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

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 Recovery Act Overview 3

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) Special Requirements 4

Section 1512 – Public recipient reports due to by Day 10* after the end of each quarter. –Extended submission without penalty by Day 14. Program Performance Measures – Public and non-public performance measures. –Coordinated by Program Project Officers. Recipient Reporting: Two Components 5 * Note: Dates are subject to change and recipients will receive updated timelines each quarter.

Section 1512 Reporting

Reporting Schedule Twelve reporting periods complete since April 2009 OMB has determined recipient reporting will continue quarterly through 2013 –Recipients will continue to report through their final report * *See appendix for additional guidance (Slides 37 & 38) 7

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. 8

9 Vendors The distinguishing features of a vendor are below: 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 (M-09-21), p.7

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 10

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 11

Recipient Reporting & Data Quality Review: Key Dates 12 * Note: Dates are subject to change and recipients will receive updated timelines each quarter.

Recipient Reporting: Key Dates Days 1 – 10*: Submit Reports –Recipients submit reports to federalreporting.gov. There are three reporting options (all available at ) 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 13 * Note: Dates are subject to change and recipients will receive updated timelines each quarter.

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 14 * Note: Dates are subject to change and recipients will receive updated timelines each quarter.

Guidance and Sample Reports

Recipient Checklist  Recipients need:  DUNS*:  Current CCR:  Expires annually and must be renewed  FRPIN:  Award #*  Award Amount*  Date*  CFDA*  TAS*  Is the recipient in a state with centralized reporting? Who provides information to the state’s ARRA office? 16 Refer recipient to the Notice of Grant Award * Note: All recipients should use the copy forward function for these data fields

Example NGA 17

ARRA Reporting Codes 18 Data element 317 Immunization 317 ELC/EIP 317 EHR-IIS Interoperability HITECH EHR-IIS InteroperabilityHAI Awarding Code7523 Funding Code7523 CFDA Program TAS Activity CodeE11

ARRA Reporting Codes 19 Data element CPPW-States & Territories CPPW - Communities CPPW BRFSS CPPW Mentoring Prevention Research Centers - Patient Centered Health Research Awarding Code7523 Funding Code7523 CFDA Program TAS Activity CodeE11

Recipient Registration Checklist  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? 20

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).

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 = p

Instructions for Calculating Jobs Step 2: Calculate the Full Time Equivalent (FTE) for this Quarter. A.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 Hours Worked and Funded by Recovery Act = 1.0 FTE 520 Quarterly Hours in a Full-Time Schedule 23

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 = hours worked x 2 FTEs = 640 hours worked hours in a full-time schedule = 1.2 FTEs

Data Quality Review (DQR)

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 award’s purpose, scope and nature of activities, outcomes, and status of activities 26

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 27

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 28 Scope of DQR * Note: See the sample excel report on FederalReporting.gov and the presentation appendix for additional data element information

Conclusion

30 Summary Reports due on 10 th day after the end of each calendar quarter* “Extended” submission period runs until the 14 th day after the end of the calendar quarter* * Note: Dates are subject to change and recipients will receive updated timelines each quarter

Recovery.gov –FAQs and Resources Whitehouse.gov –FAQs – Federalreporting.gov –FAQs – –Downloads: Webinars and Recipient Reporting Resources HHS Recipient Reporting Readiness Tool – Copy Forward Quick Reference – Recipient Registration Guidance – Gov%20User%20Guide%20Chapter%202%20Registration.pdfhttps:// Gov%20User%20Guide%20Chapter%202%20Registration.pdf Resources 31

32 Technical Assistance Federalreporting.gov –Phone: –TTY: – –Chat: LivePerson SupportLivePerson Support

Appendix

34 Additional Guidance Reporting 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., USDA’s 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)

35 Additional Guidance Reporting 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. , 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.

36 Additional Guidance Reporting 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.

37 Additional Guidance Reporting 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.

38 Additional Guidance Reporting 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.

39 Additional Guidance Reporting 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. (

40 Additional Guidance Reporting 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.

41 Additional Guidance Reporting 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.

42 Additional Guidance Reporting 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.