Recipient Reporting Requirements Section 1512 August 19 th at 3:30pm E.S.T.

1. Recipient Reporting Requirements Section 1512 August 19th at 3:30pm E.S.T.

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6. Featured Speakers Presenters Judi Fisher, Division Chief, Office of Grants and Contract Management, Division of Policy, Review and Resolution Nancy Williams, Team Leader, Office of Grants and Contract Management, Division of Policy, Review and Resolution

7. Introduction • Purpose: • To discuss the reporting requirements in Section 1512 of the Recovery Act. • TEGL No.1-09 dated Aug.14, 2009 • Webinar topics to include: • Prime Recipient and Sub-recipient Responsibilities • Required Data Elements • Reporting Timeline • Data Quality Review • Job Creation Requirements • OMB’s central electronic reporting system:

8. What is required? • Section 1512 recipient reports required by the Recovery Act of 2009 • OMB managed web-based reporting system • Detailed information about funds received, projects and activities funded with Recovery Act $$ • Cumulative data from inception of grant award • Separate from ETA 9130 financial report and other required program reports. • Implementing guidance- June 22, 2009 (OMB M-09-21) • Same reporting requirements apply to Recovery Act grants from all Federal agencies.

9. What ETAPrograms are Covered? • Employment Service/Wagner-Peyser Funded Activities 17.207 • Senior Community Service Employment Program 17.235 • WIA Adult Program 17.258 • WIA Youth Activities 17.259 • WIA Dislocated Workers 17.260 • National Emergency Grants - Health Coverage Assistance 17.276 • Native American Employment and Training 17.265 • YouthBuild 17.274 • Competitive Grants for Worker Training and Placement in High Growth and Emerging Industry Sectors 17.275

10. Who Must Submit Reports? • All Prime Recipients (a.k.a. direct grant recipients) • Receiving Recovery Act funds. • Ultimately responsible for all required data • May delegate to sub-recipients reporting of sub-recipient data • Delegated Sub-recipients

11. What Information Does The Report Provide? • Total amount ofRecovery Act funds received; and of that, the amount spent on projects and activities; • A list of projects and activities funded by name to include: • Description • Completion status • Estimates on jobs created or retained • Details on sub-awards • Payments to vendors $25,000 or more

12. Prime Recipient Required Data Elements Per TEGL 1-09 • Award type, date, description, and amount • Amount of Federal Recovery Act funds expended to projects/activities • Activity code and description • Project description and status • Job creation narrative and number • Infrastructure expenditures and rationale, if applicable • Recipient primary place of performance • Recipient area of benefit • Recipient officer names and compensation (Top 5) • Total number and amount of small sub-awards; less than $25,000 • Federal Funding Agency Name • Award identification • Recipient D-U-N-S • Parent D-U-N-S • Recipient CCR information • CFDA number, if applicable • Recipient account number • Project/grant period

13. Prime Recipient Required Data Elements • Recipient Reporting Data Model Quarter Ending Sept 30, 2009 • Funding Federal Agency Code, Name • Awarding Agency Code, Name • Program Source (TAS) • Award Number • Order Number • Recipient D-U-N-S • Parent D-U-N-S • Recipient Type • CFDA Number • Government Contracting Office Code, Name • Recipient Legal Name/Recipient DBA Name • Recipient Address, City, State, Zip Code • Recipient Congressional District • Recipient Account Number • Final Report • Award type, date, description, and amount • Project Name/Program Title

14. Data Elements Con’t • Total Infrastructure Expenditure and Purpose • Infrastructure Contact Name, Address, City, State, Zip Code, Email, Phone • Primary Place of Performance, Address, City, State County, Zip Code, Congressional District • Prime Recipient indication of reporting applicability • Prime Recipient Top 5 compensated Name • Total Number and Amount of Sub-awards to individuals • Total Number and Amount of Payments to vendors <$25,000/award • Total Number and Amount of Sub-awards <$25,000/award • Quarterly Activities/ Project Description • Project Status • Activity Code • Number of Jobs Created/Retained • Description of Jobs Created • Award Amount • Total Federal ARRA Funds Received/Invoiced • Total ARRA Expenditure

15. Aggregate Reporting • Sub-awards less than $25,000 • Sub-awards to individuals • Payments to vendors less than $25,000

16. Sub-Recipient Required Data Elements Per TEGL 1-09 • Sub-recipient D-U-N-S • Sub-recipient CCR information • Sub-recipient type • Amount received by sub-recipient • Amount awarded to sub-recipient • Sub-award date • Sub-award period • Sub-recipient place of performance • Sub-recipient area of benefit • Sub-recipient officer names and compensation (Top 5) *Prime recipient reports unless delegated to sub-recipient

17. Sub-Recipient Required Data Elements • Recipient Reporting Data Model Quarter Ending Sept 30, 2009 • Sub-recipient Name, Address, City, State, Zip Code, County • Sub-recipient Congressional District • Sub-recipient type • Amount of Sub-award • Total Funds Disbursed • Sub-award date • Sub-recipient place of performance • Sub-recipient officer names and compensation (Top 5)

18. Vendor Required Data Elements • Prime Recipient Data: • Payments greater than $25,000 • D-U-N-S or Name and zip code of Headquarters • Expenditure amount • Expenditure description • Sub-Recipient Data: • D-U-N-S or Name and zip code of Headquarters • Prime recipient reports unless delegated to sub-recipient

19. When Must Reports Be Submitted? • Quarterly within 10 days after the end of each reporting quarter. • Initial reports are due October 10. • Cumulative from inception of grant award (including funding and activity for quarter ending June 30, 2009) • Must maintain data for quarter ending June 30, 2009

20. How Will Recipients Report? • REGISTER • Online at www.FederalReporting.gov • Must be registered with CCR and have a DUNs number • Before end of Quarter • Recommend 35 days prior to the end of the quarter • Registration opened August 17, 2009 • REPORT • www.FederalReporting.gov is the centralized location for all ARRA Section 1512 recipient reporting

21. Caution! • No waivers to reporting requirements will be granted • Non-compliance will be treated as a violation of the award agreement • Sanctions could apply • Information reported will be posted for public view at www.Recovery.gov

22. REPORT Days 1-10, Reports Submitted Online at www.FederalReporting.gov REVIEW(Comment Period) Days 11-21, Prime Recipient Review/Revision Ensure complete and accurate information Coordinate any corrections with sub-recipients Days 22-29, Federal Agency review and comment Notifies recipient of errors through www.FederalReporting.gov Notification unlocks report for corrections Corrections must be made by the 29th day after quarter ends RELEASE Days 11-29, reported information will be posted to www.Recovery.gov Final Reports available Day 30 at www.Recovery.gov Reporting and Review Timeline

23. No less than 35 days prior to the end of the quarter 90 days after end of Quarter 30 days after end of Quarter 1 – 10 days after end of Quarter 11 – 21 days after end of Quarter 22 – 29 days after end of Quarter Agency Review of Data Submitted Prime Recipients & Subs Enter Draft Reporting Data Prime Recipients Review Data Submitted By Sub(s) Recipient Reports Published on Recovery.gov 4 6 2 8 Agency, Prime and Sub Recipient Registration Initial Submission Prime Recipients & Subs Make Corrections Prime Recipients & Subs Make Corrections Next quarterly reporting cycle begins- updates reflected cumulatively 1 3 7 5 10 days after end of Quarter 9 Agency “View Only” Agency Comment Period Recipient Report Adjustments Possible Draft Initial Submission Final Submission Published Report Status: In-bound Recipient Reporting (FederalReporting.gov) Timeline and Activities

24. Managing the Reporting Process • Prime recipients are required to: • Collect and maintain all relevant information • Be responsive to section 1512 of the Recovery Act • Design and implement a reporting process • Ensure data accuracy and consistency • Prime recipients that delegate to sub-recipients must ensure that they: • Clearly communicate coordinated reporting • Prevent reporting on same activity by prime and sub-recipients • Maintain updated inventory of sub-recipient delegations • Cross-check data records to ensure no double counting

25. Who is Responsible for Data Quality? • Prime Recipients • Owns recipient and sub-recipient data • Sub-recipients • Owns sub-recipient data • Federal Agency • Provides advice/programmatic assistance • Performs limited data quality review • Oversight Authorities (Recovery Board, OMB) • Establish data quality expectations • Establish data and technical standards • Coordinate any centralized reviews

26. Scope of Data Quality Reviews: • Accuracy, Completeness and Timely Reporting • Avoidance of two key data issues • Material Omissions • required data is not reported • reported information is not responsive to data requests • public is not fully informed on Recovery Act projects or activities • Significant Reporting Errors • required data is not reported accurately • public misled or confused by the recipient report

27. Suggested Internal Controls Approaches • Establish internal controls to ensure accuracy, completeness and timely reporting • Establish control totals • Establish an estimated distribution chart to help identify outliers • Establish data review protocol • Establish procedures for cross-validation of data • Determine method for detecting/correcting material omissions

28. Data Quality Process • Federal Agencies are required to: • evaluate recipient and sub-recipient data • identify and resolve material omission or significant error issues • identify and resolve issues when: • Recipients demonstrate systemic or chronic reporting problems • Sub-recipients demonstrate systemic or chronic reporting problems • Recipients demonstrate systemic or chronic deficiencies in reviewing and identifying sub-recipient data quality issues

29. Data Quality Process • Final Report will be classified by Federal Agency as: • Not Reviewed by Agency • Reviewed by Agency with no material omissions or significant reporting errors • Reviewed by Agency with material omissions or significant reporting errors identified

30. Jobs Creation • All jobs directly created or retained from ARRA in projects or activities • Collect specific data from sub-recipients and vendors to determine jobs created and retained • Report as two separate fields • a numeric field of combined total of jobs directly added or retained • Narrative • Use of Statistical Model • OMB allows only with approval • ETA has not approved - requires full data collection and reporting • Jobs are reported cumulatively

31. Jobs Creation or Retained • What is counted? • New position created and filled • Existing unfilled position filled • Existing position retained • Cannot be counted as both created and retained • What is NOT counted? • SCSEP

32. Estimates of Job Impact • To report jobs, prime recipients are required to: • Translate full/part time employees into “full-time equivalents”, or FTEs.  • Calculate FTEs by adding the total hours worked in the quarter, and dividing by the total hours in a full-time schedule. • Additional guidance on reporting jobs created and retained is provided at: • OMB Memo 09-21 • ETA TEGL 09-01

33. References and Resources • References • www.whitehouse.gov/omb/memoranda/ • OMB Memo 09-21 • Supplemental Recipient Reporting Data Model • www.doleta.gov/directives/ • TEGL 1-09 • Resources • www.whitehouse.gov/recovery/WebinarTrainingMaterials/ • Series of OMB Webinars on ARRA 1512 Reporting

34. ETA Technical Assistance • Ongoing from ETA • Contact your FPO • Questions can be submitted to ETA mailbox at: • 1512.reports@dol.gov • Responses provided individually • FAQ’s posted on ETA Recovery Act website • www.doleta.gov/recovery • Additional webinars • Beginning in September 2009 • Sept. 14th (save the date)

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