Recipient Reporting Training

1. Recipient Reporting Training CDC Recovery Act Coordination Unit March 2010

2. Training Objectives • Understand the basic recipient reporting process • Requirements • Registration and Preparation • Reporting options and CDC sample reports • Understand the Data Quality Reviews (DQR) • Requirements • Basic Process • Preparation • Distinguish between Performance Measurement Reporting and Section 1512 Reporting • Answer recipient questions

3. Recovery Act Overview • 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 • Foster unprecedented levels of accountability and transparency in government spending

4. Unprecedented level of accountability and transparency Funding should reach “end users” quickly and be expended for quick results Most funds must be obligated by Sept 30, 2010 Emphasis on measurement and evaluation Reporting will be extensive including post-award audits & reviews (GAO, OIG) Special Requirements

5. Recipient Reporting:Two Components • Section 1512 – Public recipient reports due to www.federalreporting.gov by Day 10 after the end of each quarter. • Submit one report for each award received • Program Performance Measures – Public and non-public performance data reported directly to CDC by recipients. • Collected during monthly update calls with project officers • Collated and reported out by CDC quarterly

6. Section 1512 Reporting

7. Reporting Schedule • FY 2009, Quarter 4 – October 2009 (complete) • FY 2010, Quarter 1 – January 2010 (complete) • FY 2010, Quarter 2 – April 2010 • FY 2010, Quarter 3 – July 2010 • FY 2010, Quarter 4 – October 2010

8. 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.

9. Sub-recipient vs. Vendor The distinguishing features of a vendor are below: • 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 (M-09-21), p.7 http://www.recovery.gov/?q=content/recipient-reporting

10. 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

11. 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

12. Recipient Reporting & DQR: Key Dates

13. Recipient Reporting &Data Quality Review • April 1 – 10: Submit Reports • Recipients submit reports to federalreporting.gov. There are three reporting options (all available at www.federalreporting.gov ) • Recipient Reporting Online Form • Recipient Reporting Excel Tool • Recipient Reporting XML Schema • April 11 – 12: Initial Report Review • Prime recipients ID errors/omissions and notify sub recipients where applicable • Recipients correct data • Federal agencies initiate data reviews

14. Recipient Reporting &Data Quality Review • April 13 – 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 • April 30: Final reports posted on Recovery.gov • After April 30: Continuous Review • RAC/program report final list of errors, corrections and non-compliance • Additional error correction

15. Guidance and Sample Reports

16. Recipient Checklist • Have you registered with federalreporting.gov? • Recipients Need: • DUNS: http://fedgov.dnb.com/webform • CCR: www.ccr.gov/GAQ.aspx • FRPIN: www.federalreporting.gov

17. Recipient ReportingChecklist • Are you in a state with centralized reporting? If so, who will provide the information to the state’s ARRA office? • Do you know your: • Award # • Award amount • Award issue date • CFDA • TAS Refer to your Notice of Grant Award Refer to CDC codes for ARRA Grants http://cdc.gov/fmo/topic/Recovery_Act/index.html

18. Example NGA

19. CDC Codesfor ARRA Grants http://www.cdc.gov/fmo/topic/Recovery_Act/

20. Recipient RegistrationChecklist • Will you delegate reporting to sub-recipients? If so, who will report for the sub recipient? • What subcontract/consortium agreements need to be revised? • How will you validate sub-recipient reports/info? • What systems will you use for data collection (purchasing, accounting, etc.)?

21. Recipient ReportingChecklist • Who will receive and enter vendor data? • Are there duplicate reports that need to be deactivated? • Have they submitted a report for each award?

22. Reporting Guidance • Specific Guidance for CPPW Grantees • Awarding Agency Code: 7523 • Project Description: CPPW state award and community award recipients should use project description co-developed by the recipient and CDC • Project Status: “Not Started” or “Less than 50% Complete” • TAS Code: 75-0942 • CFDA Number: • States and Territories: 93.723 • Communities: 93.724 • Quarterly Activities/Project Description : Recipients should use information from the executive summary in their application

23. Reporting Guidance • Specific Guidance for CPPW Grantees (States & Territories) • Project Name/Program Title: Recipients should use standard information provided by the program. • Component 1: • State – Statewide Policy and Environmental Change – focus area • Example: California – Statewide Policy and Environmental Change – Physical Activity, Nutrition, and Tobacco • Component 2: • Proposed: State – Competitive Special Policy and Environmental Change – focus area • Example: North Carolina – Competitive Special Policy and Environmental Change – Nutrition • Component 3: • Proposed: State – Tobacco Cessation Through Quitlines and Media • Example: Georgia – Tobacco Cessation Through Quitlines and Media

24. Reporting Guidance • Specific Guidance for CPPW Grantees (Communities) • Project Name/Program Title: Recipients should use standard information provided by the program. • Component A: • State – focus area • Example: California – obesity • Component B: • Proposed: State – focus area • Example: North Carolina – tobacco

25. Updated Job Guidance • Moving forward, 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).

26. 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 40hours, but this number may vary depending on how an organization defines a full-time schedule. B. Multiply the full-time work week number by 13 weeks to determine the quarterly hours. C. Example: 40 Hours (full-time work week) X 13 weeks = 520 http://www.whitehouse.gov/omb/assets/memoranda_2010/m10-08.pdf, p. 23

27. Instructions for Calculating Jobs • Step 2: Calculate the Full Time Equivalent (FTE) for this Quarter. • 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 1. • 520 Hours Worked and Funded by Recovery Act • ----------------------------------------------------------------- = 1.0 FTE • 520 Quarterly Hours in a Full-Time Schedule

28. CDC Job Calculation Example • Two employees were hired on 02/02/2010 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 = 520 320 hours worked x 2 FTEs = 640 hours worked ------------------------------------------------------------------- 520 hours in a full-time schedule = 1.2 FTEs

29. CDC Sample Reports Demo • Communities Putting Prevention to Work – Supplemental:Instructions and Sample Report Template (Excel) • Report data field definitions are available to users on www.federalreporting.gov http://www.hhs.gov/recovery/reports/reportingassistance.html

30. Data Quality Review (DQR)

31. Recipient Reporting & DQR: Key Dates • April 1: Federalreporting.gov opens for recipient reporting • April 10: Recipient reports due to federalreporting.gov • April 11 – 12: Initial Report Review • April 13 – 29: Official Agency Review • April 30: Recipient reports made public

32. Scope of CDC Data Quality Reviews • Material omissions: • Failure to submit a report • 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 • 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

33. Scope of CDC Data Quality Reviews • Other Data Elements Reviewed: • Award Date: Reported award date differs from CDC records by more than 7 days • Awarding Agency Code: 7523 • Project Status: “Not Started” or “Less than 50% Complete” • Duplicate Report • TAS Code: 75-0942 • CFDA Number • States and Territories: 93.723 • Communities: 93.724 • “Final Report” • Not required to report

34. Program Performance Measures

35. Program PerformanceMeasures • Four differences between Section 1512 and Program Performance Measures • Reported by recipients to CDC, not directly to public portal • Public info is reported by CDC in aggregate, not recipient-by-recipient • Selected/few measures are public measures • Different timetable for reporting

36. Program PerformanceMeasures • Output and outcome measures for ARRA-CPPW • Main Output Measure: Progress on implementation of activities/milestones for MAPPS strategies • Main Outcome Measure: Status of policy or environmental change related to MAPPS strategies • [State recipients]: Quitline measures (calls, callers, etc.) • Monthly consultations (calls) with CDC PO will include updates on progress and status, BUT, formal ratings on measures quarterly

37. Program PerformanceMeasures – Process • Original approach: Recipient completes formatted instrument— “CHANGE Tool”—to update on output progress and outcome status • Current approach: Reduce recipient burden by integrating updates with monthly PO calls • Check in monthly • Project Officer/program lead assigns progress and status ratings quarterly • Summarize ratings across recipients to calculate an aggregated measure for reporting

38. Program PerformanceMeasures – Use • Public measures for www.recovery.gov • Reporting and quarterly discussions with CDC leadership • Guide and inform efforts for Center and Program leadership • Guide and inform TA and other efforts of Project Officers and other CDC staff 38

39. Other Recipient Roles in Monitoring and Evaluation • For community recipients, many roles besides reporting on output and outcome measures • Collecting YRBS • Participating with state in BRFSS • Cost study • System dynamic modeling • Case study (selected sites) • More detail to come; grantee kick-off in April and Webinars beyond 39

40. Conclusion

41. Summary Reports due no later than the 10th day after the end of each calendar quarter April 10, 2010 July 10, 2010 October 10, 2010 Recipients should report separately on EACH AWARD they receive All ARRA awards issued by March 31, 2010 will be reported for the April reporting period 41

42. Resources • 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 • HHS Recipient Reporting Readiness Tool • http://taggs.hhs.gov/ReadinessTool/

43. CDC Recipient Reporting Contacts • CDC Recovery Act Coordination Unit • Blake Davage (Deloitte Contractor) • Telephone: 404-498-4062 • E-mail: got3@cdc.gov • Jon Altizer (Deloitte Contractor) • Telephone: 404-498-4402 • E-mail: fzi5@cdc.gov • PGO • Manal Ali • Telephone: 770-488-2706 • E-mail: MAli@cdc.gov

44. Help and Assistance Federalreporting.gov Phone: 877-508-7386 TTY: 877-881-5186 Email: Support@federalReporting.gov Chat: LivePerson Support 44

45. Questions and Discussion