Federal Reporting Guidelines Training for Prime Recipients

1. Bureau Of Indian Education Recovery ActPrime Recipient ReportingWebex Training Friday, March 19, 2010

2. Presenter Frank Dumanal, PMP Prime Recipient Reporting Senior Project Manager Deputy Assistant Secretary of Management (DAS-M) Office E-mail: Frankie.dumanal@bia.gov Office Phone: (703) 390-6379 Cell: (202) 631-5797

3. Handouts • BIE ARRA Recipient Reporting Training Presentation • BIE Tip Sheet • Federal Reporting Data Model (Data Dictionary) • FederalReporting Excel Template (Grants) • Frequently Asked Questions (FAQ) for Recipients • CFDA Crosswalk • Treasury Account Symbol (TAS) ARRA

4. Overview and Objectives • Initial Submission • Specific Data Elements Guidance • Recipient Review • Agency Review • Lessons Learned • Timeline and Activities for Continuous QA • Reporting Assistance/Where to Find Information • Prime Recipient and FRPIN Definition • FederalReporting.gov and Recovery.gov Relationship • Basic Recipient Framework • Recipient Reporting Example • Prime Recipient Responsibilities • April 2010 Reporting Life-Cycle Flow • Registration

5. Prime Recipient Definition Non-Federal entity that receives Recovery Act funding as Federal awards in the form of grants, cooperative agreements, or loans directly from the Federal Government.

6. FRPIN Definition FederalReporting PIN (FRPIN) • Nine-digit number created by FederalReporting.gov • Need a FRPIN for each DUNS number you will be reporting • FederalReporting.gov assigns each DUNS number a unique FRPIN • Your organization may have received multiple ARRA awards under multiple DUNS numbers • You will need to identify each DUNS number for which you will be reporting • FRPIN is provided to your organization POC as listed in the Central Contractor Registration (CCR) database • POC will serve as your DUNS administrator or will delegate that responsibility to another person in your organization

7. FederalReporting.gov & Recovery.gov Relationship Recovery.gov Reporting Data Portal Federalreporting.gov Recipient Reporting Publish • Provides: • Public data access • Coverage Maps • Standard Reports • Reported Data • Supports: • Recipient Registration • Recipient Reporting • Report Review and Validation Database Database On-line web browser Method 1 Custom software XML Method 3 Excel Spreadsheet Method 2

8. Basic Prime Recipient Framework Federal Agency Prime Recipient Vendor

9. Prime Recipient Responsibilities • Ultimately responsible for reporting ALL data required by Section 1512 of the Recovery Act and OMB Guidance • Must report three additional elements associated with any vendors receiving funds from the prime recipient for payments greater than $25K

10. April 2010 - Reporting timeline and activities 1 -10 11-21 22-29 Reporting is a quarterly responsibility that begins for the reporting period in which the award is made.

11. Registration FederalReporting.gov Pre-requisites • Valid email address • All recipients must have a DUNS number • Central Contractor Registration (CCR) • Prime recipient must be registered

12. RegistrationDUNS: getting started • Does your organization already have a DUNS number? Multiple DUNS numbers? • Check at http://fedgov.dnb.com/webform • What is the DUNS number associated with this award? • Check award documentation • If not on the award documentation, use the DUNS number your organization provided on the award application • Do you already have a DUNS number registered in CCR? • If you don’t have a DUNS number, you may obtain on at http://fedgov.dnb.com/webform

13. RegistrationDUNS: obtaining a DUNS To request a new DUNS number, you will need the following information: • Legal name • Headquarters name and address • “Doing business as” name • Physical address • Mailing address (if different) • Telephone number • Contact name and title • Number of employees at your physical location

14. RegistrationCCR Registration • Check to see if you have either an active or inactive CCR registration

15. CCR Search

16. CCR Search (cont’d)

17. CCR Search (cont’d)

18. RegistrationCCR Registration (cont’d) • Use the “Start New Registration” button • If you have an inactive registration, contact the CCR Assistance Center

19. RegistrationFederalReporting.gov user types There are several different types of users in FederalReporting.gov: 3 1 4 2 • Recipient Point of Contact • Validates recipient users reporting on behalf of the organization • Assigns DUNS Administrators • Removes users from DUNS organizations • Administers FRPIN • Federal Agency User • Award and/or fund Recovery Act grants, loans, and/or contracts • Track and monitor awards • Review and comment on recipient reports • Recipient DUNS Administrator • Shares responsibilities with Recipient POC for one particular DUNS number • Can only serve as DUNS Administrator for one DUNS number • Remove users from DUNS organizations • Administer FRPIN • Recipient User • Able to submit recipient reports • Must have FRPIN number approved by the Recipient POC or DUNS Administrator

20. RegistrationFR.GOV Registration • After you have established a DUNS number, CCR registration, and have an administration strategy: • Go to www.FederalReporting.gov • Click the “Register Now” button • Follow the registration steps

21. Initial SubmissionRecipient reporting methods Method One - Online data entry through a web browser • Data entry form • Access through user’s desktop web browser • Time-out function built-in Method Two - Excel spreadsheet • Download and fill out spreadsheet • Upload into FederalReporting.gov • Requires Excel 2003 or newer • Spreadsheet “locked” to prevent modifications • As of 3/17/2010, Version 1.6 Method Three - Custom software system extract in Extensible Markup Language (XML) • OMB guidance contains data dictionary and XML schema • Must match a specific XML schema format • XML schema available on FederalReporting.gov

22. Initial SubmissionAvoid duplicate reports $200K erroneously reported to FederalReporting.gov instead of $100K Scenario One - Decentralized reporting at the prime recipient level PRIME RECIPIENT Director A reports $100K $200K Director B reports $100K • Prime Recipient does not establish a single point of entry • Allows for multiple parties to enter data • Two different officials inadvertently create separate records and reporting on the same activity

23. Initial SubmissionPrime Recipient required data • Total Number of Payments to Vendors less than $25K/ Award • Total Amount of Payments to Vendors less than $25K/ Award • Total Number of Sub Awards less than $25K/Award • Total Amount of Sub Awards less than $25K/Award • Award Description • Project Name or Project/Program Title • Project Status • Total Federal Amount ARRA Funds Received/Invoiced • Number of Jobs* • Description of Jobs Created • Quarterly Activities/Project Description • Activity Code (NAICS or NTEE-NPC) • Recipient Name* • Award Type • Award Number* • Final Report • Recipient DUNS Number • Recipient Account Number • Recipient Congressional District • Funding Agency Code • Awarding Agency Code • Award Date • Amount of Award* • CFDA Number • Program Source (TAS) • Sub Account Number for Program Source (TAS) • Total Number of Sub Awards to Individuals • Total Amount of Sub Awards to Individuals * If incorrect, OMB currently considers a “Significant Error”

24. Initial SubmissionPrime Recipient required data (cont’d) • Infrastructure City • Infrastructure State • Infrastructure ZIP Code+4 • Street Address 1 • Street Address 2 • City • State • ZIP Code+4 • Congressional District • Country • Prime Recipient Indication of Reporting Applicability • Officer Name • Officer Compensation • Total Federal Amount of ARRA Expenditure • Total Federal ARRA Infrastructure Expenditure • Infrastructure Contact Name • Infrastructure Contact Email • Infrastructure Contact Phone • Infrastructure Contact Phone Ext • Infrastructure Contact Street Address 1 • Infrastructure Contact Street Address 2 • Infrastructure Contact Street Address 3

25. Initial SubmissionPrime Recipient required data (cont’d) • How to find information for each reporting field • BIE Tip Sheet • Federal Reporting Data Model (Data Dictionary) • FederalReporting Excel Template (Grant) • “Mouse over” the field • Use pull down menu in each cell • Web Browser “Binocular” icon

26. Initial SubmissionPrime Recipient required data: vendor information • DUNS or Name and Zip Code of Headquarters • Expenditure amount • Expenditure description Federal Agency Prime Recipient Vendor

27. Initial SubmissionLess than $25K Reporting • Section 1512(c)(4) and OMB Guidance allows for prime recipients to aggregate reporting on: • Payments to vendors less than $25,000

28. Specific Data Elements GuidanceNumber of Jobs • “Jobs Created/Jobs Retained” is reported in the “Number of Jobs” field • Number of Jobs is expressed in terms of “full-time equivalents” (FTE) • Number of Jobs is a simple calculation: Total Number of Hours Worked & Funded by Recovery Act within Reporting Quarter Quarterly Hours in a Full-Time Schedule (520 hours) FTE = • Financial assistance prime recipients must include the hours worked on projects and activities managed by their funding recipients (i.e., sub-recipients) • Prime recipients should not attempt to report the employment impact upon materials suppliers and central service providers (i.e., indirect jobs) or on the local community • Best practice: maintain documentation of how you calculated Number of Jobs and include a description of the calculation in the “Description of Jobs Created” field.

29. Specific Data Elements GuidanceNumber of Jobs EXAMPLE • Jobs may be reported even though no Recovery Act dollars have been expended. Report hours in the quarter in which they were worked.

30. Specific Data Elements GuidanceDescription of Jobs Created • Brief description of the types of jobs created or jobs retained • Description may rely on job titles, broader labor categories • Recipient’s existing practice for describing jobs as long as the terms used are widely understood and describe the general nature of the work • Best practice: include a description of how Number of Jobs was calculated

31. Specific Data Elements GuidanceAward Number • One award number – One Report • BIE Award Numbering Convention • Award number should be entered exactly as it is shown on the federally awarded contract, grant or loan document • Award numbers are case, space, and special character sensitive GTA23456789.9Y900 (17 characters) 11 digit grant number Decimal Separation 5 digit Title 1-A code

32. Specific Data Elements GuidanceAward Type • Three award classifications for the purposes of reporting in FederalReporting.gov: • Federally Awarded Contract • Grant • Loan

33. Specific Data Elements GuidanceAwarding & Funding Agency • Awarding Agency: 4-digit code of Federal agency that awards or administers the funds on behalf of the funding agency • 1450 - Indian Affairs (Assistant Secretary) • Funding Agency: 4-digit code of Federal agency that is responsible for funding/distributing the ARRA funds to recipients • 9146 - Office of Elementary and Secondary Education • Funding and awarding agency may or may not be the same

34. Specific Data Elements GuidanceCFDA • Only CFDA numbers specific to Recovery Act funding are valid in FederalReporting.gov • ARRA Logo designates ARRA-approved CFDA • https://www.cfda.gov/ • For Title 1A • Use CFDA 84.389, Grants to Local Educational Agencies, Recovery Act • CFDA 15.062, Replacement and Repair of Indian Schools, Department of the Interior • Created errors last reporting quarter; was not ARRA-approved • Approved March 12, 2010 • Reference Documents • BIE Tip Sheet • Indian Affairs CFDA Crosswalk

35. Initial SubmissionCreate report: report type Select “Grant” Select “Prime Only”

36. Initial SubmissionCreate report Draft or Submit Three Tabs - Prime Recipient, Sub Recipients and Vendors

37. Initial SubmissionCreate report: enter recipient data

38. Initial SubmissionFR.GOV Data quality checks • FR.GOV runs a series of data quality checks after a report is submitted • An email with the appropriate error messages is sent to the recipient user • Two different types of data quality checks: • Hard Errors: • Will prevent successful submission of a report • Report must be modified to be successfully submitted • Example: Total Federal Amount ARRA Funds Received/Invoiced must be less than or equal to Amount of Award • Warning Messages: • Will NOT prevent successful submission of a report • Are meant to merely WARN recipients that an error might exist • Example: If Number of Jobs is greater than 0, it cannot equal or exceed Total Federal Amount ARRA Funds Received/Invoiced

39. Recipient ReviewMy Reports

40. Agency Review • Reports are “locked” and may not be freely modified by recipients • Agencies review reports, focusing on fields OMB identified as significant errors: • Recipient Name • Number of jobs retained or created • Federal award number • Recipient name • Recipients are provided with formal comments through FR.GOV • If a recipient receives a comment, the report is “unlocked” and able to be modified for correction • Agencies identify any non-compliant or missing reporters

41. Agency ReviewSignificant error/material omission • Agencies are required to identify both ‘significant errors’ and ‘material omissions’ • Significant Errors: • Data fields of major concern per OMB are: award amount, number of jobs created / jobs retained, award number and recipient name • If a recipient does not make the requested correction or submit a reasonable explanation of why the data is not incorrect, then the award report is considered to have significant errors. • Material Omissions: • Failure of a Federal ARRA award recipient to report on a received award • Data in a report that is not responsive to a specific data element (e.g., lack of sufficient narrative description) • Significant Errors and Material Omissions are ultimately reported to the Recovery Act Transparency Board and OMB • Recipients that do not report are published on Recovery.gov

42. Agency ReviewConsequences of uncorrected data • Recipients will be given an opportunity to correct the deficiencies before bureaus and offices take enforcement actions • Bureau or office may take proactive action to protect the Federal government’s interests when it is determined a recipient is noncompliant with Section 1512 reporting requirements: • Placing special conditions on awards or precluding the grantee from obtaining future awards for a specified period • Taking action designed to prevent future noncompliance, such as closer monitoring • Withholding, suspending or terminating payment of funds for noncompliance with the reporting requirement • 1st missed report: award official sends a cure notice or other strong letter to remind recipient reporting is mandatory • 2nd missed report: award official will initiate termination action or other strong sanction, including suspension or debarment

43. Recipient & Agency ReviewMaking corrections • Reports may be updated once they have been initially submitted • Reports may be updated at any time during the Initial Submission period • During the Agency Review period, reports may only be updated if the report is “unlocked” with an agency comment • Any Recipient User that has access to the FRPIN for a given DUNS number may update an associated report • Reports may be updated multiple times within the reporting cycle • Report updates may be made via the 3 reporting methods available (i.e., Excel template, online, XML) • Federal agencies do not make updates to reports • Each time a report is submitted, the previous version of that report is replaced

44. Recipient & Agency ReviewChanges to ‘business key” • For any current quarter reports with incorrect business key, use the change business key function to avoid duplicate records. Business key data elements are: award number, order number and DUNS number. • This function will create a new business key and deactivate the incorrect report from the current quarter. • Open the applicable report • In the Report Information section of the report, click on the Change Key button • In the dialogue box, click on yes to leave the report • The Change Business Key dialogue box appears. Change Award, Order or DUNS data • Confirm Change Key • Enter FPRIN to confirm deactivation of old report • A new report will display for submission

45. Timeline & Activities for Continuous QA

46. Lessons Learned • DUNS different than recorded with BIE for the school • DUNS/CCR expired during registration period • Waiting on FRPIN Number • CCR – Information “Opt Out” Selection • Grant Award Number entered incorrectly • Award reported as a contract instead of a grant • Incorrect codes used: Awarding Agency, Funding Agency, CFDA, Program Source, etc. • Amount of award reported does not match amount of Title I award to school • MI&R and Title I awards combined on one report, under one CFDA number • Project name less than adequate; better name needed • Project description inadequate; Use description #26 from BIE Tip Sheet • BIE/Interior unable to view submitted report due to school filing under another agency’s code (one case confirmed)

47. Need Help? • Contacting FederalReporting.gov • FederalReporting.gov allows Recipients to submit and Federal Agencies to review required Recovery Act reporting data. If you need help with registering as a user, submitting a report, reviewing a report, or other website functions, contact their Service Desk. • Service Desk Information • Phone: 877-508-7386 • TTY: 877-881-5186 • Email: Support@FederalReporting.gov • Chat:LivePerson Support • Service Desk Hours of Operation • Hours of operation varies. • Begin Date End Date Hours (EST) Days / Week • February 1 - March 31, 2010 8 AM - 6 PM ET Monday - Friday • April 1 - April 30, 2010 7 AM - 9 PM ET Monday - Friday • May 1, 2010 - June 30, 2010 8 AM - 6 PM ET Monday - Friday • July 1, 2010 - July 31, 2010 7 AM - 9 PM ET Monday - Friday

48. Where to find information • FederalReporting.gov • www.federalreporting.gov • Frequently Asked Questions (FAQs) • Service Desk • Downloads Tab (Reference Data and Additional Links) • Includes reporting templates, Recipient Reporting Data Model, Webinars, User Guides, Look-ups for congressional districts, agency codes, CFDA numbers, Program Source numbers, and ZIP code information • Recovery.gov website • http://www.recovery.gov/ • Frequently Asked Questions (FAQs) • DOI Recovery website • http://recovery.doi.gov/ • Data Universal Numbering System (DUNS) • http://fedgov.dnb.com/webform • North American Industry Classification System (NAICS) • http://www.naics.com/search.htm • Central Contractor Registration (CCR) • https://www.bpn.gov/CCRSearch/Search.aspx

49. BIE Contacts Dr. Jeffrey Hamley E-mail: Jeffrey.Hamley@bie.edu Ph: 505.563.5260 Gaye Leia King E-mail: GayeLeia.King@bie.edu Ph: 505.563.5263 Katherine Campbell E-mail: Katherine.Campbell@bie.edu Ph: 505.563.5043 Valerie Todacheene E-mail: Valerie.Todacheene@bie.edu Ph: 505.563.5269

50. Questions