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Grantee Recipient Reporting: Beyond Beginner (HAI/317)

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Title: Grantee Recipient Reporting: Beyond Beginner (HAI/317)


1
Grantee Recipient ReportingBeyond Beginner
(HAI/317)
  • Clay Cooksey
  • CDC Recovery Act Coordination
  • December, 2009

2
Outline
  • October, 2009 reporting results and lessons
    learned
  • Preparing for January, 2010
  • Key Dates, Timeline and Data Quality Review
    (based on lessons learned)
  • Technical Assistance and Instructions
  • Recipient Reporting Checklist
  • Performance Measures

3
October ReportingLessons Learned
  • Hard work pays off99 reports submitted with
    very few significant errors!!
  • A few issues
  • Correct identifying info (awd , TAS, etc)
  • ID reporting and comm channels for initial report
    and error correction, esp. for states with
    centralized reporting
  • Look for duplicate reports and deactivate
  • Jobs reported must have corresponding
    expenditures of at least 37001 job

Subject to change per HHS
4
Preparing for January, 2010
  • Key dates and timeline
  • Data Quality Review
  • Technical Assistance
  • Instructions for specific data elements

5
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

6
Recipient Reporting Data Quality Review
  • Day 1 10 Recipients submit reports 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

7
CDCs Basic DQR Process
  • Track recipient registrations
  • Days 11 21 Initial reviews of recipient
    reports begin to ID errors and contact
    recipients
  • 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

8
Days 11-21Initial Reporting Reviews
  • RAC provide preliminary reporting file to
    programs
  • Program leads identify significant errors
  • Program leads provide POs with specific
    instructions for correcting errors
  • POs contact recipients and follow up on status of
    error correction
  • Recipients correct error

9
Days 2229Official CDC review
  • RAC provides final reporting file to programs
  • Program leads identify significant errors
  • Provide list of significant errors to RAC and CDC
    Senior Accountable Official (SAO)
  • SAO approves list
  • Unlock reports with errors Program leads comment
    (flag) on report in federalreporting.govAFTER
    SAO approval
  • Program leads provide POs with specific
    instructions for correcting errors
  • POs contact recipients as secondary error
    notification to recipient
  • CDC Categorizes reports

10
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
11
Highly Unreasonable Jobs
  • Amount of reported expenditures divided by the
    number of jobs reported is less than 3,770 per
    job
  • Recipient must show corresponding if jobs are
    created/retained
  • Cannot create/retain jobs with 0 Total ARRA
    Fed Expenditures

Subject to change per HHS
12
Recipient ReportingTechnical Assistance
Instructions
13
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., draw
    down records) before reporting period
  • Link recipients with basic reporting info and be
    able to answer basic reporting questions

14
Grantee communicationchannel(s)
Do you have a process in your state for updates
and corrections? If not, consider the following
  • ID necessary person(s) in your states central
    reporting office for ARRA
  • Create basic doc with updated info quarterly
    activities, invoiced, expend, jobs, vendor
    payments, subawards
  • Consider using ARRA excel template
  • Send doc to person(s) IDd in step 1

15
CDC Codesfor 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
16
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
17
ReportingInstructions (General)
  • Award Amount
  • Refer recipient to their 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
18
Reporting Instructions (Specific)
  • Quarterly Activities and Project Status
  • Total Fed Amt ARRA Invoiced (draw down)
  • Total Fed ARRA Expenditures (obligations)
  • Jobs
  • Vendor Payments and Subawards lt25k
  • Subrecipient Reporting

19
Quarterly Activities andProject Status
  • Quarterly Activities - Update with activities
    conducted from Oct-Dec, 2009
  • Project Status Less than 50
  • - Must report corresponding expenditures

20
Total Fed Amount ARRA Invoiced
  • Invoiced - What you have drawn down from the
    Payment Management System from the date of your
    award through 12/31
  • Guiding principle Each quarter should report
    more drawn down than the last quarter
  • CDC will attempt to provide draw down figures to
    grantees

21
Total Fed ARRA Expenditures (obligations)
  • Determine your type of accounting system
  • Cash
  • Accrual
  • Review your expenditures as of 12/31
  • Discuss real-time expenditures with CDC (may be
    part of monthly call)
  • Guiding principle Each quarter should report
    more expenditures than previous quarter

Discuss with your state accounting office
22
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 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
23
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
24
Jobs Example 1 (Q1)
  • Date of hire with ARRA dollars 09/01/2009
  • 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
25
Jobs Example 2 (Q1Q2)Assumes FTEs worked all
of Q2
  • Cumulative for two quarters
  • Date of Hire with ARRA dollars 09/01/2009
  • 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
26
Jobs Example 3
27
Jobs and Expenditures
  • Total ARRA Fed Expenditures (obligations)
  • Must show corresponding if jobs are
    created/retained
  • Cannot create/retain jobs with 0 Total ARRA
    Fed Expenditures
  • Remember to prevent double-counting

28
Vendor Payments andSubawards
  • Grantee quarterly reports include
  • Aggregate vendor payments and subawards 25k
  • Subawards 25k where grantee is reporting for
    subrecipient
  • Detailed vendor payments 25k (vendor tab)

29
Example Vendor Paymentslt25k
  • Vendor A - 24k
  • Paid on 11/15 - 13,500
  • Paid on 12/15 10,500
  • Vendor B - 20k
  • Paid on 11/11 - 20k
  • Vendor C - 30k
  • Paid on 10/15 - 17,275
  • Paid on 12/22 - 12,725
  • Total of Vendor Payments lt25k 5
  • Total amt of Vendor Payments lt25k 74k

Note 2 payments lt25k that sum to gt25k are
still included in the aggregate
30
Example Subawardslt25k
  • Subaward A - 24k
  • Awarded on - 11/15
  • Subaward B - 20k
  • Awarded on- 11/11
  • Subaward C - 10,500k
  • Awarded on 10/15
  • Total of Subawards lt25k 3
  • Total amt of Subawards lt25k 54.5k

31
Subrecipient reporting
  • Are you reporting for your subrecipients?
  • Yes Do you have their data in time for Jan.
    report?
  • No Are your subrecipients on track for a timely
    submission?
  • Double-counting are you taking steps to prevent
    double counting?
  • Do jobs created follow OMB formula and CDC
    samples?
  • 1 Job at least 3700 in expenditures

Subject to change per HHS
32
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
33
Recipient ReportingChecklist
  • Do you have a way to easily make reporting
    corrections, especially if you are in a state
    with centralized reporting?
  • Have you contacted your PO in preparation 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?

34
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.?)

35
Program PerformanceMeasures
  • Due to CDC (not federalreporting.gov) after the
    end of the quarter per the recipients NGA
  • Performance Progress Report (PPR) form
  • Public measures http//www.recovery.gov/?qconten
    t2Fprogram-plan-tagstypemeas_text
  • Report quarterly progress on measures in FOAs
  • UPDATE Consult with your project officer as part
    of monthly calls

36
Performance MeasureReporting
  • Recipients submit performance data via monthly
    calls with project officersthats it
  • CDC Staff aggregates and provides data to RAC
    within 60 days after the end of the quarter for
    senior leader reviews and public reporting
  • Aggregated data from monthly calls
  • VMS and NHSN data per relevant measures

37
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

38
Resources
  • Recovery.gov - www.recovery.gov/FAQ/Pages/FAQ.aspx
  • FAQs and Resources
  • Whitehouse.gov
  • FAQs http//www.whitehouse.gov/omb/recovery_faq
    s/
  • 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
  • Congressional District Locator
  • HHS Recipient Reporting Readiness Tool
  • http//taggs.hhs.gov/ReadinessTool/

39
Questions and Discussion
40
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
41
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.

42
Supporting Information
43
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
44
CDC Codesfor 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
45
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

46
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
47
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
48
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)

49
Recipient Reporting and Data Quality Review
50
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

51
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

52
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

53
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

54
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

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