CDC Recipient Reporting: Grants by 1fS6z9b

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									Recipient Reporting Training


CDC Recovery Act Coordination Unit
          March 2010
              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

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         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


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         Special Requirements

• 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)



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           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

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Section 1512 Reporting




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             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




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             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.

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             Sub-recipient vs. Vendor
The distinguishing features of a vendor are below:
1. Provides the goods and services within normal business
   operations;
2. Provides similar goods and services to many different
   purchasers;
3. Operates in a competitive environment;
4. Provides goods and services that are ancillary to the
   operation of a federal program; and,
5. 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

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                        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



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                      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




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Recipient Reporting & DQR:
        Key Dates




                             12
             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 )
      1. Recipient Reporting Online Form
      2. Recipient Reporting Excel Tool
      3. 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


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             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

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Guidance and Sample Reports




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           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




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              Recipient Reporting
                   Checklist
 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 #                        Refer to your Notice of Grant
    Award amount                                Award
    Award issue date
    CFDA         Refer to CDC codes for ARRA Grants
    TAS       http://cdc.gov/fmo/topic/Recovery_Act/index.ht
                                      ml


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Example NGA




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                              CDC Codes
                           for ARRA Grants

                                                                                    Prevention
                                                                                     Research
                                                            CPPW-                 Centers - Patient
     Data           317        317                         States &     CPPW -    Centered Health
   Element      Immunization ELC/EIP             HAI      Territories Communities    Research

Awarding Code 7523              7523          7523        7523      7523          7523

Funding Code    7523            7523          7523        7523      7523          7523

CFDA            93.712          93.712        93.717      93.723    93.724        93.730

Program TAS     75-0942         75-0942       75-0144     75-0942   75-0942       75-1701

Activity Code   E11             ELC - E11     ELC - E11 E11         E11           E11

                                EIP - U01     EIP - U01

 http://www.cdc.gov/fmo/topic/Recovery_Act/

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            Recipient Registration
                  Checklist
   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.)?



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           Recipient Reporting
                Checklist
 Who will receive and enter vendor data?
 Are there duplicate reports that need to be
  deactivated?
 Have they submitted a report for each award?




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             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
                                                               22
               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
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              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




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             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).
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                    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 40
   hours, 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
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                          Instructions for
                          Calculating Jobs
Step 2: Calculate the Full Time Equivalent (FTE) for this
Quarter.
A. 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

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                      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
   ------------------------------------------------------------------- = 1.2 FTEs
             520 hours in a full-time schedule


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         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

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Data Quality Review (DQR)




                            30
    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




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                 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
                                                                       32
               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

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Program Performance Measures




                               34
          Program Performance
               Measures
• 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




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          Program Performance
               Measures
• 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
                                                         36
           Program Performance
            Measures – 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

                                                          37
          Program Performance
             Measures – 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



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           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

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Conclusion




             40
                   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



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                            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/




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




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Questions and Discussion




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