Grantee Recipient Reporting: Beginner (CPPW)

1
Grantee Recipient Reporting Beginner (CPPW)

• Clay Cooksey
• CDC Recovery Act Coordination
• December, 2009

2
Todays Objectives

• Distinguish between Performance Measurement
  Reporting and Section 1512 Reporting
• Understand the basic recipient reporting process
• Requirements
• Registration and Preparation
• Reporting options and CDC sample reports
• Understand the Limited Data Quality Reviews (DQR)
• Requirements
• Basic Process and CDC plans
• Preparation
• Answer questions

3
Recipient ReportingTwo Components

• Section 1512 Recipient reports due to
  federalreporting.gov by Day 10 after the end of
  each quarter. Submit one report for each award
  received
• Three options for reporting
• Program performance measures Periodic
  discussion with recipients. Recipients report
  data to CDC POs collate and submit to RAC for
  quarterly senior leader reviews and public
  reporting
• Performance Progress Report form

4
Section 1512 Recipient Reporting Requirements

• Recipient Quarterly Reports
• Grants and Cooperative Agreements
• Recipient reports due to federalreporting.gov by
  Day 10 after the end of each quarter and
  ultimately posted on Recovery.gov.
• Includes standard data elements under Section
  1512 for Prime Recipients, Sub-Recipients, and
  Sub-Awardees posted in April 1, 2009 Federal
  Register notice
• Contracts
• Standard data elements for recipients of Recovery
  Act funded contracts directly awarded by the
  Federal Government is being reviewed under a
  separate OMB information collection process

5
Reporting Roles and Responsibilities

• Prime Recipients
• Sub Recipients
• Vendors

Refer to Supporting Information for more details
6
Prime and Sub-recipients Vendors

• Prime recipient non-Federal entities that
  receive Recovery Act funding (grants, cooperative
  agreements, loans) directly from the federal
  government
• Sub-recipient non-Federal entity that receives
  all or a portion of Recovery Act funding from a
  prime recipient to support the performance of
  programs/projects for which the prime recipient
  received funding
• Vendor a dealer, distributor, merchant, or
  other seller providing goods or services to
  recipients that are needed to carry out the
  project or program

7
Sub-recipient vs. Vendor

• The characteristics of a vender that make it
  distinct from a sub-recipient are below. A
  vendor

• Provides the goods and services within normal
  business operations
• Provides similar goods and services to many
  different purchasers
• Operates in a competitive environment
• Provides goods and services that are ancillary to
  the operation of a federal program and,
• Is not subject to compliance requirements of the
  federal program.

Office of Management and Budget Guidance on
Reporting (June 22, 2009), p.7 http//www.recovery
.gov/FAQ/recipient/pages/recipient_reporting.aspx
8
Recipient ReportingRegistration

• Recipients and reviewers must be registered with
  www.federalreporting.gov
• Recipients need
• DUNS http//fedgov.dnb.com/webform
• CCR www.ccr.gov/GAQ.aspx
• FRPIN www.federalreporting.gov

9
Prime Recipient ReportingPreparation

• Is your DUNS/CCR current?
• Have you requested your FRPIN?
• Who will register for your org (Centralized
  Reporting)?
• What systems will you use for data collection
  (purchasing, accounting, etc.)?
• Will you be delegating to sub-recipients?
• What subcontract/consortium agreements need to be
  revised?
• Do your grantees and contractors have DUNS/CCR
  identification so they can register? FRPIN?
• Have they registered?
• How will you validate sub-recipient reports/info?
• Are you and they familiar with Resources for
  Review?

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Section 1512 Reporting Options

• Recipient Reporting Online Form Recipients can
  enter data directly onto FederalReporting.gov.
  The site will prevent the submission of material
  omissions.
• Recipient Reporting Excel Tool Recipients will
  need to populate the required data fields and
  upload the report to FederalReporting.gov. The
  website will validate the completion of all
  required data fields and will not allow the
  completion of the upload if any material
  omissions exist.
• Recipient Reporting XML Schema The XML Schema
  provides a standard structure to transfer data
  from system to system.

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Recipient ReportingTechnical Assistance
Instructions
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CDC Reporting Assistance

• Recipient challenges
• Short timeframe for reporting, identifying and
  correcting errors
• Some recipients with limited access to reports
  for their awards (centralized reporting)
• Program role
• Address challenges on monthly calls
• Provide applicable info for reporting (i.e.,
  agency codes) before reporting period
• Link recipients with basic reporting info and be
  able to answer basic reporting questions

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CDC Codesfor ARRA Grants
http//www.cdc.gov/fmo/topic/Recovery_Act/index.ht
ml
14
States with CentralizedReporting In Oct. 09

• AR
• CA
• CO
• CT
• FL
• IN
• IA
• ME
• MD

• MA
• MI
• MS
• MO
• NM
• OH
• OK
• OR
• PA

• SD
• TN
• UT
• VT
• WA
• WV
• WI
• WY
• American Samoa

May change for future reporting periods
15
CPPW Sample Report
16
Recipient ReportingInstructions (General)

• Award Amount
• Refer to Notice of Grant Award
• Award Description
• Recipient should use info from the executive
  summary in their application
• Project Name/Program Title
• Recipient should use the title of their Funding
  Opportunity Announcement (FOA)
• Quarterly Activities/Project Description
• Recipients should use info from the executive
  summary in their application and or appropriate
  objectives and activities in their application

Sample Reports - http//www.cdc.gov/fmo/topic/Reco
very_Act/index.html
17
Recipient ReportingInstructions (CPPW)

• Project Status
• Not started (if your expenditures 0) or
  less than 50
• Total Fed ARRA Amount Invoiced
• Amount drawn down from PMS through 12/31
• 0 if nothing has been drawn down
• Total Fed ARRA Expenditures
• 0 (not enough time obligate funds per Dec.
  2009 award date)
• Jobs
• 0 (not enough time to obligate funds for jobs
  per Dec. 2009 award date)
• Subawards and Vendor Payments
• 0 unless funds have been expended for either

Sample Reports - http//www.cdc.gov/fmo/topic/Reco
very_Act/index.html
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OMB Jobs Guidance

• In order to perform the calculation, a recipient
  will need the total number of hours worked that
  are funded by the Recovery Act and To convert
  hours worked to number of FTE for the first
  quarterly report, 1) aggregate all hours worked
  and 2) divide by the number of hours in a
  full-time schedule (as defined by the recipient).
  Reporting is cumulativeand will not reset at the
  beginning of each calendar or fiscal year

Office of Management and Budget Guidance on
Reporting (June 22, 2009), p.35
http//www.recovery.gov/FAQ/recipient/pages/recipi
ent_reporting.aspx
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Jobs created vs. retained

• Job created met by at least one of the
  following
• New positions filled and funded with ARRA dollars
• Existing, unfilled positions (pre ARRA) that are
  filled and funded with ARRA dollars
• Job retained previously existing and filled
  position that is retained and funded with ARRA
  dollars (i.e., it was going away until ARRA
  provided funding to keep it going)
• Includes the sum of Prime recipients, sub
  recipients and vendors for each ARRA award
  (beware of double-counting)
• A job is either created or retained, but it
  CANNOT be both

Recipient Reporting Data Model -
https//www.federalreporting.gov/federalreporting/
downloads.dorrdm, p. 9-10
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Jobs Example (Q1)

• Date of hire with ARRA dollars 12/01/2009
• Max of hours worked 160 hours/FTE
• 40 hrs/week x 4 weeks
• of FTEs (see jobs description in sample) 2
• Total hours available in 1st quarter 520

160 hours worked x 2 FTEs 320 hours
worked -------------------------------------------
------------------ .6FTEs 520 hours
available for 1st Q
21
Jobs Example (Q1Q2)Assumes FTEs worked all of
Q2

• Cumulative for two quarters
• Date of Hire with ARRA dollars 12/01/2009
• Max of hours worked 680 hours/FTE
• Q1(160hrs) Q2 (520 hrs)
• of FTEs (see jobs description in sample) 2
• Total hours available for 2 quarters 1040

680 hours worked x 2 FTEs 1360 hours
worked -------------------------------------------
------------------ 1.3 FTEs 520 hrs (Q1)
520 hrs (Q2) 1040 hours available
22
Jobs Example Cumulative reporting for one year
23
Limited Data Quality Reviews (DQR)
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Recipient Reporting DQR Key Dates

• Jan. 1 Federalreporting.gov opens for recipient
  reporting
• Jan. 10 Recipient reports due to
  federalreporting.gov
• Jan. 11 29 Recipient and CDC data quality
  reviews
• Jan. 30 Recipient reports made public

25
Recipient Reporting Data Quality Review

• Day 1 10 Recipients submit data to
  federalreporting.gov
• Day 11 21 Initial Report Review
• Prime recipients ID errors/omissions and notify
  sub-recipients where applicable
• Data corrections made by recipients
• Federal agencies initiate data reviews
• Day 22 29 Official Agency Review
• Fed agencies officially alert recipients to data
  issues
• Unlock reports with errors
• Recipients correct data issues
• Fed agencies categorize data quality for
  Recovery.gov
• Day 30 Final reports posted on Recovery.gov

26
CDCs Basic DQR Process

• Track recipient registrations
• Days 11 21 Preliminary reviews of recipient
  reports begin to ID errors and contact
  recipients
• POs contact recipients and inform of errors
• Days 22 29 Official CDC review notify
  recipients and categorize
• Unlock reports with errors
• Day 30 90 CDC Recovery Act Coordination unit
  conduct performance analysis of errors,
  corrections and non-compliance for Quarterly
  Reviews

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Scope of CDC Data Quality Reviews

• Material omissions failure of recipient to
  submit a report
• Significant reporting errors
• Reported award amount differs from CDC records by
  more than 1
• Reported award date differs from CDC records by
  more than 7 days
• Reported expenditures greater than the award
  amount
• Project status is 50 complete
• Highly unreasonable job estimates

Subject to change per HHS
28
Highly Unreasonable Jobs

• Amount of reported expenditures divided by the
  number of jobs reported is less than 3,770 per
  job
• Must show corresponding if jobs are
  created/retained
• Cannot create/retain jobs with 0 Total ARRA
  Fed Expenditures

Subject to change per HHS
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Recipient ReportingChecklist

• Do you know your
• Award
• Award amount
• Award issue date
• DUNS
• CFDA
• TAS
• Have you provided this info to the person
  submitting your report, especially if in a state
  with centralized reporting?

Refer to your Notice of Grant Award or HHS
Recipient Reporting Readiness Tool
Refer to CDC codes for ARRA Grants http//cdc.gov
/fmo/topic/Recovery_Act/index.html
30
Recipient ReportingChecklist

• Do you have a way to easily make reporting
  corrections, especially if you are in a state
  with centralized reporting?
• Have you and your PO discussed preparations for
  January reporting (i.e., jobs, draw down,
  expenditures, etc.)?
• Do you know how to calculate jobs per OMBs
  formula and CDCs samples?
• Do you have corresponding expenditures with your
  reported jobs created/retained?

31
Recipient ReportingChecklist

• Have you submitted a report for each award?
• Have you submitted a duplicate report that needs
  to be deactivated (i.e, 2 reports for the same
  award )
• Have you reviewed your data to prevent
  double-counting any reported data (i.e.,
  expenditures, jobs, etc.?)

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Program Performance Measures
33
Program PerformanceMeasures

• Four differences between Section 1512 and Program
  Performance Measures
• Performance Measures
• Reported to CDC, not directly to public portal
• Public info is reported by CDC in aggregate, not
  recipient-by-recipient
• Selected/few public measures
• Not all info is reported quarterly

34
Program PerformanceMeasures

• Program performance measures Periodic
  discussion with POs. Recipients report data to
  CDC POs will collate and report to RAC for
  senior leader reviews and public reporting.
• Performance Progress Report (PPR) form

35
Performance MeasuresReportingSequence

• Data collected from grantees and reported to
  their CDC PO.
• POs or program leads will summarize across funded
  recipients to calculate an aggregated measure
• Program will report these aggregate measures to
  the Recovery Act Coordination unit 60 days after
  the end of the quarter
• RAC will prepare for senior leader quarterly
  reviews and upload for public reporting on
  Recovery.gov

36
Performance MeasureReportingOutcomes

• recipients whose intended policy, systems,
  environmental change has been
• Submitted for consideration by relevant
  authority
• Approved/enacted by relevant authority
• Outcomes measured via
• CHANGE Tool (communities)
• Similar ARRA Reporting Tool (states)
• Report out outcomes strategy by strategy
• Completed by recipient and submitted on-line

37
Performance MeasureReportingOutputs

• recipients who are on time/on track with
  activities related to their chosen strategies
• Outputs measured as follows
• Recipient plans converted to activities/milestones
  with dates
• PO reviews with recipient, determines of
  activities/milestones on time/on track
• Scorecard approachgreen/red/yellow
• Considering an on-line monitoring system to do
  calculations and graphics
• Determine output performance strategy-by-strategy
• Completed by PO and recipient together

38
Performance Progress Report Form (PPR)
39
CPPW Monitoring and EvaluationOther Components

• BRFSS and YRBSbaseline and followup in all
  communities
• System dynamic modeling
• Cost assessment
• Case studies

40
Recipient ReportingTwo Components

• Section 1512 Recipient reports due to
  federalreporting.gov by Day 10 after the end of
  each quarter
• Three options for reporting
• Program performance measures Periodic
  discussion with recipients. Recipients report
  data to CDC POs collate and submit to RAC for
  quarterly senior leader reviews and public
  reporting
• Performance Progress Report form

41
Resources for Review

• Recovery.gov - www.recovery.gov/FAQ/Pages/FAQ.aspx
  
• FAQs and Resources
• Whitehouse.gov
• FAQs http//www.whitehouse.gov/omb/recovery_faqs
  /
• Federalreporting.gov
• FAQs https//www.federalreporting.gov/federalrep
  orting/faq.do
• Downloads Webinars and Recipient Reporting
  Resources - https//www.federalreporting.gov/feder
  alreporting/downloads.do
• CDC.gov - http//www.cdc.gov/fmo/topic/Recovery_Ac
  t/index.html
• FAQs
• Agency Codes
• Links to Sample Reports and Instructions
• Congressional District locator
• HHS Recipient Reporting Readiness Tool
• http//taggs.hhs.gov/ReadinessTool/

Return
42
What Did You Learn?

• Can you distinguish between Performance
  Measurement Reporting and Section 1512 Reporting?
• Do you understand the basic recipient reporting
  process?
• Requirements
• Registration and Preparation
• Reporting options and CDC sample reports
• Do you understand the Limited Data Quality
  Reviews?
• Requirements
• Basic Process and CDC plans
• Preparation
• Do you have additional questions?

43
Questions and Discussion
44
Upcoming Grantee Webinars

• December 9 15 2PM-4PM EST recipients who
  will be submitting their first report in January,
  2010
• December 10-11 2PM-4PM EST recipients who will
  be submitting their second report in January,
  2010
• December 17 2PM-4PM EST open QA

http//www.cdc.gov/fmo/topic/Recovery_Act/index.ht
ml
45
CDC Recipient Reporting Contacts

• RAC Clay Cooksey
• Telephone [phone]
• E-mail CCooksey_at_cdc.gov
• PGO Manal Ali
• Telephone [phone]
• E-mail MAli_at_cdc.gov.

46
Supporting Information
47
States with CentralizedReporting In Oct. 09

• AR
• CA
• CO
• CT
• FL
• IN
• IA
• ME
• MD

• MA
• MI
• MS
• MO
• NM
• OH
• OK
• OR
• PA

• SD
• TN
• UT
• VT
• WA
• WV
• WI
• WY
• American Samoa

May change for future reporting periods
48
CDC Codesfor ARRA Grants
http//www.cdc.gov/fmo/topic/Recovery_Act/index.ht
ml
49
Recipient Reporting Responsibilities

• Prime recipient
• Ultimately responsible for reporting all Section
  1512 data
• FFATA payments to sub-recipient (if not
  delegated to sub-recipient)
• Payments of 25k to vendors
• Vendor DUNS /name/zip code (HQ)
• Amount of payment
• Description of what was obtained in exchange for
  payment
• Aggregate report for payments (vendors/sub-recipie
  nts.) less than 25k

Federal Funding Accountability and Transparency
Act
50
Recipient Reporting Responsibilities

• Sub-recipient
• FFATA payments from prime recipient if delegated
  by prime recipient
• Payments of 25k to vendors
• Vendor DUNS /name/zip code (HQ)

51
Recipient Reporting and Data Quality Review
52
Data Quality Stakeholders

• Prime Recipient Role
• Own all recipient data
• Initiates data collection/reporting procedures to
  meet Section 1512 requirements
• Implements internal controls to ensure accurate
  and complete information
• Reviews information for significant errors or
  omissions, makes corrections and/or works with
  sub-recipients to correct errors

53
Data Quality Stakeholders

• Sub-recipient Role
• Own sub-recipient data
• Initiates data collection/reporting procedures to
  meet Section 1512 requirements
• Implements internal controls to ensure accurate
  and complete information
• Reviews information for significant errors or
  omissions, makes corrections and/or works with
  prime recipient to correct errors

54
Data Quality Stakeholders

• Federal Agency Role
• Provides technical advice and assistance
• Performs limited data quality reviews to ID
  significant reporting errors or material
  omissions
• Notifies recipients of errors
• Classifies reported data by program
• Not reviewed by agency
• Reviewed by agency, no data quality issues
  identified
• Reviewed by agency, data quality issues
  identified

55
Data Quality Stakeholders
Oversight Authorities Role (i.e., OMB, Recovery
Board)

• Establish data quality expectations
• Establish data/technical standards
• Coordinate any centralized reviews of data
  quality
• Post/Publish non-compliant recipients

56
Data Quality Stakeholders

• Health and Human Services (HHS)
• Facilitate HHS OPDIV reviews via COE
• Pull all HHS-related recipient reports from
  federalreporting.gov
• Sort by OPDIV
• Perform limited review for errors
• Send reports to OPDIVs
• Provide Recipient Reporting Readiness Tool for
  recipients

Operating Division Center of Excellence
57
CDC ARRA PerformanceMeasures

• 317 public performance measures
• Childhood Immunization Recovery Plan -
  http//www.recovery.gov/Transparency/agency/report
  ing/agency_reporting5program.aspx?agency_code75p
  rogplanid7535measures
• HAI public performance measures
• CDC Infectious Diseases Recovery Plan -
  http//www.recovery.gov/Transparency/agency/report
  ing/agency_reporting5program.aspx?agency_code75p
  rogplanid7537