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Recipient Reporting Training

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Recipient Reporting Training CDC Recovery Act Coordination Unit * * Additional Guidance Reporting Procedures When is a recipient considered non-compliant? – PowerPoint PPT presentation

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Title: Recipient Reporting Training


1
Recipient Reporting Training
  • CDC Recovery Act Coordination Unit

2
Training Objectives
  • Understand the basic recipient reporting process
  • Requirements
  • Registration and Preparation
  • Reporting options and sample report
  • Understand the Data Quality Reviews (DQR)
  • Requirements
  • Basic Process
  • Preparation
  • Distinguish between Performance Measurement
    Reporting and Section 1512 Reporting

3
Recovery Act Overview
  • The American Recovery and Reinvestment Act of
    2009 (Recovery Act) was passed on February 17,
    2009, with 787 billion in funding
  • Main goals
  • Create new jobs as well as save existing ones
  • Spur economic activity and invest in long-term
    economic growth

4
Special Requirements
  • Unprecedented level of accountability and
    transparency
  • Funding should reach end users quickly and be
    expended for quick results
  • Emphasis on measurement and evaluation
  • Reporting will be extensive including post-award
    audits reviews (GAO, OIG)

5
Recipient ReportingTwo Components
  • Section 1512 Public recipient reports due to
    www.federalreporting.gov by Day 10 after the end
    of each quarter.
  • Program Performance Measures Public and
    non-public performance measures.
  • Coordinated by Program Project Officers.

Note Dates are subject to change and
recipients will receive updated timelines each
quarter.
6
Section 1512 Reporting
7
Reporting Schedule
  • Eleven reporting periods complete since April
    2009
  • OMB has determined recipient reporting will
    continue quarterly through September 2013
  • Recipients will continue to report through their
    final report
  • See appendix for additional guidance (Slides 37
    38)

8
Funding Recipients
  • 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.
  • Contractor a non-federal entity who receives
    funds directly from the federal government as
    indicated by a legal contract.

9
Vendors
  • The distinguishing features of a vendor are
    below
  • 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 (M-09-21), p.7 http//www.recovery.gov/?
qcontent/recipient-reporting
10
Reporting Responsibilities
  • Prime recipient
  • Own all recipient data
  • Initiates data collection/reporting procedures
  • Implements internal controls to ensure
    accurate/complete information
  • Reviews information for significant errors or
    omissions, makes corrections and/or works with
    sub-recipients to correct errors
  • Sub-recipient
  • Own sub-recipient data
  • Initiates data collection/reporting procedures
  • Implements internal controls to ensure
    accurate/complete information
  • Reviews information for significant errors or
    omissions, makes corrections and/or works with
    prime recipient to correct errors

11
Reporting Responsibilities
  • Contractors
  • Owns contractor data
  • Initiates data collection/reporting procedures
  • Implements internal controls to ensure accurate
    /complete information
  • Reviews information for significant errors or
    omissions makes corrections and/or works with
    prime recipient to correct errors
  • Vendors
  • Not required to report

12
Recipient Reporting Data Quality Review Key
Dates
Note Dates are subject to change and
recipients will receive updated timelines each
quarter.
13
Recipient Reporting Key Dates
  • Days 1 10 Submit Reports
  • Recipients submit reports to federalreporting.gov.
    There are three reporting options (all available
    at www.federalreporting.gov )
  • Recipient Reporting Online Form, Recipient
    Reporting Excel Tool, Recipient Reporting XML
    Schema
  • All recipients should use copy-forward feature
    (see Resources slide)
  • Days 11 14 Extended Submission
  • Day 15-18 Initial Report Review
  • Prime recipients ID errors/omissions and notify
    sub recipients where applicable
  • Recipients correct data
  • Federal agencies initiate data reviews

Note Dates are subject to change and
recipients will receive updated timelines each
quarter.
14
Recipient Reporting Data Quality Review
  • Days 19 29 Official Agency Review
  • Reports locked agencies must enter a comment for
    a recipient to update a report
  • Federal agencies officially alert recipients to
    data issues
  • Recipients correct data issues
  • Federal agencies categorize data for Recovery.gov
  • Day 30 Final reports posted on Recovery.gov
  • Days 33 81 Continuous Review
  • RAC/Program report final list of errors,
    corrections, and non-compliance
  • Additional error correction

Note Dates are subject to change and
recipients will receive updated timelines each
quarter.
15
Guidance and Sample Reports
16
Recipient Checklist
  • Recipients need
  • DUNS http//fedgov.dnb.com/webform
  • Current CCR www.ccr.gov/GAQ.aspx
  • Expires annually and must be renewed
  • FRPIN www.federalreporting.gov
  • Award
  • Award Amount
  • Date
  • CFDA
  • TAS
  • Is the recipient in a state with centralized
    reporting? Who provides information to the
    states ARRA office?

Refer recipient to the Notice of Grant Award
Note All recipients should use the copy
forward function for these data fields
17
Example NGA
18
ARRA Reporting Codes
19
ARRA Reporting Codes
20
Recipient RegistrationChecklist
  • Has the prime recipient delegated reporting to
    sub-recipients? Who will report for the
    sub-recipient?
  • How will prime recipients validate sub-recipient
    reports/information?
  • What systems will you use for data collection
    (purchasing, accounting, etc.)? Who will receive
    and enter vendor data?
  • Have you submitted a report for each award?

21
Job Guidance
  • Recipients should report job data quarterly, not
    cumulatively.
  • Recipients should calculate the total number of
    jobs that were funded by the Recovery Act during
    the quarter.
  • A funded job is defined as one in which the
    wages/salaries are either paid for or will be
    reimbursed with Recovery Act funding.
  • Job created a new position created and filled,
    or an existing unfilled position that is filled,
    and funded by the Recovery Act.
  • Job retained an existing position that is now
    funded by the Recovery Act.
  • A job is either created or retained, but it
    cannot be both.
  • The job data should include the sum of prime
    recipient, sub recipient, and vendor jobs
    created/retained (recipients should avoid
    double-counting).

22
Instructions for Calculating Jobs
Step 1 Calculate Quarterly Hours in a Full-Time
Schedule. A. Determine the standard hours in a
full-time work week schedule, as illustrated
below. This example uses 40 hours, but this
number may vary depending on how an organization
defines a full-time schedule. B. Multiply the
full-time work week hours by 13 weeks to
determine the quarterly hours. C. Example 40
Hours (full-time work week) X 13 weeks 520
http//www.whitehouse.gov/omb/assets/memoranda_201
0/m10-08.pdf, p. 23
23
Instructions for Calculating Jobs
  • Step 2 Calculate the Full Time Equivalent (FTE)
    for this Quarter.
  • Total the number of hours worked in positions
    funded by the Recovery Act within the current
    quarter (for all employees). It is possible that
    an employee spends a portion of their time
    working on a Recovery Act project. The recipient
    should use the actual hours worked in this case.
  • B. Divide this number by the Quarterly Hours in
    a Full-Time Schedule calculated in Step 1.
  • 520 Hours Worked and Funded by Recovery Act
  • --------------------------------------------
    --------------------- 1.0 FTE
  • 520 Quarterly Hours in a Full-Time Schedule

24
Job Calculation Example
  • Two employees were hired during the second month
    of the current quarter to work full-time (40
    hours per week) on a Recovery Act project.
  • Max of hours worked 640 hours
  • 40 hrs/week x 8 weeks 320 hours
  • of FTEs 2
  • Total hours available in quarter 520

320 hours worked x 2 FTEs 640 hours
worked -------------------------------------------
------------------------ 520 hours in a full-time
schedule
1.2 FTEs
25
Data Quality Review (DQR)
26
Scope of DQR
  • Material omissions
  • Failure to submit a report (recipient reflected
    as non-compliant)
  • Inadequate Award Description
  • Inadequate Project Description
  • Award/Project Description standards of
    completeness include, but are not limited to, the
    following attributes
  • Explanation of all abbreviations or acronyms that
    may be unfamiliar to the general public
  • Use of complete sentences
  • Adherence to instructions and examples of
    narratives field in OMB and agency-specific
    guidance
  • Taken in conjunction, entries in the Award
    Description and Quarterly Activities/Project
    Description for Prime and Sub-recipients fields
    must provide, at a minimum, clear and complete
    information on the awards purpose, scope and
    nature of activities, outcomes, and status of
    activities

27
Scope of DQR
  • Significant reporting errors
  • Award Amount Reported amount differs from Notice
    of Grant Award by more than 1
  • Award Number Reported number does not match
    agency records must include hyphens and correct
    alphanumeric characters
  • DUNS Error Reported DUNS does not match agency
    records
  • Jobs
  • Over-reported jobs Award amount divided by 4 (or
    8 for two year awards) divided by the number of
    jobs reports is less than 3,770
  • Under-reported jobs Recipient was awarded more
    the 500,000 and has expended (for grants) or
    invoiced (for contracts) more the 500,000, but
    has not created any jobs

28
Scope of DQR
  • Other Data Elements Reviewed
  • Award Date Reported award date differs from CDC
    records by more than 7 days
  • Awarding Agency Code 7523
  • Funding Agency Code 7523
  • Project Status
  • Duplicate Report
  • TAS Code
  • CFDA Number
  • Final Report
  • Not required to report

Note See the sample excel report on
FederalReporting.gov and the presentation
appendix for additional data element
information
29
Conclusion
30
Summary
  • Reports due on 10th day after the end of each
    calendar quarter
  • Extended submission period runs until the 14th
    day after the end of the calendar quarter

Note Dates are subject to change and
recipients will receive updated timelines each
quarter
30
31
Resources
  • 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
  • HHS Recipient Reporting Readiness Tool
  • http//taggs.hhs.gov/ReadinessTool/
  • Copy Forward Quick Reference
  • http//www.cdc.gov/fmo/topic/Recovery_Act/index.ht
    ml
  • Recipient Registration Guidance
  • https//www.federalreporting.gov/federalreporting/
    documentation/FR-Gov20User20Guide20Chapter202
    20Registration.pdf

32
Technical Assistance
  • Federalreporting.gov
  • Phone 877-508-7386
  • TTY 877-881-5186
  • Email Support_at_federalReporting.gov
  • Chat LivePerson Support

32
33
Appendix
34
Additional GuidanceReporting Procedures
  • When is a recipient considered non-compliant?
  • A non-reporting recipient is considered
    non-compliant with Section 1512 requirements,
    unless the instance meets one or more of the
    known exclusions from reporting detailed in OMB
    M-10-14, Section 4, copied and revised below.
    These exclusions are
  • Not required to report (e.g., loan or grant less
    than 25,000)
  • Federal program exempted from 1512 reporting
    (e.g., USDAs Single Family Housing loan program)
  • Award de-obligated
  • Award cancelled or terminated
  • Extension for Extraordinary Circumstances
    (e.g., natural disaster)
  • Award is classified
  • Micropurchases made with the purchase card
  • Final report previously submitted to
    FederalReporting.gov
  • Other (if applicable, provide details on why
    reporting is not expected)

34
35
Additional GuidanceReporting Procedures
  • Can recipients submit paper reports to fulfill
    Section 1512 reporting requirement?
  • If at all possible, recipients are required to
    report electronically through FederalReporting.gov
    .
  • Reports submitted outside of FederalReporting.gov
    (i.e. e-mail, fax or mailed) must be received by
    the awarding agency by the same deadline for
    filing electronic reports in the reporting period
    to be considered on time and compliant.
  • Mailed paper reports must be postmarked by this
    same deadline to be considered on time and
    compliant.
  • The awarding agency is responsible for certifying
    that the recipient is unable to report
    electronically.
  • Agencies shall exercise strict judgment in
    reviewing and accepting paper reports to ensure
    that this process is not used as an alternative
    choice for those recipients that could, but do
    not wish to, report electronically.

35
36
Additional GuidanceReporting Procedures
  • Can recipients submit paper reports to fulfill
    Section 1512 reporting requirement? (cont.)
  • All paper reports that meet this requirement,
    have all required fields complete, and are
    acceptable in the judgment of the awarding agency
    shall be submitted to OMB for approval.
  • Agencies shall submit qualified paper reports to
    OMB in a timely fashion to allow for review and
    approval prior to the end of the reporting
    period.
  • Once approved, OMB will submit paper reports to
    the Recovery Accountability and Transparency
    Board for entering into FederalReporting.gov, and
    these recipients will be considered compliant
    reporters.

36
37
Additional GuidanceReporting Procedures
  • When should a recipient of a grant, loan, or
    other Federal assistance mark a record as final?
  • A project is considered final for Recovery Act
    reporting purposes when the following
    requirements are met
  • All ARRA funds associated with the award have
    been expended at the prime recipient level
  • All or nearly all ARRA funds associated with the
    award have been invoiced and received
  • No additional jobs will be funded
  • The project status is complete per agency
    requirements and/or performance measures, and
  • The project status is marked as Fully Complete
    (marked as 4)
  • A recipient will be considered a
    non-reporter/non-compliant in subsequent quarters
    until the record is correctly marked as final.

37
38
Additional GuidanceReporting Procedures
  • When should a recipient of a grant, loan, or
    other Federal assistance mark a record as final?
    (cont.)
  • In instances where expenditures are reimbursed to
    recipients and invoices/receipts lag
    expenditures, a project may be marked as final
    when all funds have been expended, 75 or more of
    the funds awarded have been invoiced and
    received, and the project status is Fully
    Complete.
  • In instances where the award end date is in the
    future, recipients may still mark an award as
    final if the requirements listed in this Section
    are all met.
  • In instances where an award is cancelled, no
    funds were received or invoiced, and the funds
    are rescinded, the agency should attempt to work
    with the recipient to change the award amount to
    0.00 and mark the report as final.

38
39
Additional GuidanceReporting Procedures
  • Can I make adjustments to prior period recipient
    reports?
  • Yes, the recipient or the Federal agency may
    initiate the change to a prior reporting process
    if they deem it to be appropriate.
  • Recipients can utilize the Automated Data Change
    tools to request four types of report changes
  • Deactivation
  • Marking a report as final
  • Linking to another report
  • Other Changes may be requested for any of the
    data fields with the exception of the jobs
    numbers data field. Data populated in the Jobs
    Numbers field are permanent and change requests
    are automatically rejected.
  • See the Automated Data Change Guidelines posted
    on the CDC Recovery Act internet site for
    additional instructions. (http//www.cdc.gov/fmo/t
    opic/Recovery_Act/index.html)

39
40
Additional GuidanceReporting Procedures
  • Quarterly Activities/Project Descriptions for
    Prime and Sub-recipients
  • The prime recipient is required to collect
    information from the sub-recipient(s) to enter
    with the prime recipient information for this
    field.
  • For awards that fund multiple projects such as
    formula block grants, the recipients are asked to
    provide information that is stated in terms that
    allow an understanding of the accomplishments.
  • Total Number of payments to vendors less than
    25,000/award
  • The data element should only include payments
    made by the prime recipient to the vendor.

40
41
Additional GuidanceReporting Procedures
  • Total Amount of payments to vendors less than
    25,000/award
  • The amounts reported are cumulative for the award
    and should only include payments made by the
    prime recipient. Payments that exceed the 25,000
    threshold should be reported in the vendor
    Section of the report.
  • Total Amount of Sub-awards less than
    25,000/award
  • The amounts reported are cumulative for the
    award. Payments that exceed the 25,000 threshold
    should be reported in the sub-recipient Section
    of the report.

41
42
Additional GuidanceReporting Procedures
  • Sub-Recipient Section
  • Amount of Sub-award
  • Sub-awards exceeding 25,000 in the quarter are
    reported in this Section. The data is a
    cumulative amount for the award and aggregated by
    sub-recipient. Multiple sub-awards to a single
    sub-recipient under the same award should be
    aggregated and reported in this field if the
    cumulative total exceeds 25,000 for the quarter.
  • Vendor Section
  • Payment Amount
  • Payments exceeding 25,000 in the quarter are
    reported in this Section. The data is a
    cumulative amount for the award and aggregated by
    vendor. Multiple payments to a single vendor
    under the same award should be aggregated and
    reported in this field if the cumulative total
    exceeds 25,000 for the quarter.

42
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