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California Department of Public Health American Recovery and Reinvestment Act of 2009

California Department of Public Health American Recovery and Reinvestment Act of 2009. Information and Procedures Section 1512 Reporting Requirements. HISTORY (Pg. 3-6). REPORTING TIMELINE (Pg 7-9). QUARTERLY REPORT/SUPPLEMENTAL REPORT (Pg 10-12). ARRA FUNDED JOBS (Pg 13-31).

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California Department of Public Health American Recovery and Reinvestment Act of 2009

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  1. California Department of Public HealthAmerican Recovery and Reinvestment Act of 2009 Information and Procedures Section 1512 Reporting Requirements

  2. HISTORY (Pg. 3-6) REPORTING TIMELINE (Pg 7-9) QUARTERLY REPORT/SUPPLEMENTAL REPORT (Pg 10-12) ARRA FUNDED JOBS (Pg 13-31) PRORATING FTE FOR MULTIPLE FUNDING SOURCES (Pg 32-36) Break (10 minutes) VENDOR INFORMATION (Pg 37-46) HIGHLY COMPENSATED INDIVIDUALS (Pg 47-50) PROJECT PROGRESS (Pg 51-56) CONTACT INFORMATION/QUESTIONS (Pg 57-58) Section 1512 Reporting RequirementsInformation and ProceduresOUTLINE

  3. Section 1512 Reporting RequirementsInformation and Procedures HISTORY(Pg. 3-6)Presented by: Josh Ziese

  4. Section 1512 Reporting RequirementsInformation and ProceduresHISTORY American Recovery and Reinvestment Act (ARRA) Enacted • Signed into law by President Obama in February 2009 • Provided 160-million dollars in stimulus money to CDPH-DDWEM for various drinking water infrastructure projects Section 1512 Reporting Requirement Enacted • Outlined general reporting goals for recipients of ARRA funding • Directed Federal Office of Management and Budget (OMB) to oversee reporting requirements.

  5. Section 1512 Reporting RequirementsInformation and ProceduresHISTORY OMB Issues Guidance on Section 1512 Reporting Requirements • Guidance detailed implementation of general reporting protocols • Guidance mandated quarterly reporting for ALL recipients of ARRA funding • Guidance defined reporting data elements • Guidance directed CDPH-DDWEM to develop protocols for collecting data elements from sub-recipients (water systems)

  6. Section 1512 Reporting RequirementsInformation and ProceduresHISTORY California Recovery Task Force implements California ARRA Accountability Tool (CAAT) • Task Force directed all California State agencies and departments to submit reporting data to the statewide CAAT database • All ARRA reporting data in California is centralized in CAAT database for quarterly upload to OMB’s federal database OMB Database Publishes Reporting • Reporting data is reviewed by CDPH-DDWEM, Health and Human Services State Agency and OMB prior to its publication online • OMB publishes reviewed/certified data on www.recovery.gov every quarter

  7. Section 1512 Reporting RequirementsInformation and ProceduresHISTORY Reporting Titles USEPA gives Recovery Grant to CDPH-DDWEM Federal Agency CDPH-DDWEM finances drinking water projects w/ Recovery Grant Prime Recipient Water System receives Recovery funds for drinking water project from CDPH Sub- Recipient Prime Contractors and Subcontractors build Recovery project Vendor

  8. Section 1512 Reporting RequirementsInformation and ProceduresHISTORY Reporting Roles and Responsibilities California Recovery Task Force Reports Quarterly data to OMB CDPH-DDWEM Reports Quarterly Data to California Recovery Task Force Water Systems Report Quarterly Data to CDPH-DDWEM

  9. Section 1512 Reporting RequirementsInformation and Procedures REPORTING TIMELINE(Pg. 7-9) Presented by: Tarra Avants, E.I.T.

  10. Section 1512 Reporting RequirementsInformation and ProceduresREPORTING TIMELINE • ARRA Reporting began in the quarter when the funding agreement was executed • ARRA Reporting ends in the quarter when the last financial claim is submitted • Reporting forms must be submitted every quarter, regardless of the amount of work completed PLEASE BE SURE TO SUBMIT FORM BY THE DEADLINE!

  11. Section 1512 Reporting RequirementsInformation and ProceduresREPORTING TIMELINE UPDATED! ARRA Reporting Quarters– Calendar Quarters (NOTE: Previous guidance directed water systems to report based upon the federal fiscal year.) QUARTER 1: January 1 – March 31 QUARTER 2: April 1 – June 30 QUARTER 3: July 1 – September 30 QUARTER 4: October 1 – December 31

  12. Section 1512 Reporting RequirementsInformation and Procedures ARRA QUARTERLY & SUPPLEMENTAL REPORT(Pg. 10-12) Presented by: Tarra Avants, E.I.T.

  13. Section 1512 Reporting RequirementsInformation and ProceduresARRA QUARTERLY & SUPPLEMENTAL REPORT TWO REPORTING PERIODS IN ONE QUARTER ARRA Quarterly Report • Submittal deadline will be published as it becomes available • Quarterly report deadline will usually occur approximately 20 calendar days prior to end of the quarter • Must include reporting data for the reporting period beginning at the start of the quarter and ending on or prior to the submittal deadline. • The information reported is at the discretion of the water system based upon availability of payroll documentation. • Email quarterly reports to dwpfunds@cdph.ca.gov

  14. Section 1512 Reporting RequirementsInformation and ProceduresARRA QUARTERLY & SUPPLEMENTAL REPORT TWO REPORTING PERIODS IN ONE QUARTER ARRA Supplemental Report • Submittal deadline is approximately 5-calendar days after the end of the quarter • Must include reporting data for the reporting period following the data previously submitted and leading up to the end of the quarter • Must also include any additional data that was not submitted in previous quarters. The quarter and year the data occurred must be indicated. • Email supplemental reports to dwpfunds@cdph.ca.gov

  15. Section 1512 Reporting RequirementsInformation and Procedures ARRA FUNDED JOBS(Pg. 13-31)Presented by: Josh Ziese

  16. Section 1512 Reporting RequirementsInformation and ProceduresARRA FUNDED JOBS WHAT IS AN ARRA FUNDED JOB? Water systems are no longer required to make subjective judgment as to whether a job is created or retained ANY JOB THAT IS FULLY/PARTIALLY FUNDED BY ARRA DOLLARS MUST BE REPORTED Note: ARRA funded means that wages or salaries are either paid for or will be reimbursed by ARRA funds Water systems must acquire jobs data from prime contractors, subcontractors, consultants, design firms, force account staff, etc.

  17. Section 1512 Reporting RequirementsInformation and ProceduresARRA FUNDED JOBS JOBS THAT SHOULD NOT BE REPORTED: • Jobs that do not receive ARRA funding • Hours worked by vendors of CDPH such as • Self-Help Enterprises • California Rural Water Associates • Rural Community Assistance Corporation Note: Do not report any jobs funded by these vendors because they are already being reported by CDPH-DDWEM

  18. Section 1512 Reporting RequirementsInformation and ProceduresARRA FUNDED JOBS JOBS THAT SHOULD NOT BE REPORTED: • A job that is indirectly paid for by the ARRA funds (e.g. material suppliers, administrative employees who bind reports for an ARRA project) • A job that was induced due to the ARRA project (e.g. restaurant nearby jobsite)

  19. Section 1512 Reporting RequirementsInformation and ProceduresARRA FUNDED JOBS WHAT IS THE DIFFERENCE BETWEEN THE QUARTER AND THE REPORTING PERIOD? • Each quarter is divided into two reporting periods • Typically: • The first reporting period consists of approximately the first 10 weeks • The second reporting period consists of approximately the last 3 weeks

  20. Section 1512 Reporting RequirementsInformation and ProceduresARRA FUNDED JOBS HOW SHOULD THE JOBS BE QUANTIFIED? • Every employee that is directly and fully/partially funded by ARRA should be quantified as a Full Time Equivalent (FTE) number • FTE is calculated by using the following equation: • FTE is NOT the TOTAL number of employees funded by the ARRA (i.e. not a headcount of the employees) • FTE must consider the hours worked in a reporting period over the total full-time hours for one quarter

  21. Section 1512 Reporting RequirementsInformation and ProceduresARRA FUNDED JOBS HOW TO CALCULATE AN ARRA FUNDED EMPLOYEE’S FTE • Determine the ARRA funded hours the employee worked (e.g. from payroll records) for the reporting period. Do not include any unpaid time (e.g. furlough hours, dock time), but do include sick and vacation time taken that is compensated with ARRA dollars. • Determine the total hours in the employer’s full time schedule for the quarter. Include paid holidays and furlough hours. • Divide the total ARRA funded hours worked in the reporting period by the total full time hours possible in the quarter.

  22. Section 1512 Reporting RequirementsInformation and ProceduresARRA FUNDED JOBS JOB DESCRIPTIONS • May be one of the following: • a job title; OR • broader labor category; OR • a widely accepted use of terms that describe the general nature of the work being performed

  23. Section 1512 Reporting RequirementsInformation and ProceduresARRA FUNDED JOBS EXAMPLE, QUARTERLY AND SUPPLEMENTAL REPORTING Leaky Faucet Water Company hired Payme Consulting to prepare the plans and specifications; LBC and Associates to perform the construction management; and Centralized Construction Company to construct the new pipeline and well for their ARRA funded project. Each company gathered their payroll records and determined the hours worked by each employee that were funded by the ARRA and also determined their respective full time schedules.

  24. Section 1512 Reporting RequirementsInformation and ProceduresARRA FUNDED JOBS EXAMPLE: QUARTERLY REPORTING CONT. The following is the calculation to determine the FTE for Leaky Faucet Water Company based on total number of hours worked for the ARRA project FTE Tabulation Sheet and QUARTERLY reporting form. The reporting period spans from the beginning of the quarter to 3 weeks before the end of the quarter. Refer to Handouts #1-3 for more details.

  25. Section 1512 Reporting RequirementsInformation and ProceduresARRA FUNDED JOBS ARRA PROJECT FTE TABULATION SHEET

  26. Section 1512 Reporting RequirementsInformation and ProceduresARRA FUNDED JOBS ARRA QUARTERLY REPORTING FORM Round to the nearest hundredth and combine the data on the form as shown. Project Manager 1 0.12 Q1/2010 Project Engineer 1 0.19 Q1/2010 AutoCAD Technician 1 0.10 Q1/2010 Construction Inspector 1 0.19 Q1/2010 Labor Compliance Consultant 1 0.08 Q1/2010 Driller 3 2.31 Q1/2010 Pipe layer 4 3.08 Q1/2010 Electrician 1 0.58 Q1/2010 Well Drill Operator 1 0.77 Q1/2010 7.67

  27. Section 1512 Reporting RequirementsInformation and ProceduresARRA FUNDED JOBS EXAMPLE: SUPPLEMENTARY REPORT, CONT. The following is the calculation to determine the FTE for Leaky Faucet Water Company based on total number of hours worked for the ARRA Project FTE Tabulation Sheet and SUPPLEMENTAL Reporting form. It spans the 3 weeks following the quarterly submittal to the end of the quarter. Refer to Handouts #4-6 for more details.

  28. Section 1512 Reporting RequirementsInformation and ProceduresARRA FUNDED JOBS ARRA PROJECT FTE TABULATION SHEET

  29. Section 1512 Reporting RequirementsInformation and ProceduresARRA FUNDED JOBS SUPPLEMENTARY REPORTING FORM Round to the nearest hundredth and combine the data on the form as shown. Project Engineer 1 0.02 Q1/2010 Q1/2010 AutoCAD Technician 1 0.01 Q1/2010 Construction Inspector 1 0.15 Q1/2010 Labor Compliance Consultant 1 0.04 Q1/2010 Driller 3 0.69 Q1/2010 Pipe layer 4 0.92 Q1/2010 Electrician 1 0.23 Q1/2010 Well Drill Operator 1 0.23 Q1/2010 2.30

  30. Section 1512 Reporting RequirementsInformation and ProceduresARRA FUNDED JOBS SPECIAL CASES • Furlough hours: Should be counted in the employer’s full time schedule, but not as hours worked by the employee • Example: A Construction Company furloughs its employees every Friday for the quarter. Each employee only works Monday through Thursday but the employer's full time schedule continues to be Monday through Friday. Employer’s full time schedule = 520 hours (Includes furlough hours) Total hours worked by employee: 424 (Subtracts the 96 furlough hours in quarter) FTE for each furloughed employee would be 424/520 = 0.82

  31. Section 1512 Reporting RequirementsInformation and ProceduresARRA FUNDED JOBS SPECIAL CASES • Weather delays: Hours lost due to weather should be counted in the employer’s full time schedule, but not as hours worked by the employee Example: Employees of ABC Construction were unable work 15 days out of the quarter due to rain. The employer’s standard full time hours of 520 would stay the same, but the hours the employees worked during the quarter would drop to 400 (which is 520 – 120 rainy day hours). So the FTE for each employee would be = 0.77

  32. Section 1512 Reporting RequirementsInformation and ProceduresARRA FUNDED JOBS SPECIAL CASES • Employees on overtime: Count hours worked and divide by the typical full time schedule Example:A full timepipe layer works an extra 2 hours a day for 10 days. His employer’s standard full time schedule for the entire quarter is 520 hours. The total hours the pipe layer worked during the quarter would be: 520 regular full time hours + 20 extra hours = 540. Therefore, the FTE for the pipe layer would be = 1.04 FTE

  33. Section 1512 Reporting RequirementsInformation and ProceduresARRA FUNDED JOBS REMINDERS: • Check math for errors • Common errors include: • Fractional: does not equal but equals 3 x does not equal but equals • Round off to the nearest hundredth of a decimal • Example: 2.174=2.17, 2.175 = 2.18, 2.176 = 2.18

  34. Section 1512 Reporting RequirementsInformation and Procedures PRORATING FTE FOR MULTIPLE FUNDING SOURCES(Pg. 32-36)Presented by: Josh Ziese

  35. Section 1512 Reporting RequirementsInformation and ProceduresPRORATING FTE • Prorating FTE’s only applies to systems that have multiple funding sources and elect to prorate their jobs/FTE calculation. • Note: This should only be done if the number of ARRA funded hours worked per employee cannot be determined by other means. • CDPH will be tracking the recipients who are prorating jobs, so please contact Tarra Avants at Tarra.Avants@cdph.ca.gov for approval and applicable forms.

  36. Section 1512 Reporting RequirementsInformation and Procedures VENDOR INFORMATION(Pg. 37-46)Presented by: Tarra Avants, E.I.T.

  37. Section 1512 Reporting RequirementsInformation and ProceduresVENDOR INFORMATION WHAT IS A VENDOR? • Defined as a dealer, distributor, merchant, or other seller providing goods or services that are required for the conduct of a federally funded project. • Provides the goods and services within normal business operations; • Provides similar goods or services to many different purchasers; • Operates in a competitive environment; • Provides goods or services that are ancillary to the operation of the federally funded project; and • Is not subject to compliance requirements of the USEPA program.

  38. Section 1512 Reporting RequirementsInformation and ProceduresVENDOR INFORMATION WHAT VENDORS SHOULD BE REPORTED? • Any vendor that receives a direct payment of $25,000 or more of ARRA funds from the water system in the quarterly reporting period. • Any vendor who receives an aggregate of direct payment from the water system spanning multiple quarters totaling $25,000 or more.

  39. Section 1512 Reporting RequirementsInformation and ProceduresVENDOR INFORMATION WHAT INFORMATION SHOULD BE REPORTED? • The full name of the vendor • Either the registered DUNS number of the vendor or their headquarters full 9-digit zip code • Note: DUNS numbers can be acquired at http://fedgov.dnb.com/webform • The quarter and year this payment occurred

  40. Section 1512 Reporting RequirementsInformation and ProceduresVENDOR INFORMATION EXAMPLE: Leaky Faucet Water Company contracted with Dewey, Cheatum, and Howe (DCH) Consulting to prepare the engineering design for their arsenic treatment plant. They paid $5,000 in January 2009, $10,000 in February 2009, and $5,000 in March 2009. Since the payments only added up to $20,000, they would not need to report that vendor in that particular reporting period. But, in September 2009, Leaky Faucet Water Company paid DCH Consulting $10,000 to prepare bid documents for the ARRA funded project. The aggregate of all the paymentsadd up to a total of $30,000. That quarter, Leaky Faucet water company would report DCH Consulting as a vendor.

  41. Section 1512 Reporting RequirementsInformation and ProceduresVENDOR INFORMATION EXAMPLE: Q4/2009 Dewey, Cheatum and Howe Consulting 954451456 Leaky Faucet would report this vendor in Quarter 4, 2009 because they issued a payment that quarter that made the total paid to DCH Consulting an increment of $25,000 or more.

  42. Section 1512 Reporting RequirementsInformation and ProceduresVENDOR INFORMATION EXAMPLE: Leaky Faucet Water Company paid Dewey, Cheatum, and Howe (DCH) Consulting another $10,000 in January 2010 to manage the labor compliance. Since the payments only add up to $40,000, they would not report DCH in that reporting period. They then paid DCH Consulting another $17,000in April 2010 for labor compliance. Since the payments add up the $57,000 (a $25,000 increment), Leaky Faucet Water Company would need to report DCH Consulting as a vendor in that quarterly reporting period.

  43. Section 1512 Reporting RequirementsInformation and ProceduresVENDOR INFORMATION EXAMPLE: Q2/2010 Dewey, Cheatum and Howe Consulting 954451456 Leaky Faucet would report this vendor in Quarter 2, 2010 because they issued a payment that quarter that made the total combined paid to DCH Consulting a payment greater than $25,000 or more.

  44. Section 1512 Reporting RequirementsInformation and ProceduresVENDOR INFORMATION Reminders: • Payments made to the vendor should be reported every time they receive a payment totaling $25,000 or more of ARRA dollars. • Vendors should be reported in the quarter that they are paid a total of $25,000 or more by the water system. Do not wait until CDPH has paid the claim.

  45. Section 1512 Reporting RequirementsInformation and Procedures HIGHLY COMPENSATED INDIVIDUALS(Pg. 47-50)Presented by: Tarra Avants, E.I.T.

  46. Section 1512 Reporting RequirementsInformation and ProceduresHIGHLY COMPENSATED INDIVIDUALS WHAT IS A HIGHLY COMPENSATED INDIVUAL? • Must meet ALL of the following qualifications to be considered highly compensated: • Recipient received 80% or more of his or her annual gross revenues in Federalawards, AND • Recipient received $25,000,000 or more in annual gross revenues from Federal awards, AND • The public does not have access to information about the compensation of the senior executives of the entity.

  47. Section 1512 Reporting RequirementsInformation and ProceduresHIGHLY COMPENSATEDINDIVIDUALS WHAT IS INCLUDED IN TOTAL COMPENSATION? • Cash and non-cash value earned by an executive during the water system’s past fiscal year. • Includes: • Salary and bonuses • Awards of stock, stock options, or stock appreciation rights • Earnings for services under non-equity incentive plans (does not include group life, health, hospitalization or medical reimbursement plans) • Change in pension value • Above-market earnings on deferred compensation which are not tax-qualified • Other Compensation (e.g. severance, termination payments, value of life insurance paid on behalf of the employee, perquisites or property if the value for the executive exceeds $10,000)

  48. Section 1512 Reporting RequirementsInformation and ProceduresHIGHLY COMPENSATEDINDIVIDUALS EXAMPLE How to report these individuals on the reporting form Q4/2009 BIG E. WIGG $30,000,000

  49. Section 1512 Reporting RequirementsInformation and Procedures PROJECT PROGRESS(Pg. 51-56)Presented by: Tarra Avants, E.I.T.

  50. Section 1512 Reporting RequirementsInformation and ProceduresPROJECT PROGRESS WHAT IS PROJECT PROGRESS? • Is the percent of work completed for the entire funded project during the reporting period • Is up to the discretion of each individual water system to quantify project progress. TIPS FOR CALCULATING PERCENT COMPLETE • Can be calculated by dividing the project schedule into quarters and using the scope of work expected to be completed each quarter. • Calculating project progress begins with the issuance of a Notice to Proceed and ends when the project is certified complete • Phased and split projects that are funded under the same funding agreement should combine the phases to calculate percentage

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