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Grantee Recipient Reporting: Beginner (CPPW)

Grantee Recipient Reporting: Beginner (CPPW). Clay Cooksey CDC Recovery Act Coordination December, 2009. Today’s Objectives. Distinguish between Performance Measurement Reporting and Section 1512 Reporting Understand the basic recipient reporting process Requirements

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Grantee Recipient Reporting: Beginner (CPPW)

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  1. Grantee Recipient Reporting: Beginner (CPPW) Clay Cooksey CDC Recovery Act Coordination December, 2009

  2. Today’s 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. 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 Section 1512 Recipient Reporting Requirements

  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?

  10. 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.

  11. Recipient ReportingTechnical 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 Codesfor ARRA Grants http://www.cdc.gov/fmo/topic/Recovery_Act/index.html

  14. AR CA CO CT* FL IN IA ME MD MA MI MS* MO NM OH OK OR PA States with CentralizedReporting In Oct. ‘09 • 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/Recovery_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 PMSthrough 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/Recovery_Act/index.html

  18. Jobs Estimate the total number of jobs that were funded in the quarter by the Recover Act. Afunded 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 11/15/2014 18

  19. Funded Jobs http://www.whitehouse.gov/omb/assets/memoranda_2010/m10-08.pdf • Afunded 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 11/15/2014 19

  20. STEP 1: Calculate QuarterlyHours 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_2010/m10-08.pdf, p. 23

  21. STEP 2: Calculate the FullTime 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): 520Hours Worked and Funded by Recovery Act ----------------------------------------------------------------- = 1.0 FTE 520Quarterly 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.gov.

  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: 260Hours Worked ----------------------------------------------- =0.5 FTE 520Quarterly 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_2010/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: 520Hours Worked ----------------------------------------------- = 1 FTE 520Quarterly 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_2010/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 11/15/2014 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. CDC’s 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 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

  32. 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 OMB’s formula and CDC’s samples? • Do you have corresponding expenditures with your reported jobs created/retained?

  33. 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.?)

  34. Program Performance Measures

  35. 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

  36. 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

  37. Performance MeasuresReporting—Sequence • 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 MeasureReporting—Outcomes • % 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 MeasureReporting—Outputs • % 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” approach—green/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)

  41. CPPW Monitoring and Evaluation—Other Components • BRFSS and YRBS—baseline 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/federalreporting/faq.do • Downloads: Webinars and Recipient Reporting Resources - https://www.federalreporting.gov/federalreporting/downloads.do • CDC.gov - http://www.cdc.gov/fmo/topic/Recovery_Act/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 Q&A http://www.cdc.gov/fmo/topic/Recovery_Act/index.html

  47. CDC Recipient Reporting Contacts • RAC – Clay Cooksey • Telephone: 404-498-6782 • E-mail: CCooksey@cdc.gov • PGO – Manal Ali • Telephone: 770-488-2706 • E-mail: MAli@cdc.gov.

  48. AR CA CO CT* FL IN IA ME MD MA MI MS* MO NM OH OK OR PA States with CentralizedReporting In Oct. ‘09 • SD • TN • UT • VT • WA* • WV • WI • WY • American Samoa *May change for future reporting periods

  49. CDC Codesfor ARRA Grants http://www.cdc.gov/fmo/topic/Recovery_Act/index.html

  50. CDC ARRA PerformanceMeasures • 317 public performance measures • Childhood Immunization Recovery Plan - http://www.recovery.gov/Transparency/agency/reporting/agency_reporting5program.aspx?agency_code=75&progplanid=7535#measures • HAI public performance measures • CDC: Infectious Diseases Recovery Plan - http://www.recovery.gov/Transparency/agency/reporting/agency_reporting5program.aspx?agency_code=75&progplanid=7537

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