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Grantee Recipient Reporting: Beyond Beginner (HAI/317)

Grantee Recipient Reporting: Beyond Beginner (HAI/317). Clay Cooksey CDC Recovery Act Coordination December, 2009. Outline. October, 2009 reporting results and lessons learned Preparing for January, 2010 Key Dates, Timeline and Data Quality Review (based on lessons learned)

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Grantee Recipient Reporting: Beyond Beginner (HAI/317)

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  1. Grantee Recipient Reporting:Beyond 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 Reporting:Lessons Learned • Hard work pays off—99% 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 $3700:1 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. CDC’s 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 11-21:Initial 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 22–29:Official 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.gov…AFTERSAO approval • Program leads provide PO’s with specific instructions for correcting errors • PO’s 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 state’s 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) ID’d in step 1

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

  16. 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

  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/Recovery_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 <$25k • 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 dateof 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 cumulative…and 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/recipient_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.do#rrdm, 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 (Q1+Q2)*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 Payments<$25k • 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 <$25k = 5 • Total amt of Vendor Payments <$25k = $74k Note: ≥2 payments <$25k that sum to >$25k are still included in the aggregate

  30. Example: Subawards<$25k • 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 <$25k = 3 • Total amt of Subawards <$25k = $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 OMB’s formula and CDC’s 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 recipient’s NGA • Performance Progress Report (PPR) form • Public measures http://www.recovery.gov/?q=content%2Fprogram-plan-tags&type=meas_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 officers…that’s 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/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

  38. 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 • 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 Q&A http://www.cdc.gov/fmo/topic/Recovery_Act/index.html

  41. 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.

  42. 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

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

  44. 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

  45. 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

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