program's requirements), TOP Debt Check will also
need to be verified. The other databases will be displayed on the DNP results screen and it is the program's purview to decide if they want to take the other databases into consideration.
Program DEF (guaranteed loans): The program is split on two lines to reflect checks applying to applicants (if applicable) and those applied to the lenders.
-The program verifies eligibility of the applicant (an entity) and its key personnel, and they are vetting lenders (and lenders principal officers) that are allowed to extend guarantees with USDA's backing.
-The frequency of checks remains unchanged. The applicant (entity and key personnel) are verified once pre-award (application) and once pre-payment (closing). The Lenders (and principal officers) are verified when they are
initially vetted and at each recertification process (Every 2 years).
- The only change for program DEF is the database whose results should be taken into consideration for decision. IPERIA does not require the applicant to be checked in a guaranteed loan program, and therefore the required
databases are unchanged for applicants. However, it is completely legal, and may constitute best practices, for program staff to expand their verification to DMF and Top Debt check for the applicant and applicant's key personnel if
they wish to do so. Lenders (entities) and lenders' principal officers have to be verified on DMF, SAM exclusion, CAIVRS, and TOP Debt Check.
1. The PUPS database Is not currently available on the DNP Portal, when Isis made available, It may become a relevant database to verify individuals on. The OFAC databases is available on DNP but has been deemed unnecessary for all RD programs.
Do Not Pay Verification Table for RHS - CF
BACK TO INSTRUCTIONS Frequency of Eligibility Check1 DNP Database Usage
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Community facilities direct loans and grants Entity Contractor/Vendor*
X X
X X
X X
Could be monthly, quarterly
Could be monthly, quarterly X X
X X
X X
Community facilities loan guarantees - Applicant Entity Contractor/Vendor*
X X
X X
X X
Could be monthly, quarterly Could be monthly, quarterly
X X
X X
Community facilities loan guarantees - Lender Lender
Lender's Principal Officer
At initial vetting, and any
recertification At initial vetting, and any
recertification
X
X
X
X
X
X
Community facilities relending program Relender Ultimate Borrrower**
X X
X X
X
X X X
X
X Could be monthly, quarterly
Could be monthly, quarterly X X
X X
X X
Community Program Grants (also includes Economic Impact Entity X X X Could be monthly, quarterly X X X Initiative Grants &Tribal College Grants) Contractor/Vendor* X X X Could be monthly, quarterly X X X
* Contractor/Vendor applying as sole proprietor should also be checked against DIV1F
** Regulation 7 CFR 1942.30(f)(2) requires the agency to verify the eligibility of both the relender and the ultimate borrower. The same frequency and relevant databases apply to both. If the
ultimate borrower is an individual or a Sole Proprietor, Death Master File should also be checked
Do Not Pay Verification Table for RHS - MFH
BACK TO INSTRUCTIONS Frequency of Eligibility Check
Program Name Applicant Type
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X X
X X
X X X
X X
X X
Farm labor direct grants (516) Individual Entity
X X
X X
X X X
X X
X X
Housing Preservation Grants & loans (533) Entity X X X X X
Housing preservation & revitalization Individual X X X X X X demonstration grants - MPR NOSA (514, 515,
516) - Entity X X X X X
Multi-family housing direct loans (515) Individual Entity
X X
X X
X X X
X X
X X
Multi-family housing loan guarantees (538) - Entity X X X X Applicant Entity Key Personnel X X X X Multi-family housing loan guarantees (538) -
Lender Lender
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X
X
X
X
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Multi-family housing rental assistance (521)- Individual X '. At recurring interval decided by the program to X X X X
Borrower Entity X* minimize improper payments X X X
Multi-family housing rental assistance (521) -
Tenant Individual**
When tenants start occupancy and at regular
interval decided by the program in order to X
minimize improper payments'
Rural Housing Voucher Demonstration Program (542) - Landlord
Individual
Entity
X
X
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and at recurring interval decided by the program
to minimize improper payments
X X
X
X
X
X
X
At initial vetting when the Voucher Rural Housing Voucher Demonstration
Program (542) -Tenant Individual**
Determination Summary (DS) is completed and at
recurring interval decided by the program to X
minimize improper payments.
* Application to 521 happens concurrently with application to 515. In this instance, the verification on the borrower done for 515 is valid for 521 and 542 **Tenants in the 521 and 542 programs will be checked using the batch matching as soon as it is made available to the Multi-Family Housing National Office 1 Until batch matching is implemented, sampling will occur during the triennial Supervisory Visit (SV). The sampling will be the tenants files selected as part of the SV review.
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Do Not Pay Verification Table for RBS
BACK TO INSTRUCTIONS Frequency of Eligibility Check DNP Database Usage
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Business and Industry (B&I) Guaranteed Loan - Lender
Entity
Lender
X X X
X At initial vetting, and any
recertification
X
X
X
X X
Intermediary Relending Program / Rural Development Loan Fund (IRP/RDLF) Intermediary X X X X X X X
Rural Microentrepreneur Assistance Program (RMAP) Rural Business Development Grant (RBDG) Rural Economic Development Loand and Grant (REDLG)
*Value-added Producer Grant (VAPGT Rural Cooperative Development Grant (RCDG) Socially -Disadvantaged Groups Grant Program
Delta Healthcare Services Grant Program REAP Grant Program REAP Guaranteed Loan - Applicant
Entity Entity Intermediary Entity** Entity Entity Entity Entity** Entity**
X X X X X X X X X
X x X X X X X X X X
X X X X
X X
X
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X X X X X
X X X
X
X X X X X
X X X X
X X X X X
X X X
REAP Guaranteed Loan - Lender Lender X At initial vetting, and any
recertification X X X
REAP Energy Audit & Renewable Energy Development Assistance Program
Advanced Biofuel Payment Program
Biorefinery, Renewable Chemical, and Biobased Product Manufacturing
Assistance Program - Applicant Biorefinery, Renewable Chemical, and Biobased Product Manufacturing
Assistance Program - Lender Repowering Assistance Program
Entity**
Entity**
Individual
Entity
Lender
Entity
X
X
X
X
X
X
X
X
X
X
X X - Qtly
payments X - Qtly
payments
X
X
payments
X - Qtly
X - Qtly
payments
X
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recertification
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
* For Guarantee Programs, closing is defined as the issuance of the guarantee **Sole Proprietors may be eligible for REAP and VAPG and would qualify using their SSN. If a sole proprietor applies as an entity, he/she should be checked against DMF
Page 1
Do Not Pay Verification Table for RUS
BACK TO INSTRUCTIONS
Program Name Applicant Type
Ap
plic
ati
on
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Ob
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Entity X X X X X X X X Entity's Key Personnel X X X X X X X X
Water & Waste Guaranteed Loans Contractor/Vendor* X X X X X X X X Lender X X X X X X X X Entity X X X X X X X XWater and Waste Disposal Loans & Grants Section 306C (Native Tribes & Entity's Key Personnel X X X X X X X X
Colonies) Contractor/Vendor* X X X X X X X X Entity X X X X X X X X
Water and Waste Disposal Systems for Rural Communities-Grants Entity's Key Personnel X X X X X X X X Contractor/Vendor* X X X X X X X X Entity X X X X X X X X
Water and Waste Disposal Systems for Rural Communities-Loans Entity's Key Personnel X X X X X X X X Contractor/Vendor* X X X X X X X X Entity X X X X X X X X
Appalachia Regional Commission Grants - Water & Waste Entity's Key Personnel X X X X X X X X Contractor/Vendor* X X X X X X X X Entity X X X X X X X X
Delta Regional Authority Grants - Water & Waste Projects Entity's Key Personnel X X X X X X X X Contractor/Vendor* X X X X X X X X
Electric Loan Programs (CFDA 10.850) - Direct Treasury Rate Entity X X X X X X X Electric Loan Programs (CFDA 10.850) - FFB Guaranteed Entity X X X X X X X Rural Utilities Electric Program - Direct 5% Entity X X X X X X X Rural Utilities Electric Program - Municipal Rate Entity X X X X X X X RUS Grants - Other - High Energy Grant Program (HECP) Entity X X X X X X X Broadband Telecom Loans - Treasury Rate Entity X X X X X X X
Page 1 of 2
Do Not Pay Verification Table for RUS
BACK TO INSTRUCTIONS
Program Name Applicant Type
Ap
plic
ati
on
/ P
re-a
pp
lic
ati
on
Ob
l ig
ati
on
Clo
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Rural Telecommunications Hardship Loans - Direct Telecom. Loans Entity X X X X X X X
Rural Telecommunications Loans - FFB Telecom. Loans Entity X X X X X X X
Rural Telecommunications Loans - Treasury Telecom Loans Entity X X X X X X X
Community Connect Grants Entity X X X X X X X Entity X X X X X X X
Revolving Loan Fund Program Entity's Key Personnel X X X X X X X Contractor/Vendor* X X X X X X X
Rural Energy Savings Program (RESP) Entity X X X X X X X Entity X X X X X X X
RUS Grants - Other Electric -Telecom - WEP - Household Water Wells Entity's Key Personnel X X X X X X X Contractor/Vendor* X X X X X X X Entity X X X X X X X
RUS Grants - Other Electric - Telecom - WEP - Solid Waste Mgmt Entity's Key Personnel X X X X X X X Contractor/Vendor* X X X X X X X
RUS Grants - Other Electric -Telecom - WEP - DLT Grants Entity X X X X X X X Entity X X X X X X X
RUS Grants - Other Electric - Telecom - WEP - TAT & Circuit Rider Entity's Key Personnel X X X X X X X Contractor/Vendor* X X X X X X X Entity X X X X X X X
Congressional Earmarked Funds (prior FY) - Alaskan Village Entity's Key Personnel X X X X X X X Contractor/Vendor* X X X X X X X Entity X X X X X X X
Congressional Earmarked Funds (prior FY) - Emergency Community Water Entity's Key Personnel X X X X X X X Contractor/Vendor* X X X X X X X Entity X X X X X X X
Congressional Earmarked Funds (prior FY) - EZ/EC Loans & Grants Entity's Key Personnel X X X X X X X Contractor/Vendor* X X _ X X X X X
* Contractor/Vendor applying as sole proprietor should also be checked against DMF Page 2 of 2
Do Not Pay Verification Table for RHS - SFH
BACK TO INSTRUCTIONS Frequency of Eligibility Check1 DNP Database Usage
Program Name Applicant Type
Ap
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ati
on
/P
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on
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the
loa
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Mutual self help housing technical assistance grants and
contracts Entity X X X X X X
Single family housing direct home loans (502) Individual" Contractor/Vendor*
X
X X
X
X
X
X
X
X
X
Single family housing repair loans & grants (504) Individual'
Contractor/Vendor'
X
X X
X
X
X
X
X
X
X Single family housing direct - Servicing / Recapture** Individual Quarterly X Single Family Housing Guarantee (502) - Applicant*** Individual X X X
Single Family Housing Guarantee (502) - Lender Lender
Lender's Principal Officer
recertification process
At initial vetting and on a 2-year
At initial vetting and on a 2-year
recertification process
X
X
X
X
X
X
Compensation for Construction defects (Sec. 509) Contractor/Vendor* X X X X X
Land Development and Site Loans (Sec. 523/524) Entity
Contractor/Vendor*
X
X X X
X X
X X
X
X 1 Review Do Not Pay Portal Database again with each eligibility extension. * Contractor/Vendor applying as sole proprietor should also be checked against DMF
** CSC is reviewing DNP for the purpose of managing its interest recapture program and its payment subsidy program. Any contracting for maintenance costs will be handled separately
*** The borrower is checked on SAM Exclusion by the Lender, and on CAIN/RS via an automated check performed by GUS.