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Grantee Recipient Reporting: Beginner (CPPW)

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Grantee Recipient Reporting: Beginner (CPPW) Clay Cooksey CDC Recovery Act Coordination December, 2009 * * STEP 1: Calculate Quarterly Hours in a Full-Time Schedule. – PowerPoint PPT presentation

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Title: 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 Reporting Two 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
  1. Provides the goods and services within normal
    business operations
  2. Provides similar goods and services to many
    different purchasers
  3. Operates in a competitive environment
  4. Provides goods and services that are ancillary to
    the operation of a federal program and,
  5. 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 Reporting Registration
  • 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 Reporting Preparation
  • 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?

10
Section 1512 Reporting Options
  1. Recipient Reporting Online Form Recipients can
    enter data directly onto FederalReporting.gov.
    The site will prevent the submission of material
    omissions.
  2. 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.
  3. Recipient Reporting XML Schema The XML Schema
    provides a standard structure to transfer data
    from system to system.

11
Recipient Reporting Technical Assistance
Instructions
12
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

13
CDC Codes for ARRA Grants
Data element 317 Immunization 317 ELC/EIP HAI CPPW-Supplemental
Awarding Agency Code 7523 7523 7523 7523
Funding Code 7523 7523 7523 7523
CFDA 93.712 93.712 93.717 93.723
Program TAS 75-0942 75-0942 75-0144 75-0144
Activity Code E11 ELC - E11 ELC - E11 E11
    EIP - U01 EIP - U01  
http//www.cdc.gov/fmo/topic/Recovery_Act/index.ht
ml
14
States with Centralized Reporting 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 Reporting Instructions (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 Reporting Instructions (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
18
Jobs
  • Estimate the total number of jobs that were
    funded in the quarter by the Recover Act. A
    funded job is defined as one in which the wages
    or salaries are either paid for or will be
    reimbursed with Recovery Act funding.
  • Report job estimate totals by dividing the hours
    worked in the reporting quarter (i.e, the most
    recent quarter) by the hours in a full-time
    schedule in that quarter (as defined by the
    recipient). Recipients will no longer be required
    to sum across multiple quarters of data as part
    of the formula

Total Number of Hours Worked and Funded by
Recovery Act w/in Reporting Qtr ------------------
--------------------------------------------------
------------------------------ Quarterly Hours in
a Full-Time Schedule
FTE
Office of Management and Budget Updated Guidance
on Reporting (Dec.18, 2009) http//www.whitehouse.
gov/omb/assets/memoranda_2010/m10-08.pdf
18
10/24/2013
19
Funded Jobs
  • A funded job is
  • Job created a new position created and filled,
    or an existing unfilled position that is filled,
    that is funded by the Recovery Act
  • Job retained an existing position that is now
    funded by the Recovery Act
  • Includes the sum of Prime recipients, sub
    recipients and vendors for each Recovery Act
    award (beware of double-counting)
  • A job is either created or retained, but it
    CANNOT be both

http//www.whitehouse.gov/omb/assets/memoranda_201
0/m10-08.pdf
10/24/2013
19
20
STEP 1 Calculate Quarterly Hours in a Full-Time
Schedule.
A. Start by determining the standard hours in a
full-time work week schedule as illustrated
below. This example uses 40 hours, but other
standards are possible. B. Multiply this amount
by 13 weeks to determine the quarterly number of
hours for full-time work 40 Hours in full-time
work week X 13 weeks per year 520 Total
Quarterly Hours
http//www.whitehouse.gov/omb/assets/memoranda_201
0/m10-08.pdf, p. 23
21
STEP 2 Calculate the Full Time Equivalent (FTE)
for this Quarter.
A. Determine the number of hours worked in
positions funded by the Recovery Act within the
current quarter. For example, a full-time
employee working 40 hours per week during the
entire quarter will work 520 hours in the
quarterly reporting period. B. Divide this
number by the Quarterly Hours in a Full-Time
Schedule number calculated in STEP 1. This
calculation should be performed for each employee
working under Recovery Act funding within the
reporting quarter (add each together to calculate
an FTE total) 520 Hours Worked and
Funded by Recovery Act --------------------
---------------------------------------------
1.0 FTE 520 Quarterly Hours in a
Full-Time Schedule For this example, the FTE
figure 1.0 should be reported within the
Number of Jobs data field in FederalReporting.go
v.
22
(If Needed) Reflect Partial ARRA Funding
A. Count all hours worked on the project. In
this example, a total of 520 hours were worked on
the project and the total number of quarter hours
in a full time schedule is 520 hours. The
recipient determines the amount of hours, by
employee, funded by the Recovery Act (in this
case, 50) and totals only those hours. B.
Calculate FTE 260 Hours Worked ---------
-------------------------------------- 0.5 FTE
520 Quarterly Hours in a Full-Time Schedule
For this example, the FTE figure 0.5 should
be reported within the Number of Jobs data
field in FederalReporting.gov.
http//www.whitehouse.gov/omb/assets/memoranda_201
0/m10-08.pdf, p. 23
23
Partial ARRA Time (work hours)
OR the recipient does not have the information by
employee, but knows the overall percentage of the
work hours funded by the Recovery Act (in this
case, 50). Calculate FTE 520 Hours
Worked -----------------------------------------
------ 1 FTE 520 Quarterly Hours in a
Full-Time Schedule 1 FTE x 50 0.5
FTE For this example, the FTE figure 0.5
should be reported within the Number of Jobs
data field in FederalReporting.gov.
http//www.whitehouse.gov/omb/assets/memoranda_201
0/m10-08.pdf, p. 24
24
CDC Jobs Example
  • Date of Hire with ARRA dollars 11/01/2009
  • Max of hours worked 640 hours
  • 40 hrs/week x 8 weeks 320 hours
  • of FTEs 2
  • Total hours available in 1st quarter 520

320 hours worked x 2 FTEs 640 hours
worked -------------------------------------------
------------------ 1.2 FTEs 520 hours in
a full-time schedule
10/24/2013
24
25
Limited Data Quality Reviews (DQR)
26
Recipient Reporting DQR Key Dates
  • Jan. 1 Federalreporting.gov opens for recipient
    reporting
  • Jan. 15 Recipient reports due to
    federalreporting.gov
  • Jan. 16 29 Recipient and CDC data quality
    reviews
  • Jan. 30 Recipient reports made public

27
Recipient Reporting Data Quality Review
  • Day 1 10 Recipients submit data to
    federalreporting.gov
  • Day 16 22 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 23 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

28
CDCs Basic DQR Process
  • Track recipient registrations
  • Days 16 22 Preliminary reviews of recipient
    reports begin to ID errors and contact
    recipients
  • POs contact recipients and inform of errors
  • Days 23 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

29
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
30
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
31
Recipient Reporting Checklist
  • 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
32
Recipient Reporting Checklist
  • 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?

33
Recipient Reporting Checklist
  • 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.?)

34
Program Performance Measures
35
Program Performance Measures
  • 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

36
Program Performance Measures
  • 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

37
Performance Measures ReportingSequence
  • 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

38
Performance Measure ReportingOutcomes
  • 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

39
Performance Measure ReportingOutputs
  • 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

40
Performance Progress Report Form (PPR)
B. Performance Measures B. Performance Measures B. Performance Measures B. Performance Measures
B (1) B (2) Measure B (3) Indicator or Status B (4) Explanation
B-01 Please attach a description of these activities
B-02 Please attach a description of these activities
B-03 Please attach a description of these activities
B-04 Please attach a description of these activities
B-05 Please attach a description of these activities
B-06 Please attach a description of these activities
41
CPPW Monitoring and EvaluationOther Components
  • BRFSS and YRBSbaseline and followup in all
    communities
  • System dynamic modeling
  • Cost assessment
  • Case studies

42
Recipient Reporting Two 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

43
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
44
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?

45
Questions and Discussion
46
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
47
CDC Recipient Reporting Contacts
  • RAC Clay Cooksey
  • Telephone 404-498-6782
  • E-mail CCooksey_at_cdc.gov
  • PGO Manal Ali
  • Telephone 770-488-2706
  • E-mail MAli_at_cdc.gov.

48
Supporting Information
49
States with Centralized Reporting 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
50
CDC Codes for ARRA Grants
Data element 317 Immunization 317 ELC/EIP HAI CPPW-States Territories
Awarding Agency Code 7523 7523 7523 7523
Funding Code 7523 7523 7523 7523
CFDA 93.712 93.712 93.717 93.723
Program TAS 75-0942 75-0942 75-0144 75-0144
Activity Code E11 ELC - E11 ELC - E11 E11
    EIP - U01 EIP - U01  
http//www.cdc.gov/fmo/topic/Recovery_Act/index.ht
ml
51
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
52
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)

53
Recipient Reporting and Data Quality Review
54
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

55
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

56
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

57
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

58
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
59
CDC ARRA Performance Measures
  • 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
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