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Rural Development ARRA Recipient Reporting

Rural Development ARRA Recipient Reporting. Webinar September 1, 2010. Introduction. Speakers Jacki Ponti-Lazuruk, Recovery Act Implementation Coordinator, Rural Development, USDA Rachel Beattie, Team lead, Recipient Reporting, Rural Development, USDA

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Rural Development ARRA Recipient Reporting

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  1. Rural DevelopmentARRA Recipient Reporting Webinar September 1, 2010

  2. Introduction • Speakers • Jacki Ponti-Lazuruk, Recovery Act Implementation Coordinator, Rural Development, USDA • Rachel Beattie, Team lead, Recipient Reporting, Rural Development, USDA • Additional panelists: Tyson Whitney (OCFO), Fransi Dunagan (OCFO), Nathen Evans (Washington state) • Format for Webinar • 30-45 minutes of presentation • Remaining 45 minutes for questions • Questions need to be submitted via the Questions feature of the Webinar • Teleconference bridge is “listen” only

  3. Objectives • Review of Quarter 2, 2010 reporting cycle (July 2010) • Overview of tentative October reporting cycle schedule • Discuss available tools for Recipient Reporting • Discuss outreach to recipients (new, non-reporters) • Summary • Questions and Answers

  4. Requirements for Recipient Reporting • American Recovery and Reinvestment Act of 2009 (ARRA) • Section 1512 covers Recipient Reporting: “(c) RECIPIENT REPORTS— Not later than 10 days after the end of each calendar quarter, each recipient that received recovery funds from a Federal agency shall submit a report to that agency that contains—…” • Who is required to report under the Recovery Act? • Prime Recipients: Non-Federal entities that receive greater than $25,000 in Recovery Act funding as Federal awards in the form of grants or loans • Sub Recipients: Non-Federal entities awarded Recovery funding through a legal instrument from the Prime Recipient • What happens to the submitted data? • The submitted data is published to Recovery.gov for public review on the 30th of the month of the Reporting Cycle • The remaining 60 days of the Reporting Cycle are dedicated to data quality improvement

  5. Requirements for Recipient Reporting

  6. Review of 2nd Quarter 2010 Recipient Reporting (April – June) • 2,987 Total Rural Development Records: Represents all RD ARRA-funded awards (grants, loans, and contracts) to date through 6/30/10) • There are two major categories: • Reportable: Awards >$25,000 and not designated as Non-reportable • Non-reportable: Include those which are categorized in the “Rationale to Exclude” such as: Not Required to Report, <$25,000; Award De-obligated; Final Report • Program Areas: • Community Facilities (CF) • Water and Waste Disposal Services (WEP) • Rural Business Enterprise Grants (RBEG) • Broadband Initiatives Program • Contracts (managed by ITS or by the Procurement Management Division)

  7. Non-Reporters for Q2 2010 • Although Rural Development had an outstanding 97% rate of Recipient Reporting, RD’s rate of non-compliance was still considered high (3%), when compared to the rest of the Government • Of the 76 non-reporters, 42% stated they were unaware they needed to report (had $0 ARRA Expenditures for the April-June period) and 24% had CCR or FRPIN issues • Total number of Non-reporters: • 1x non-reporters: 70 • 2x non-reporters: 3 • 3x non-reporter:1 • 4x non-reporters: 2 • According to OMB, there were approximately 325 non-reporters throughout the entire government for Q2 • Approximately 23% (76 awards) belonged to RD • Of the five 4-time non-reporters, two of them belonged to RD Many issues related to non-reporting can be cleared up well in advance of the October reporting cycle

  8. Non-Reporters for Q2 2010 (con’t) • As a result, USDA (Rural Development) is under an increasing amount of scrutiny by the White House and OMB for the number of non-reporters, especially those repeat non-reporters (consecutive quarters of non-reporting) • RD set up a structure for management of Non-Compliant recipients • Finalized RD policy for Non-Compliant Recipients • For 1x/2x non-reporters: Letter will be sent out by the State or Area office no later than 15 days after the end of the reporting period, with recourse for non-response • For 3x or more non-reporters: Letter will be sent out by Deputy Administrator at the National Office no later than 15 days after the end of the reporting period, with recourse for non-response or non-compliance to include withholding of funds • Created template letters for 1x/2x and 3x or more non-reporters • Created formalized records of communications with non-compliance recipients Let’s aim for 100% compliance in October!

  9. Lessons Learned from 2nd Quarter 2010 1 • Preparation and communication are key to successful reporting • Get in touch with your recipients to advise them of their reporting responsibilities (even if they had $0 ARRA expenditures) • Provide recipients with adequate resources, if possible, to help with reporting • Validate DUNS, CCR registration, and FRPIN in September • Verify DUNS is active • Validate CCR information is up-to-date (POC info) and registration is active (not expired) and linked to DUNS • Ensure FRPIN has been issued by FederalReporting.gov • Be especially diligent with recipients with reporting • New recipients: Filing can sometimes be scary or daunting • Non-compliant recipients: Don’t let them fall into repeated status 2 3

  10. Recipient Reporting Cycle Timeline (August-September) Sept 15 Sept 30 Sept 1 Sept 5 Sept 10 Sept 20 Sept 25 Oct 5 • 9/1-9/30: Preparation for Reporting cycle • Validate DUNS, CCR registration, FRPIN (via FederalReporting.gov) • As soon as funds have been obligated, a recipient may begin registration process Recipients • 10/1-10/10: • Initial Submission phase • Recipient filing window 9/9 • Webinar for Recipients 9/23 • Webinar for Recipients 9/1 9/22 Rural Development points of contact • Webinar for States/Circuit Riders/Technical Assistance Providers • Webinar for States/Circuit Riders/Technical Assistance Providers

  11. Recipient Reporting Cycle Timeline (October 2010) Oct 15 Oct 31 Oct 1 Oct 5 Oct 10 Oct 20 Oct 25 • 10/1-10/10: • Initial Submission phase • Recipient filing window 10/11-10/12: Recipients • Recipient Review • 10/13-10/29: • Recipient revisions: Limited modification to existing reports; no new reports • 10/1-10/12: • “View only” access to recipient-filed reports on FederalReporting.gov Rural Development point of contact • 10/13-10/29: • Agency review period to provide comments to recipient reports • 10/30: • Publication • No access to site FR.gov closed

  12. Recipient Reporting Schedule and significant milestones • October 1-10: Initial Submission Period. Recipients need to submit reports via FederalReporting.gov • Please file as early as possible to allow for technical issues or concerns • Agencies will have “View only” access of reports and review Daily Extracts from FederalReporting.gov • Agencies will work with recipients, on a rolling basis, to make any corrections to recipient reports • Beginning October 6: Agencies will contact recipients who have not yet filed as of October 5th to remind them of the remaining time within the submission window • October 11-13: Recipient correction period. No new reports, just corrections to existing records filed • No later than October 25: Offices will send out letters of non-compliance to non-compliant recipients; letters to repeated non-reporters (if any) will be sent out from the National Office • October 13-29: Agency Review Period • October 30: Data is published on Recovery.gov • November 1 – December 14: Continuous Quality Assurance (QA) Period • December 2010: Final Continuous QA data published on Recovery.gov Note: Dates highlighted in Blue underline indicate major milestones for Recipients

  13. Available resources for recipients • There are several resources available for recipients ARRA Recipients FederalReporting.gov Helpdesk USDA Rural Development (RD) Offices Training materials USDA RD Computer Locations USDA Technical Assistance Providers (NRWA and RCAP) USDA Office of the Chief Financial Officer USDA Rural Development Recipient Reporting

  14. Available resources for recipients (con’t) • Training materials, such as presentations and webinars are available through several websites • http://www.whitehouse.gov/recovery/webinartrainingmaterials/ • Materials provide overviews of reporting requirements • Available for download in both mp3 and PDF formats • https://www.federalreporting.gov/federalreporting/downloads.do • Downloads section has templates, Recipient Reporting Data Dictionary, Webinars, User Guide, Quick Reference Guide, and Reference Data and additional links • Most are available via PDF format • Reference data section provides links for looking up codes required for report submission

  15. Available resources for RD Staff, Circuit Riders, and Technical Assistance Providers • USDA Rural Development Recovery Web site (in progress) • http://www.rurdev.usda.gov/recovery.html • USDA Rural Development Recipient Reporting SharePoint Site (*Site is available for persons with usda.gov email address) • https://rd.sc.egov.usda.gov/teamrd/recipientreporting/default.aspx • Shared Documents : https://rd.sc.egov.usda.gov/teamrd/recipientreporting/Shared%20Documents/Forms/AllItems.aspx • SharePoint link of Recipient Reporting preparation materials (posted by Nathen Evans, Washington state (*Site is available for persons with usda.gov email address) • https://rd.sc.egov.usda.gov/teamrd/recipientreporting/Shared%20Documents/Forms/AllItems.aspx?RootFolder=%2fteamrd%2frecipientreporting%2fShared%20Documents%2fRecipient%20Reporting%20preparation%20materials&FolderCTID=&View=%7b59008A53%2d8B74%2d41E5%2d8B09%2d9172B71BB018%7d • M-10-08, Updated Guidance on the American Recovery and Reinvestment Act – Data Quality, Non-Reporting Recipients, and Reporting of Job Estimates (December 18, 2009) (24 pages, 188 kb) • http://www.whitehouse.gov/sites/default/files/omb/assets/memoranda_2010/m10-08.pdf

  16. Available Tools during the Reporting Period • The RD Recipient Reporting team provides several tools which are focused on providing timely and relevant Recipient Reporting data to the States and Programs during the Reporting Cycle Note: RD State/Area Offices will need to provide Circuit Riders and Technical Assistants with these tools.

  17. Available Tools during the Reporting Period (Con’t) Note: RD State/Area Offices will need to provide Circuit Riders and Technical Assistants with these tools.

  18. Available Tools: Master List Reconciliation • The Master List Reconciliation is a process that compares the RD Master List to what has been reported in FederalReporting.gov • The Major Comparison Points include: • Award ID • Award Type • Award Amount $ • Awarding Agency code • Funding Agency code • DUNS number • It highlights any “mismatch” or “data discrepancy”, which is any difference between the Daily data Extract (FederalReporting.gov) and the RD Master List

  19. Available Tools: Master List Reconciliation (Con’t) • The most common mismatch throughout Q2 2010 were with Award ID’s, making up 43% of mismatches as of August 10th, 2010 • The mismatches included: • Awarding Agency – 12E2/12E3/12E4 • Funding Agency – 12E2/12E3/12E4 • DUNS# - valid CCR registration required • Award ID – State Issued • Award Type – Grant/Loan/Contract • Award Amount - $Amount obligated Note: Reconciliation data as of August 10th, 2010 showing 166 total mismatches Most of these mismatches can be remedied through communication between the RD State/Area Offices/programs and the Recipients

  20. Available Tools: Master List Reconciliation (Con’t) • Mismatches are highlighted on the Master List side of the reconciliation. This is to illustrate the mismatch even though the correction may have to be made on FederalReporting.gov. Recipient reports as presented in Daily data extract file Specific mismatch 1 2 3 • Awards as listed in the RD Master List • Data discrepancies or mismatches are highlighted in yellow to indicate the differences between the what the Recipient reported (blue columns) and RD Master List (pink columns)

  21. Available Tools: Prose Tool • The Prose Tool is provided by the OCFO as a reasonableness of data check of Recipient reports as presented in the Daily data extract • Items “Flagged” need to be checked for reasonableness Two leading “Flags” from Q2 2010 were Jobs Over Reported and Project Completion Status

  22. Outreach to Recipients A little bit of planning goes a long way with Recipient reporting requirements • Working with your recipients to validate Award ID and the DUNS number on record associated with award • Reviewing and validating Central Contractor Registry (CCR) registration • Validating issuance of FRPIN • Understanding functions of FederalReporting.gov functions which may make reporting easier • “Copy forward” and “Linking” functions 1 2 3 4

  23. Outreach to Recipients (con’t) 1 • Working with your recipients to validate Award ID and the DUNS number on record associated with award • Verify Award ID for recipient • It is critical that what the recipient report matches exactly (including dashes, spaces, etc.) • OMB uses this as a critical data point related to ARRA Recipient Reporting • Validate DUNS number(s) • The DUNS record the recipient plans on reporting in FederalReporting.gov should be compared against that on record with the Rural Development point of contact

  24. Outreach to Recipients (con’t) 2 • Reviewing and validating Central Contractor Registry (CCR) registration • For recipients with existing CCR registrations, ensure CCR information is up-to-date and will be active throughout the reporting cycle • CCR registration must be renewed at least every 12 months and an expired registration will prevent report submission &/or modification by the recipient • Maintaining current Points of Contact in the CCR record will ensure that recipients’ renewal reminders are received • For recipients requiring CCR registration, register with CCR and obtain a DUNS number in order to register • Re-instating an expired registration requires specific recipient actions to protect the security of the record, processing time, and additional time to update FederalReporting.gov • Recipient instructions may be found at Chapter 2 of the User Guide at the downloads page of FederalReporting.gov

  25. Outreach to Recipients (con’t) 3 • Validating issuance of FRPIN • Register at the FederalReporting.gov Web portal • This is the central place for submitting recipient reports related to ARRA funding • Have the recipient test login and/or call the FederalReporting.gov Help desk to verify that the FRPIN is issued to your recipient point of contact

  26. Outreach to Recipients (con’t) 4 • Understanding functions of FederalReporting.gov functions which may make reporting easier • “Copy forward” function • Returning Recipient reporters should utilize this function within FederalReporting.gov report submission process • Facilitates linkage of current and previous reports and allow the public to follow the progress of projects over time • A full discussion of this process is available in Chapter 10 of the User Guide at FederalReporting.gov • “Linking” function • Reports Linkage Page: A new Link/Unlink Reports Page is created to support the creation and the modification of report relationships • While on this page, the recipient can link a current quarter report to a report submitted in the previous quarter. The recipient can also change or remove links • The manually created link will help distinguish ongoing awards from new awards, even if the relationship is not obvious. • Good to do when wanting to “overwrite” data such as incorrect award type from previous reporting cycle

  27. Summary • Initial Submission begins on October1st and goes through October 10th • Reach out to your recipients now to validate and verify: • DUNS, CCR, FRPIN • Pre-fill out reporting templates with award ID and other relevant Recipient Reporting award data for submission on 10/1 • Utilize the analysis tools such as the Master List Reconciliation, Prose tool, and Non-reporters list as aids to help you with getting to 100% compliance and 100% clean data

  28. Rural Development points of contact • Jacki Ponti-Lazurak , Recovery Act Implementation Coordinator, USDA Rural Development • Recipient Reporting Team, USDA Rural Development (contractors: Booz Allen Hamilton) • Rachel Beattie • Rachel.Beattie@wdc.usda.gov • Tel: 202-690-4741 • Will Davis • William.Davis3@wdc.usda.gov • Tel: 202-692-0337 • Irfaan Nooruddin • Irfaan.Nooruddin@wdc.usda.gov • Tel: 202-692-0339

  29. Questions and Answers

  30. Appendix

  31. Under Administration in the Quick Links menu, click “Request FRPIN.” Screenshot – Entering directly into fr.gov • Determining your preferred method to report: Prime Recipients and Sub Recipients submit reports by entering data into forms residing on FederalReporting.gov • Requires FRPIN, which must be requested via FederalReporting.gov Create Report Online Once you are logged in to FederalReporting.gov, you can begin to create your report. Click the “Create Report” command button from the Left Side Bar to begin creating your report. • After you receive an FRPIN, you need to “Create Report”

  32. Screenshot – Entering directly into fr.gov • Determining your preferred method to report: Prime Recipients and Sub Recipients submit reports by entering data into forms residing on FederalReporting.gov • After you have entered all your report data, you will be prompted to “Submit” your report Once you click the “Submit” button, you will be prompted to enter the FRPIN for the DUNS number for which you are reporting 1 Click the “Submit” button to submit your report as Initial Submission status. Click “Cancel” if you wish to cancel the action of submitting the Initial Submission. You will be returned to your report entry screens. 2

  33. Screenshot – Downloading Excel or XML • Determining your preferred method to report: Downloading Excel or XML You can access functionality to download the Excel template from two locations within the FederalReporting.gov system: The Download Templates box located in the Left Side Bar on the Home Page, or the Downloads Page 1 2

  34. Screenshot – Create Report Online (Con’t) Recipient Focus • You will need to provide the following: • Prime Award Number • Prime DUNS • Award Type • Federally awarded contract • Grant • Loan • Recipient Type • Prime Recipient [Prime Only] • Prime Recipient [Prime reporting for self and Sub(s)] • Sub Recipient [Sub Only] Once you have entered all of the required data, click “Continue Report Creation.” 2

  35. Screenshot – Create Report Online (Prime Recipient) Recipient Focus Continue, entering reporting data online, you will use the following types of fields and controls: • Free text fields • Drop-down lists • Code Reference lookups • Calendars 1 2 Field Information Page icon — The field information page icon opens a new window including details regarding the various data elements from the Recipient Reporting Data Model V3.0.

  36. Screenshot – Create Report Online (Vendor tab) Recipient Focus In the Vendor Information area, you will enter all of the appropriate data associated with your vendor: • Vendor DUNS Number • Vendor Name • Vendor Headquarters (HQ) ZIP Code • Vendor HQ ZIP Code Ext • Payment Amount • Product and Service Description 1 When you click “Save New Vendor,” the system takes you to the Vendor Reporting results page. There you can see all of the Vendor reports which you have entered. 2

  37. Screenshot – Create Report Online (Recipient Report Submission) Recipient Focus Once you click the “Submit” button, you will be prompted to enter the FRPIN for the DUNS number for which you are reporting 1 Click the “Submit” button to submit your report as Initial Submission status. Click “Cancel” if you wish to cancel the action of submitting the Initial Submission. You will be returned to your report entry screens. 2

  38. Screenshot – Download Excel and XML Recipient Focus You can access functionality to download the Excel template from two locations within the FederalReporting.gov system: The Download Templates box located in the Left Side Bar on the Home Page, or the Downloads Page 1 2

  39. Screenshot – Validate Excel and XML Recipient Focus Follow these steps to validate your file: Step 1: Create your sample Excel or XML file to validate of no greater than 200 megabytes. Step 2: Select the required fields for Award Type and Recipient Type. Step 3: Browse and select the file to validate. Step 4: Click “Validate File.” Step 5: Confirmation page confirms that your file has uploaded. Step 6: Within 1 to 24 hours, you’ll receive an email with validation results. Only users who are logged in to FederalReporting.gov can access the Validation Utility. Your validation file will not be saved in the FederalReporting.gov database and is not considered a report submission.

  40. Screenshot – Upload Excel and XML Recipient Focus • Uploading the completed XML or Excel file: • Step 1: Select the required fields for Award Type • Step 2: Select the required fields for Recipient Type. • Step 3: Browse and select the file to validate. • File extension should be .xls for Microsoft Excel file • File extension of .xml for the XML file • Step 4: Enter FRPIN. Remember, each DUNS Number is assigned by FederalReporting.gov a unique 9-digit FRPIN. • Step 5: Click “Upload Report.” 1 2 3 4 5

  41. Screenshot – Upload Excel and XML, Cont’d(Email Notification for Excel report) Recipient Focus • If your Excel file has been accepted as a valid submission, you will receive an email indicating successful submission. • If there are validation errors associated with the Excel file, you will receive an email describing the errors. Use the information in the validation errors email to review the Excel file and make all necessary corrections. Errors must be corrected and new file uploaded for submission to be completed. An Excel file with errors is not considered a valid submission. Example email text—Excel file successfully submitted 1 Award_G278K-L_Grant.xls: successfully submitted. Do not reply to this e-mail. Please contact the FederalReporting.gov Service Desk or call us at 877-508-7386; TTY: 877-881-5186 if you have any questions. Example email text—Excel file submission unsuccessful 2 Award_Gs2762940-K7.xls failed on validation as follows: The submitted report contains validation errors. 1. Error Code: VALUE_NOT_FOUND Error Message: Unable to find a CFDA Number* with the value 0000012. Error Code: INVALID_EMAIL Error Message: dfadsf@ must be a valid email address3. Error Code: INVALID_DOLLAR_AMOUNT Error Message: Amount of Award* must be a value greater than zero with no more than two decimal places. Do not reply to this e-mail. Please contact the FederalReporting.gov Service Desk or call us at 877-508-7386; TTY: 877-881-5186 if you have any questions.

  42. Link/Unlink Reports – Prime Recipient User The Prime Recipient User logs in. The Prime Recipient User clicks on “My Work Queue”. A Work Queue message is in the Prime Recipient User’s work queue. The Prime Recipient User clicks on the “Award #” link to open the report.

  43. Link/Unlink Reports – Prime Recipient User The “Prime Recipient Reporting” page opens. The Prime Recipient User clicks on the “View or Add Report Comments” link to read the comment left by the Agency User. The Prime Recipient User closes the “Report Comments” page and returns to the “Prime Recipient Reporting” page. 43

  44. Link/Unlink Reports – Prime Recipient User The Prime Recipient User clicks on the “Link/Unlink Reports” link to access the “Link/Unlink Reports” page. 44

  45. Link/Unlink Reports – Prime Recipient User • The Prime Recipient User can: • Review reports linkage information. • Remove an existing link. • Search for previous quarter reports to link to the current quarter report. • Update the link. 45

  46. Link/Unlink Reports – Prime Recipient User The Prime Recipient User decides to change the link to a different report. The Prime Recipient clicks on the Award Number of a report in the January 2010 Reports section. The “Link Reports” page is opened. 46

  47. Link/Unlink Reports – Prime Recipient User • To complete the update action, the Prime Recipient must: • Verify that the link is correct • Check the “Terms and Conditions” check box. • Enter the FRPIN. • Click on “Update Link”. 47

  48. Link/Unlink Reports – Prime Recipient User The system displays the “Link Report Confirmation” page. 48

  49. Link/Unlink Reports – Prime Recipient User The Prime Recipient User is notified by the Agency User to unlink the report. The Prime Recipient User navigates back to the “Link/Unlink Reports” page and clicks on the “Unlink” button. The “Remove Report Link” page is opened. 49

  50. Link/Unlink Reports – Prime Recipient User • To complete the update action, the Prime Recipient must: • Check the “Terms and Conditions” check box. • Enter the FRPIN. • Click on “Unlink”. 50

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