Pandemic Darlings The pandemic economy, in original documents
Home Source documents U.S. Department of the Treasury, State and Local Fiscal Recovery Funds: "NEU and Non-UGLG Distribution Templates User Guide"

U.S. Department of the Treasury, State and Local Fiscal Recovery Funds: "NEU and Non-UGLG Distribution Templates User Guide"

Summary

A user guide from the U.S. Department of the Treasury instructing States and U.S. Territories how to complete Coronavirus State and Local Fiscal Recovery Fund (SLFRF) distribution templates for Non-Entitlement Units of Local Government (NEUs) and Non-UGLG governments and email them to Treasury. Separate templates cover eligible NEUs, ineligible local governments, NEU transactions, Non-UGLG distributions and Non-UGLG transactions. The guide states that beginning on April 4, 2022, Treasury will no longer accept a DUNS number, and the UEI assigned by the U.S. General Services Administration must be provided. It describes NEUs as local governments typically serving populations of less than 50,000, paid through their State or U.S. Territory in two tranches.

Summary drafted by a model from the document's text below and checked by script against that text before publication. It is a navigation aid, not a reading of what the document proves. Where AI is used

Cite this document

“U.S. Department of the Treasury, State and Local Fiscal Recovery Funds: ‘NEU and Non-UGLG Distribution Templates User Guide.’” Original at home.treasury.gov. Archived at Pandemic Darlings, https://pandemicdarlings.com/source-documents/u-s-department-of-the-treasury-state-and-local-fiscal-recovery-funds-n-02ceb992fb/, SHA-256 56c58091d39f347f21142d89f7c737c186b21b1e711e31be980817385cf9a152.

Full text

DRAFT- PRE-DECISIONAL / CONFIDENTIAL / NOT FOR DISTRIBUTION
           Coronavirus State and Local Fiscal Recovery Fund:
i DRAFT- PRE-DECISIONAL / CONFIDENTIAL / NOT FOR DISTRIBUTION
            User Guide: Treasury’s Portal for Recipient Reporting
                                                                       August 9,9,2021
                                                                         June9,
                                                                      August
                                                                    September 2,  2021
                                                                                   2022
                                                                                  2021
                                                                         Version: 1.03
                                                                           Version:
                                                                         Version:
                                                                         Version: 1.0
                                                                                  1.0
Table of Contents
Section I.         Reporting Basics ................................................................................................. 1
Section II.        Reporting Requirements- Non-Entitlement Units of Local Government........ 3
Section III.  Reporting Requirements- Units of General Local Government within
Counties that are Not Units of General Local Government .................................................... 9
Appendix A – Template Overview ........................................................................................... 13


OMB Control Number: 1505-0271
OMB Expiration Date: 04/30/2025
PAPERWORK REDUCTION ACT NOTICE
The information collected will be used for the U.S. Government to process requests for support.
The estimated burden for the collections of information included in this guidance is 10 hours.
Comments concerning the accuracy of this burden estimate and suggestions for reducing this
burden should be directed to the Office of Privacy, Transparency and Records, Department of
the Treasury, 1500 Pennsylvania Ave., N.W., Washington, D.C. 20220. DO NOT send the form
to this address. An agency may not conduct or sponsor, and a person is not required to respond
to, a collection of information unless it displays a valid control number assigned by OMB.




                                 Coronavirus State and Local Fiscal Recovery Fund:
                                 NEUs and Non-UGLG Distribution Templates User Guide                                                i
Section I. Reporting Basics
   a) Overview
   This document provides guidance for States and U.S. Territories submitting required
   Coronavirus State and Local Fiscal Recovery Fund (SLFRF) reports and information. It is a
   supplement to the Compliance and Reporting Guidance (Reporting Guidance), which contains
   relevant information and guidance on reporting requirements.
   Additionally, you should visit the Department of Treasury’s (Treasury) SLFRF home page for the
   latest guidance and updates on programmatic and reporting topics.
   b) What is Covered in this User Guide?
   This User Guide provides detailed instructions to help States and U.S. Territories gather and
   complete the following templates and submit them to Treasury via email at
   SLFRFNEUForms@treasury.gov:
      •   Non-Entitlement Units of Local Government (NEU) Distribution Templates
      •   Units of general local government within counties that are not units of general local
          government (Non-UGLG) Distribution Templates
   Recipients will submit the information using one of the templates noted below:

      •   NEU Distribution- Eligible NEUs
      •   NEU Distribution- Ineligible (for listing ineligible Local Governments)
      •   NEU Distribution- Transactions
      •   Non-UGLG- Distribution
      •   Non-UGLG- Transactions
   When using the templates, recipients must provide the required information in specified formats
   and use the Treasury approved templates. Recipients may download each of the templates
   separately from Treasury’s website. Please see Appendix A – Template Overview for complete
   guidance on using the templates.
   c) DUNS Transition to UEI
   Beginning on April 4, 2022, as part of the federal government’s transition for all federal awards,
   all entities doing business with the federal government will use the Universal Entity Identifier
   (UEI) number assigned by the U.S. General Services Administration (GSA) in the System for
   Award Management (SAM.gov). Therefore, Treasury will no longer be able to accept a Data
   Universal Numbering System (DUNS) number as a valid identification number, and Treasury will
   no longer require that applicants, recipients, subrecipients, or contractors provide a DUNS
   number when applying for Treasury awards; however, the UEI needs to be provided.
   States and U.S. Territories should remind NEUs that to receive SLFRF funds they need to
   obtain an updated SAM.gov registration that includes the UEI. States and U.S. Territories will
   be required to provide the UEI for all eligible NEUs in their jurisdiction that received funds.
   If the NEU has an existing and active registration in SAM.gov, the UEI has already been
   assigned and is viewable in their SAM.gov account. The UEI number is located below the
   DUNS number on the entity registration record. Treasury will automatically populate the existing

                            Coronavirus State and Local Fiscal Recovery Fund:
                           NEUs and Non-UGLG Distribution Templates User Guide                       1
account records with the GSA-issued UEI number in the Treasury.gov application and
compliance portal, as applicable.

Questions about the conversion from DUNS number to UEI number should be directed to GSA.
Information about the UEI transition can be found on GSA’s webpage, here.

You can also find additional resources below:

External UEI Transition FactSheet

FAQs on SAM.gov and UEI Transition
d) Questions?
If you have any questions about the SLFRF program’s reporting requirements, please contact
us by email via SLFRF@treasury.gov.




                         Coronavirus State and Local Fiscal Recovery Fund:
                        NEUs and Non-UGLG Distribution Templates User Guide                  2
Section II.      Reporting Requirements- Non-Entitlement Units of Local Government
Non-entitlement Units of Local Government (NEUs), defined in section 603(g)(5) of the Social
Security Act, as added by section 9901 of the American Rescue Plan Act of 2021, are local
governments typically serving populations of less than 50,000. NEUs include cities, villages,
towns, townships, or other types of local governments.
NEUs receive SLFRF payments through their State and U.S. Territory governments. State and
U.S. Territory governments receive a specific allocation of these funds from Treasury for this
purpose and are responsible for distributing these funds to the NEUs within their State or U.S.
Territory. Award amounts are based on population. Payments are being made in two tranches.
Additional information on distributions to NEUs, allocations, and payments can be found here.
States and U.S. Territories were required to provide an update on distributions to eligible NEUs
as part of the Interim Report, covering NEU distributions provided as part of the First Tranche
from the date of award to July 31, 2021.
Recipients were also asked to provide updates on distributions to individual NEUs to Treasury
every month thereafter until all distributions were made. This reporting will continue for
distributions made during the Second Tranche process. States and U.S. Territories should,
unless otherwise instructed by Treasury, provide updates to Treasury where information or
status has changed.
Templates will be available for download from Treasury’s website. Each NEU template will
need to be completed separately to allow for the proper uploading of information that Treasury
will perform on behalf of the State or U.S. Territory.
Specific step-by-step instructions for filling out the NEU templates are noted below. Appendix A
includes an overview of templates and the information associated with formats and content to
include in the templates.
The following NEU Distribution templates are included in this section:
       •      NEU Distribution- Eligible NEUs

       •      NEU Distribution- Ineligible (for listing ineligible Local Governments)

       •      NEU Distribution- Transactions
For NEU specific guidance, visit Treasury’s SLFRF website for NEUs.




                            Coronavirus State and Local Fiscal Recovery Fund:
                           NEUs and Non-UGLG Distribution Templates User Guide                  3
Note: - The State or U.S. Territory should ascertain that all NEUs identified by Treasury
for such State or U.S. Territory are included in the reporting, as part of the Eligible
NEUs template (see II.a.) or the Ineligible template (see II.b.). The list of NEUs can be
found here in the List of Local Governments excel. As such, if a State or U.S.
Territory has 300 potential eligible NEUs on the list, the information reported to
Treasury should reflect all 300 NEUs broken out (as applicable) between the Eligible
NEU or Ineligible Local Governments templates and status of action. Refer to example
below.
                    State XX- Total Local Governments (per list)- 300
           Eligible NEUs- 250 (report as part of Eligible NEUs. Refer to II.a.)
Action Taken (NEU requested funding or declined funding and requested transfer to
State)       150
Action Not Taken (NEU is nonresponsive or declined funding but has not requested
transfer)    100
  Ineligible Local Governments- 50 (report as part Ineligible template. Refer to II.b.)
In accordance with Treasury’s guidance on distributions to NEUs, please note that only
“weak minor civil divisions (MCD)” governments (Illinois, Indiana, Kansas, Missouri,
Nebraska, North Dakota, Ohio, and South Dakota) should have deemed any local
governments on Treasury’s List of Local Governments as ineligible, barring exceptional
circumstances.

a. NEU Distribution: Eligible NEUs

   Note: As of the date of this user guide, States and U.S. Territories are not required to
   submit the Eligible NEUs data as information was gathered as part of the First
   Tranche. In the event that any updates to information are required, States or U.S.
   Territories should email Treasury at SLFRFNEUForms@treasury.gov.
   In this template, the State or U.S. Territory will populate the table for all eligible NEUs within
   the State and U.S. Territory’s jurisdiction, including all eligible NEUs that are unresponsive
   or declined funding. The “Status” column will enable the recipient to indicate whether the
   NEU has acted on their funding.
   In the event the State or U.S. Territory needs to update information (including changing the
   “Status” from Action Not Taken to Action Taken), the State or U.S. Territory should submit
   updates to the previously submitted data.
   For NEUs that are unresponsive, States or U.S. Territories do not have to provide
   information for all fields. The table below notes the fields that are required if 1) NEU has
   taken action (e.g., requested funding or declined funding and requested a transfer to the
   State or U.S. Territory) or 2) NEU has not taken action (e.g., is unresponsive or declined
   funding).



                          Coronavirus State and Local Fiscal Recovery Fund:
                         NEUs and Non-UGLG Distribution Templates User Guide                       4
       1. Download the NEU Distribution- Eligible NEUs template from Treasury’s website.


       2. Fill the downloaded template with information specific to the distributions to NEUs, as
          follows. Optional fields are denoted by (*). “Column” below refers to the applicable
          area in the excel template.
Template                 Action                    Required for      Required for NEU      Required for
 Column                                            NEU that Has       that Has Taken    NEU that Has Not
                                                   Taken Action      Action (declined   Taken Action (e.g.,
                                                 (e.g., Requested       funding and      Unresponsive or
                                                     Funding)            requested      Declined Funding)
                                                                          transfer)
   B        Provide the name of the State or           Yes                   Yes               Yes
            U.S. Territory in which the NEU
            resides
   C        Include the NEU’s unique                   Yes                    Yes              Yes
            recipient identification number
            assigned by the State or U.S.
            Territory to the NEU (e.g.,
            AZ0013)
   D        Include the legal name of the              Yes                    Yes              Yes
            NEU
   E        Include the NEU’s Unique Entity            Yes                    Yes               No
            Identifier (UEI)
   F        Include the NEU’s Taxpayer                 Yes                    Yes               No
            Identification Number (TIN)
  G-M       Include the NEU’s address                  Yes                    Yes               No
            (including city, State, zip code,
            and zip+4)
   N        Include the NEU’s primary email            Yes                    Yes               No
            address. If there is no NEU
            primary email address, provide
            the point of contact’s email
            address*
   O        Include the NEU’s primary point            Yes                    No                No
            of contact’s full name (first then
            last)*
   P        Include the NEU’s primary point            Yes                    No                No
            of contact’s phone number (###-
            ###-####)*
   Q        Include the NEU’s primary point            Yes                    No                No
            of contact’s email address*
   R        Include the NEU’s authorized               Yes                    Yes               No
            representative name. If the
            primary point of contact is also
            the authorized representative,
            provide the name again*
   S        Include the NEU’s authorized               Yes                    Yes               No
            representative email address. If
            the primary point of contact is
            also the authorized
            representative, provide the email
            again*
   T        Indicate the NEU’s eligibility             Yes                    Yes              Yes
            status:
                         Coronavirus State and Local Fiscal Recovery Fund:
                        NEUs and Non-UGLG Distribution Templates User Guide                    5
Template                Action                    Required for       Required for NEU      Required for
 Column                                           NEU that Has        that Has Taken    NEU that Has Not
                                                  Taken Action       Action (declined   Taken Action (e.g.,
                                                (e.g., Requested        funding and      Unresponsive or
                                                    Funding)             requested      Declined Funding)
                                                                          transfer)
           •   Action Taken (i.e., the NEU
               requested funding) or
               declined funding and
               requested Sec. 603-(c)(4)
               transfer to the State)
           • Action Not Taken (i.e., the
               NEU is nonresponsive or
               declined funding)
   U       Provide the Total NEU Budget               Yes                    Yes                No
           Reference submitted by the NEU
           as part of its request for funding
           or Sec. 603-(c)(4) transfer to the
           State*
   V       Provide the revised Total NEU        Yes- if applicable           No                 No
           Budget Reference (e.g., if
           revisions were made based on
           updated Treasury guidance on
           the NEU’s interpretation of the 75
           percent budget cap issued on
           June 30, 2021)*
   W       Provide the Total Allocation               Yes                    Yes               Yes
           Across 1st and 2nd Tranches
           before application of the 75
           percent budget cap
   X       Provide the Total Allocation         Yes- if applicable           No                 No
           Across 1st and 2nd Tranches
           (before application of 75 percent
           budget cap) (first revision, if
           applicable)*
   Y       Provide the Total Allocation         Yes- if applicable           No                 No
           Across 1st and 2nd Tranches
           (before application of 75 percent
           cap) (second revision, if
           applicable)*
   Z       Provide the Final Allocation               Yes                    Yes                No
           Across 1st and 2nd Tranches after
           application of the 75 percent
           budget cap *
  AA       Provide the Final Allocation         Yes- if applicable           No                 No
           Across 1st and 2nd Tranches after
           application of the 75 percent
           budget cap (first revision, if
           applicable)*
  AB       Provide the Final Allocation         Yes- if applicable           No                 No
           Across 1st and 2nd Tranches after
           application of the 75 percent
           budget cap (second revision, if
           applicable)*


                        Coronavirus State and Local Fiscal Recovery Fund:
                       NEUs and Non-UGLG Distribution Templates User Guide                     6
 Template                Action                    Required for       Required for NEU      Required for
  Column                                           NEU that Has        that Has Taken    NEU that Has Not
                                                   Taken Action       Action (declined   Taken Action (e.g.,
                                                 (e.g., Requested        funding and      Unresponsive or
                                                     Funding)             requested      Declined Funding)
                                                                           transfer)
    AC      Include any additional notes                No                    No                 No
            required to explain the NEU
            distribution summary line items,
            as applicable*


      3. Provide the NEU Distribution- Eligible NEUs template to Treasury via email at
         SLFRFNEUForms@treasury.gov.
b. NEU Distribution: Ineligible Local Governments
   Note: As of the date of this user guide, States and U.S. Territories are not required to
   submit the Ineligible Local Governments data as information was gathered as part of
   the First Tranche. In the event that any updates to information are required, States or
   U.S. Territories should email Treasury at SLFRFNEUForms@treasury.gov.
   In this template, the State or U.S. Territory will populate the local governments that were
   deemed ineligible to receive a NEU distribution. Optional fields are denoted by (*).
   “Column” below refers to the applicable area in the template file.
      1. Download the NEU Distribution- Ineligible Local Governments template (for listing
         ineligible Local Governments) from the Treasury’s website.


      2. Fill the downloaded template with information specific to Ineligible Local
         Governments, as follows. Refer to Appendix A for additional information related to
         the template.
                   Column B: Provide the name of the State or U.S. Territory in which the
                     local government resides
                     Column C: Include the legal name of the Local Government
                     Column D: Include the Local Government’s UEI, if known or available*
                     Column E: Select the rationale for ineligibility:

                          •   Ineligible MCD (i.e., any Minor Civil Divisions in a “weak-MCD”
                              State that did not meet the facts-and-circumstances test as
                              outlined in Treasury’s guidance)

                          •   Other. If other, provide additional explanation in Column E
                     Column F: Provide an explanation for “Other” ineligibility rationale*
      3. Provide the NEU Distribution- Eligible NEUs template to Treasury via email at
         SLFRFNEUForms@treasury.gov.



                         Coronavirus State and Local Fiscal Recovery Fund:
                        NEUs and Non-UGLG Distribution Templates User Guide                      7
c. NEU Distribution: Transactions
   Note: States and U.S. Territories are required to submit transactions data as part of
   the second tranche distributions.
   In this section, the State or U.S. Territory will populate the information for all NEU
   transactions.
   As with the Eligible NEUs and Ineligible Local Governments information, States or U.S.
   Territories are asked to provide updates to Treasury every month after the submission of the
   Interim Report or when payments are made.
      1. Download the NEU Distribution- Transactions from Treasury’s website.


      2. Fill the downloaded templates with information specific to the transactions to NEUs,
         as follows. Refer to Appendix A for additional information. “Column” below refers to
         the applicable area in the template.
              • Column B: Provide the name of the State or Territory in which the NEU
                  resides

              •   Column C: Provide the NEU Recipient Number assigned by the State or
                  Territory to the NEU

                      •    NEU Recipient Number should match the number provided as part of
                           the Eligible NEU template

              •   Column D: Provide the NEU Name

                      •    NEU Name should match the NEU name provided as part of the
                           Eligible NEU template

              •   Column E: Provide the NEU’s UEI number

              •   Column F: Provide the transaction ID, assigned by the State or Territory

              •   Column G: Indicate whether the transaction was a Payment or Transfer to
                  State under Section 603(c)(4)

              •   Column H: Provide a description of the transaction (e.g., initial payment under
                  First Tranche, subsequent distribution under First Tranche, initial payment
                  under Second Tranche)

              •   Column I: Provide the transaction amount. For transfers to the State under
                  Section 603-(c)(4), include the amount intended for transfer to the State

              •   Column J: Provide the date of the transaction. For transfers to the State or
                  U.S. Territory under Section 603(c)(4), provide the date that Treasury’s
                  transfer form agreement was signed by both parties, not the expected date of
                  Treasury’s approval




                           Coronavirus State and Local Fiscal Recovery Fund:
                          NEUs and Non-UGLG Distribution Templates User Guide                  8
       3.        Provide the NEU Distribution- Transactions template via email at
                 SLFRFNEUForms@treasury.gov.


Section III. Reporting Requirements- Units of General Local Government within Counties
             that are Not Units of General Local Government
Note: This section is applicable only to Alaska, Connecticut, Massachusetts, Rhode Island,
Vermont, U.S. Virgin Islands, and American Samoa.
Section 603(b)(3)(B)(ii) of the Social Security Act (the Act), as amended by the American
Rescue Plan Act of 2021, provides that in the case of an amount to be paid to a county that is
not a unit of general local government (Non-UGLG), the amount shall instead be paid to the
State or U.S. Territory in which such county is located, and such State or U.S. Territory shall
distribute such amount to each unit of general local government within such county based on
population.
Units of general local government within Non-UGLG counties can include non-entitlement units
of local government (NEUs) and metropolitan cities. As noted in the Guidance on Counties that
are Not Units of General Local Government, NEUs and metropolitan cities located in Non-UGLG
counties that receive funds under Section 603(b)(3)(B)(ii) of the Act must have already accepted
the award terms for payments made under Section 603(b)(2) (for NEUs) or section 603(b)(1)
(for metropolitan cities).
State and U.S. Territory governments will receive a specific allocation of these funds from
Treasury and are responsible for calculating the allocations and distributing funds to units of
general local government within Non-UGLG counties in the State or U.S. Territory.
States and U.S. Territories were required to provide updates on distributions as part of the
Interim Report, covering distributions provided as part of the First Tranche from the date of
award, to the extent such distributions were made prior to that date.
Recipients are asked to provide updates on distributions to units of general local government
within Non-UGLG counties to Treasury every month thereafter until all distributions have been
made. This reporting will continue for distributions made during the Second Tranche process.
States and U.S. Territories should, unless otherwise instructed by Treasury, provide updates to
Treasury where information or status has changed.
Templates will be available for download from Treasury’s website. Each Non-UGLG template
will need to be completed separately to allow for the proper uploading of information that
Treasury will perform for the States and U.S. Territories.
The Non-UGLG Distribution templates cover two areas:

            •   Non-UGLG Distribution

            •   Non-UGLG Transactions
Specific step-by-step instructions for filling out the Non-UGLG templates are noted below.
Appendix A includes an overview of the templates and the information associated with formats
and content to include in the templates.


                           Coronavirus State and Local Fiscal Recovery Fund:
                          NEUs and Non-UGLG Distribution Templates User Guide                     9
Users will also be asked to provide a summary of the state’s Non-UGLG distribution process to
date, to include substantive instructions or guidance that the state issued (e.g., key deadlines,
guidance, etc.).
a. Non-UGLG Distribution
Note: As of the date of this user guide, States and U.S. Territories are not required to
submit the Non-UGLG Distribution data as information was gathered as part of the First
Tranche. In the event that any updates to information are required, States or U.S.
Territories should email Treasury at SLFRFNEUForms@treasury.gov.
In this template, the State or U.S. Territory will populate the spreadsheet for units of general
local government within Non-UGLG counties that are eligible to receive a disbursement under
Section 603(b)(3)(B)(ii) of the Social Security Act, as added by the American Rescue Plan Act of
2021.
States and U.S. Territories are asked to provide updates to Treasury every month after
submitting the Interim Report. Optional fields denoted by (*). A valid UEI is always required for
units of general local government within the Non-UGLG that request payment from the State or
U.S. Territory. The table below notes the fields that are required if 1) units of local governments
within the Non-UGLG requested funding or 2) units of government within a Non-UGLG declined
funding or were unresponsive.
   1. Download the Non-UGLG: Distribution form from Treasury’s website.

   2. Fill the downloaded template with information specific to distributions to Non-UGLGs, as
      follows. Refer to Appendix A for additional information related to the templates.
      “Column” below refers to the applicable area in the template.


  Template              Action                  Required for          Required for         Required for
   Column                                      Units of Local         Units of Local       Units of Local
                                             Government within     Government within    Government within
                                             the Non-UGLG that     the Non-UGLG that    the Non-UGLG that
                                             Requested Funding      declined funding    Declined Funding or
                                                                     and requested a      Non-responsive
                                                                         transfer
      B      Provide the name of the                 Y                      Y                    Y
             Non-UGLG County
      C      Provide the name of the                 Y                        Y                  Y
             UGLG Jurisdiction within the
             Non-UGLG county
      D      Provide the population of the           Y                        Y                  Y
             Jurisdiction
      E      Provide the amount of funds             Y                        Y                  Y
             allocated to the Jurisdiction
      F      Include the Jurisdiction                Y                        Y                  Y
             Number assigned by the
             State to the Jurisdiction
             (e.g., AZ0013)
     G       Include the Jurisdiction UEI            Y                        Y                  N
             number*

                         Coronavirus State and Local Fiscal Recovery Fund:
                        NEUs and Non-UGLG Distribution Templates User Guide                     10
Template              Action                    Required for         Required for          Required for
 Column                                        Units of Local        Units of Local        Units of Local
                                             Government within    Government within     Government within
                                             the Non-UGLG that    the Non-UGLG that     the Non-UGLG that
                                             Requested Funding     declined funding     Declined Funding or
                                                                    and requested a       Non-responsive
                                                                        transfer
   H       Include the Jurisdiction                   Y                    Y                      N
           Taxpayer Identification
           Number (TIN)*
  I-O      Include the Jurisdiction                   Y                      Y                    N
           address (including city, State
           and zip code)
   P       Include the Jurisdiction                   Y                      Y                    N
           primary email address. If
           there is no primary email
           address, provide the point of
           contact's email address*
   Q       Include the Jurisdiction                   Y                      N                    N
           primary point of contact's full
           name (first then last)*
   R       Include the Jurisdiction                   Y                      N                    N
           primary point of contact's
           phone number (###-###-
           ####)*
   S       Include the Jurisdiction                   Y                      N                    N
           primary point of contact's
           email address*
   T       Include the Jurisdiction                   Y                      Y                    N
           authorized representative
           name. If the primary point of
           contact is also the
           authorized representative,
           provide the name again*
   U       Include the Jurisdiction                   Y                      Y                    N
           authorized representative
           email address. If the primary
           point of contact is also the
           authorized representative,
           provide the email again*
   V       Did the Jurisdiction decline               Y                      Y                    Y
           and transfer funding to the
           State? Indicate Y or N
   W       Include any additional notes        Y, if applicable      Y, If applicable      Y, if applicable
           required to explain the
           Jurisdiction distribution
           summary line items, as
           applicable*


 3. Provide the Non-UGLG Distribution template via email at
    SLFRFNEUForms@treasury.gov.




                        Coronavirus State and Local Fiscal Recovery Fund:
                       NEUs and Non-UGLG Distribution Templates User Guide                      11
b. Non-UGLG Transactions

  Note: States and U.S. Territories (if applicable) are required to submit transactions
  data as part of the second tranche distributions.
  In this template, the State or U.S. Territory will populate the spreadsheet for transactions to
  units of general local government within Non-UGLG counties.
  States and U.S. Territory are asked to provide updates to Treasury every month after
  submitting the Interim Report.
     1. Download the Non-UGLG Transactions template from Treasury’s website.
           • Column B: Provide the name of the Non-UGLG County

                     •     Non-UGLG name should match the Non-UGLG name provided as
                           part of the Non-UGLG Distribution template

             •   Column C: Provide the name of the UGLG Jurisdiction within the Non-UGLG
                 county

                     •     Non-UGLG jurisdiction name should match the Non-UGLG jurisdiction
                           name provided as part of the Non-UGLG Distribution template

             •   Column D: Provide the Jurisdiction Number assigned by the State

                     •     Jurisdiction name should match the jurisdiction name provided as part
                           of the Non-UGLG Distribution template

             •   Column E: Include the Jurisdiction UEI

             •   Column F: Provide the transaction ID, assigned by the State

             •   Column G: Indicate whether the transaction was a Payment or Transfer to
                 State under Section 603(c)(4)

             •   Column H: Provide a description of the transaction (Enter “First Tranche” or
                 “Second Tranche”)

             •   Column I: Provide the transaction amount. For transfers to the State under
                 Section 603(c)(4), include the amount intended for transfer to the State.

             •   Column J: Provide the date of the transaction. For transfers to the State
                 under Section 603(c)(4), provide the date that Treasury's transfer form
                 agreement was signed by both parties (not the expected date on which
                 Treasury would grant the transfer).
     2. Provide the Non-UGLG Transaction template via email at
        SLFRFNEUForms@treasury.gov.




                          Coronavirus State and Local Fiscal Recovery Fund:
                         NEUs and Non-UGLG Distribution Templates User Guide                   12
Appendix A – Template Overview
a)     Purpose
The following segment provides overview on the template process. There are five (5) unique
templates as outlined below:

           1.   NEU Distribution – Eligible NEUs
           2.   NEU Distribution – Ineligible
           3.   NEU Distribution – Transactions
           4.   Non-UGLG Distribution
           5.   Non-UGLG Transactions

b)     Template Description
Each of the five templates contain instructions on how to populate the respective fields within
each file. When adding content to each template, please follow the “Help” text, which will
provide what is and isn’t permitted for each cell. All templates have the same structure as
described below:
       Row 1: Template Version
       Row 2: Template Name
       Row 3: Instructions: Brief description of the template constraints.
       Row 4: Field IDs: Column identifiers
       Row 5: Field Label: Brief description of each Field or Column
       Row 6: Required or Optional: This field specifies if the field is optional or required. When
       the column is required, and a recipient does not provide the required data, the system
       will not accept any record or allow the file to be uploaded.
       Row 7: Field Help Text: Provides a description of the column. There are 2 types of fields,
       1). an open value either text or numbers and 2). a predefined list of pick list values:
                   Open Value: Any text or number. Text for NEU State name or a Number that
                    represents amounts. Most text types are free formats, the only expectation is
                    for Dates, each column that represents a date describes the accepted
                    format. For any number field, it is not required to add “,” to represent
                    thousands or it is not required to add “$” to represent currency. Only add
                    decimal “.” when needed.
                   Pick List: A Predefine list of values that is accepted by the system. When the
                    column is a pick list, row 7 provides the list of options that the system
                    accepts. End users should “copy and paste” the valid value for each record.
                    If the respondent provides a value that is not in the predefined pick list, the
                    system will not accept the file. Responses should not contain double quotes
       Row 8: Data that Recipient submits. Row 8 is where recipients insert specific data to
       submit. The system accepts 1 or many rows.


                         Coronavirus State and Local Fiscal Recovery Fund:
                        NEUs and Non-UGLG Distribution Templates User Guide                       13
          The following is special guidance for each row or set of rows:
                      Do not change the content of rows 1 to 7.
                      Rows 4 to 7 provide metadata of each data element or column of the information
                      that respondents will provide.
                      Add your data in row 8 column B.

c)        CSV Guidance
Refer to the following link for descriptions of the CSV format.
          https://en.wikipedia.org/wiki/Comma-separated_values
d)        Specific CSV characteristics

          •    The date format is: MM/DD/YYYY. Example:
                   a. 06/22/2021
          •    All currency values are numeric. It is not required to add “,” for thousand or millions.
          •    All currency values should not contain a “$” sign. The file will be rejected if a “$” is
               included in the data entry.


e)        Upload Template Description
Each data element and/or column in the templates is described below:

          •    Index No: Reference number for the data element. For internal use only.
          •    Defined term: Column Short description.
          •    Definition: Column long description or definition.
          •    Column Name: The column header name that must be used in the file.
          •    Required: Indicates if the column is required or not required.
          •    List Value: The content of the column is from a list of predefined values. This is valid
               for some of the columns. The list is provided for all cases. Most of the cases are N/A
               which means that the type is ether String or Numeric.
          •    Data type: Specify the data type of the column. The options are: Numeric, Text, Date
               and Pick List.
          •    Max Length: Indicates the maximum length in characters that is allowed for each
               column.
f)        NEU Distribution – Eligible NEUs
The downloadable template contains all information required to create the upload files to include
required/optional fields, help text, and permissible data types. The following table highlights the
data elements required for the NEU Distribution – Eligible NEUs.
     Defined Term                 Definition                 Required   List Values    Data Type    Max
                                                                                                   Length

 State or Territory    Name of the state or Territory       Required    n/a           String                20
                       performing the transfer to the NEU
                       (e.g, California, Maine, Maryland)



                                  Coronavirus State and Local Fiscal Recovery Fund:
                                 NEUs and Non-UGLG Distribution Templates User Guide                             14
 Defined Term                Definition                  Required   List Values    Data Type    Max
                                                                                               Length

NEU Recipient    A unique identification code for       Required    n/a           Number                10
Number           each NEU assigned by the State
                 to the NEU as part of the request
                 for funding (e.g., AZ1003)
NEU/Local        Legal name of the NEU                  Required    n/a           String            120
Government       organization/local government.
Name


NEU/Local        NEU/local government UEI               Required    n/a           Number                12
Government UEI




NEU Taxpayer     NEU Taxpayer Identification            Required    n/a           Number                 9
Identification   Number (TIN)
Number (TIN)
NEU Address 1    First line of the NEU                  Optional    n/a           String            120
                 organization's address.
NEU Address 2    Second line of the NEU                 Optional    n/a           String            120
                 organization's address.
NEU Address 3    Third line of the NEU                  Optional    n/a           String            120
                 organization's address.
NEU City         Name of city in which the NEU          Optional    n/a           String            120
                 organization is located.
NEU State        United States Postal Service           Optional    n/a           String                 2
                 (USPS) two-letter abbreviation for
                 the state or Territory in which the
                 NEU organization is located.
NEU Zip Code     United States ZIP code (five           Optional    n/a           Number                 5
                 digits)


NEU Zip +4       United States ZIP code (five           Optional    n/a           Number                 4
                 digits) concatenated with the
                 additional +4 digits associated
                 with the NEU organization's
                 address.
NEU Email        Email address of the NEU               Optional    n/a           String            120
Address          organization.
NEU Point of     Name of a Point of Contact at the      Optional    n/a           String            120
Contact (POC)    NEU.
Name

NEU POC Phone    Phone number of the primary            Optional    n/a           String                10
Number           Point of Contact for the NEU
                 organization.

NEU POC Email    Email address of the primary Point     Optional    n/a           String            120
                 of Contact for the NEU
                 organization.
Authorized       Name of an Authorized                  Optional    n/a           String            120
Representative   Representative of the NEU. If the
Name             primary point of contact is also the
                 authorized representative, please
                 provide the name again.
Authorized       Email of an Authorized                 Optional    n/a           String            120
Representative   Representative of the NEU. If the
Email            primary point of contact is also the
                 authorized representative, please
                 provide the email again.



                             Coronavirus State and Local Fiscal Recovery Fund:
                            NEUs and Non-UGLG Distribution Templates User Guide                              15
 Defined Term                      Definition                  Required   List Values      Data Type    Max
                                                                                                       Length

Status                Eligibility status of a given NEU.      Required    1) Action       Pick List         n/a
                      Indicate the NEU's status: 1)                       Taken (i.e.,
                      Action Taken (i.e., the NEU                         the NEU
                      requested funding or declined                       requested
                      funding & requested Sec.                            funding or
                      603(c)(4) transfer to the state); or                declined
                      2) Action Not Taken (i.e., the NEU                  funding &
                      is nonresponsive / declined                         requested
                      funding)                                            Sec.
                                                                          603(c)(4)
                                                                          transfer to
                                                                          the state);
                                                                          2) Action Not
                                                                          Taken (i.e.,
                                                                          the NEU is
                                                                          nonresponsiv
                                                                          e / declined
                                                                          funding)
Total NEU             Provide the Total NEU Budget            Optional    n/a             Dollar           12, 2
Budget                Reference submitted by the NEU                                      Numeric
Reference             as part of its request for funding or
(original)            Sec. 603(c)(4) transfer to the state

Total NEU             Provide the revised Total NEU           Optional    n/a             Dollar           12, 2
Budget                Budget Reference, if revisions                                      Numeric
Reference             were made based on updated
(revised, if          NEU Guidance (i.e., updated
applicable)           Treasury guidance on
                      interpretation of the 75 percent
                      budget cap issued on June 30,
                      2021)
Total Allocation      Provide the Total Allocation            Required    n/a             Dollar           12, 2
Across 1st and        Across 1st and 2nd Tranches                                         Numeric
2nd Tranches          before application of the 75
(before               percent budget cap
application of 75
percent cap)
Total Allocation       Provide the Total Allocation           Optional    n/a             Dollar           12, 2
Across 1st and        Across 1st and 2nd Tranches                                         Numeric
2nd Tranches          (before application of 75 percent
(before               budget cap) (first revision, if
application of 75     applicable)
percent cap)
(first revision, if
applicable)
Total Allocation       Provide the Total Allocation           Optional    n/a             Dollar           12, 2
Across 1st and        Across 1st and 2nd Tranches                                         Numeric
2nd Tranches          (before application of 75 percent
(before               budget cap) (first revision, if
application of 75     applicable)
percent cap)
(second revision,
if applicable)
Final Allocation      Final Allocation Across 1st and         Optional    n/a             Dollar           12, 2
Across 1st and        2nd Tranches after application of                                   Numeric
2nd Tranches          the 75 percent budget cap
after application
of the 75 percent
budget cap
Final Allocation      Final Allocation Across 1st and         Optional    n/a             Dollar           12, 2
Across 1st and        2nd Tranches after application of                                   Numeric
2nd Tranches          the 75 percent budget cap (first
after application     revision, if applicable)
of the 75 percent
budget cap (first


                                  Coronavirus State and Local Fiscal Recovery Fund:
                                 NEUs and Non-UGLG Distribution Templates User Guide                               16
     Defined Term                  Definition                    Required   List Values       Data Type    Max
                                                                                                          Length

 revision, if
 applicable)



 Final Allocation     Final Allocation Across 1st and           Optional    n/a              Dollar           12, 2
 Across 1st and       2nd Tranches after application of                                      Numeric
 2nd Tranches         the 75 percent budget cap
 after application    (second revision, if applicable)
 of the 75 percent
 budget cap
 (second revision,
 if applicable)
 Additional Notes     Include any additional notes              Optional    n/a              String            400
                      required to explain the NEU
                      distribution summary line items,
                      as applicable




g)         NEU Distribution - Ineligible
The downloadable template contains all information required to create the upload files to include
required/optional fields, help text, and permissible data types. The templates provide all
information required to create the upload files. The following table highlights the data elements
required for the NEU Distribution - Ineligible.
     Defined Term                  Definition                    Required   List Values       Data Type    Max
                                                                                                          Length

 State or Territory   Name of the state or Territory            Required    n/a              String                20
                      performing the transfer to the NEU
                      (e.g, California, Maine, Maryland)

 NEU/Local            Legal name of the NEU                     Required    n/a              String            120
 Government           organization/local government.
 Name

 NEU/Local            NEU/local government UEI                  Optional    n/a              Number                 9
 Government UEI



 Reason for           Select the rationale for ineligibility:   Required    1) Ineligible    Pick List         n/a
 Ineligibility        1) Ineligible MCD (i.e., any Minor                    MCD (i.e.,
                      Civil Divisions in a "weak-MCD"                       any Minor
                      State that did not meet the facts-                    Civil
                      and-circumstances test as                             Divisions in a
                      outlined in Treasury's guidance);                     "weak-MCD"
                      or 2) Other. If other, please                         State that did
                      provide additional explanation in                     not meet the
                      Column E                                              facts-and-
                                                                            circumstance
                                                                            s test as
                                                                            outlined in
                                                                            Treasury's
                                                                            guidance);
                                                                            2) Other. If
                                                                            other, please
                                                                            provide
                                                                            additional
                                                                            explanation
                                                                            in Column E
                                   Coronavirus State and Local Fiscal Recovery Fund:
                                  NEUs and Non-UGLG Distribution Templates User Guide                                   17
     Defined Term                 Definition                  Required   List Values       Data Type    Max
                                                                                                       Length

 Notes                Provide an explanation for “Other”     Optional    n/a              String            400
                      ineligibility rationale




h)        NEU Distribution - Transactions
The downloadable template contains all information required to create the upload files to include
required/optional fields, help text, and permissible data types. The following table highlights the
data elements required for NEU Distribution - Transactions.
      Defined Term                 Definition                 Required   List Values       Data Type    Max
                                                                                                       Length

 State or Territory     Name of the state or Territory       Required    n/a              String                20
                        performing the transfer to the
                        NEU (e.g, California, Maine,
                        Maryland)



 NEU Recipient          A unique identification code for     Required    n/a              Number                10
 Number                 each NEU assigned by the
                        State to the NEU as part of the
                        request for funding (e.g.,
                        AZ1003)


 NEU/Local              Legal name of the NEU                Required    n/a              String            120
 Government Name        organization/local government.




 NEU/Local              NEU/local government UEI             Required    n/a              Number                12
 Government UEI



 Transaction ID         Provide the transaction ID,          Required    n/a              String                25
 (assigned by State     assigned by the State or
 or Territory)          Territory


 Transaction Type       Transaction type (payment or         Required    |- Payment;      Pick List             n/a
                        Transfer to State under Section                  |- Transfer to
                        603(c)(4))                                       State under
                                                                         Section
                                                                         603(c)(4)


 Transaction            Transaction description of the       Required    n/a              String                25
 Description            transaction (e.g., initial payment
                        under First Tranche,
                        subsequent distribution under
                        First Tranche)




                                 Coronavirus State and Local Fiscal Recovery Fund:
                                NEUs and Non-UGLG Distribution Templates User Guide                                   18
     Defined Term                 Definition                Required   List Values    Data Type    Max
                                                                                                  Length

 Transaction           Transaction amount. Use             Required    n/a           Dollar           12,2
 Amount                negative numbers for downward                                 Numeric
                       revisions. For transfers to the
                       state under Section 603(c)(4),
                       include the amount of the
                       intended transfer.
 Date                   Provide the date of the            Required    n/a           Date                  10
                       transaction. For transfers to the                             Numeric
                       state under Section 603(c)(4),                                (MM/DD/YYY
                       provide the date that Treasury's                              Y)
                       transfer form agreement was
                       signed by both parties, not the
                       expected date of Treasury
                       approval.



i)        Non-UGLG Distribution
The downloadable template contains all information required to create the upload files to include
required/optional fields, help text, and permissible data types. The following table highlights the
data elements required for Non-UGLG Distribution.
     Defined Term                 Definition                Required   List Values    Data Type    Max
                                                                                                  Length

 Non-UGLG County       Non-UGLG County Name                Required    n/a           String            150
 Name

 Jurisdiction Name     Jurisdiction Recipient Name         Required    n/a           String            150

 Population of         Population of Jurisdiction          Required    n/a           Number                12
 Jurisdiction

 Allocation amount     Provide the amount of funds         Required    n/a           Number                12
                       allocated to the jurisdiction



 Jurisdiction Number   Include the Jurisdiction            Required    n/a           String                50
                       Recipient Number assigned by
                       the State to the Jurisdiction
                       (e.g., AZ0013)

 Jurisdiction UEI      Include the Jurisdiction UEI        Optional    n/a           String                 9


 Taxpayer              Taxpayer Identification Number      Optional    n/a           text                  82
 Identification        (TIN)
 Number (TIN)


 Jurisdiction          Jurisdiction Address 1              Required    n/a           String            150
 Address 1

 Jurisdiction          Jurisdiction Address 2              Optional    n/a           String            150
 Address 2
 Jurisdiction          Jurisdiction Address 3              Optional    n/a           String            150
 Address 3
 Jurisdiction City     Jurisdiction City                   Required    n/a           String            150




                                Coronavirus State and Local Fiscal Recovery Fund:
                               NEUs and Non-UGLG Distribution Templates User Guide                              19
     Defined Term                   Definition                Required   List Values    Data Type    Max
                                                                                                    Length

 Jurisdiction State      United States Postal Service        Required    n/a           State Code             2
                         (USPS) two-letter abbreviation
                         for the state or Territory in
                         which the NEU organization is
                         located.
 Jurisdiction Zip        United States ZIP code (five        Required    n/a           Number                 5
 Code                    digits)



 Jurisdiction Zip +4     United States ZIP code (five        Optional    n/a           Number            5+4
                         digits) concatenated with the
                         additional +4 digits associated
                         with the NEU organization's
                         address.
 Jurisdiction Email      Include the Jurisdiction primary    Optional    n/a           String            150
 Address                 email address. If there is no
                         primary email address, please
                         provide the point of contact's
                         email address.
 Jurisdiction Point of   Jurisdiction Point of Contact       Optional    n/a           String            150
 Contact Name            Name



 Jurisdiction Point of   Jurisdiction Point of Contact       Optional    n/a           Number                10
 Contact Phone           Phone Number
 Number


 Jurisdiction Point of   Jurisdiction Point of Contact       Optional    n/a           String            150
 Contact Email           Email


 Authorized              Include the Jurisdiction            Optional    n/a           String            150
 Representative          authorized representative
 Name                    name. If the primary point of
                         contact is also the authorized
                         representative, please provide
                         the name again.
 Authorized               Include the Jurisdiction           Optional    n/a           String            150
 Representative          authorized representative email
 Email                   address. If the primary point of
                         contact is also the authorized
                         representative, please provide
                         the email again.
 Question: Did the       Response to Question: Did the       Required    n/a           Yes or No              3
 jurisdiction decline    jurisdiction decline and transfer
 and transfer            funding to the state?
 funding to the
 state?
 Notes                   Include any additional notes        Optional    n/a           text              500
                         required to explain the
                         Jurisdiction distribution
                         summary line items, as
                         applicable



j)        Non-UGLG Transactions
The downloadable template contains all information required to create the upload files to include
required/optional fields, help text, and permissible data types. The following table highlights the
data elements required for Non-UGLG Transactions.

                                  Coronavirus State and Local Fiscal Recovery Fund:
                                 NEUs and Non-UGLG Distribution Templates User Guide                              20
  Defined Term                 Definition                Required   List Values       Data Type    Max
                                                                                                  Length

Non-UGLG County     Non-UGLG County Name                Required    n/a              String            150
Name


Jurisdiction Name   Jurisdiction Recipient Name         Required    n/a              String            150



Jurisdiction        Include the Jurisdiction            Required    n/a              String                50
Recipient Number    Recipient Number assigned by
                    the State to the Jurisdiction
                    (e.g., AZ0013)



Jurisdiction UEI    Include the Jurisdiction UEI        Required    n/a              String                 9
number


Transaction ID      Provide the transaction ID,         Required    n/a              String                50
(assigned by the    assigned by the State
State)


Transaction Type    Indicate whether the transaction    Required    |- Payment;      Pick List         n/a
                    was a Payment or Transfer to                    |- Transfer to
                    State under Section 603(c)(4)                   State under
                                                                    Section
                                                                    603(c)(4)
Transaction         Provide a description of the        Required    “First           Pick List         n/a
Description         transaction (Enter “First                       Tranche”
                    Tranche” or “Second Tranche”)                   or
                                                                    “Second
                                                                    Tranche”)
Transaction         Provide the transaction amount.     Required    n/a              Number           12,2
Amount              Use negative numbers for
                    downward revisions. For
                    transfers to the state under
                    Section 603(c)(4), include the
                    amount intended for transfer to
                    the state.
Transaction Date    Provide the date of the             Required    n/a              date                  10
                    transaction. For transfers to the
                    state under Section 603(c)(4),
                    provide the date that Treasury's
                    transfer form agreement was
                    signed by both parties (not the
                    expected date that Treasury
                    grants the transfer).




                             Coronavirus State and Local Fiscal Recovery Fund:
                            NEUs and Non-UGLG Distribution Templates User Guide                                 21
 Coronavirus State and Local Fiscal Recovery Fund:
NEUs and Non-UGLG Distribution Templates User Guide   22


File and source

File
TREAS-SLFRF_Recipient-Reporting-User-Guide-NEU_Non-UGLG.pdf
Size
1,052,912 bytes
SHA-256
56c58091d39f347f21142d89f7c737c186b21b1e711e31be980817385cf9a152
Our copy
TREAS-SLFRF_Recipient-Reporting-User-Guide-NEU_Non-UGLG.pdf
Original
home.treasury.gov
Back to top