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CDC Recipient Reporting Grants

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CDC Recipient Reporting Grants Powered By Docstoc
					           Grantee Recipient Reporting:
                Beginner (CPPW)

                    Clay Cooksey
             CDC Recovery Act Coordination
                   December, 2009
3/3/2010                                     1
                 Today’s Objectives
• Distinguish between Performance Measurement
  Reporting and Section 1512 Reporting
• Understand the basic recipient reporting process
     – Requirements
     – Registration and Preparation
     – Reporting options and CDC sample reports
• Understand the Limited Data Quality Reviews (DQR)
     – Requirements
     – Basic Process and CDC plans
     – Preparation
• Answer questions

3/3/2010                                              2
              Recipient Reporting:
               Two Components
• Section 1512 – Recipient reports due to
  federalreporting.gov by Day 10 after the end of
  each quarter
     – Three options for reporting
• Program performance measures – Periodic
  discussion with recipients. Recipients report
  data; POs collate and submit to RAC for
  quarterly senior leader reviews and public
  reporting
     – Performance Progress Report form
3/3/2010                                            3
               Section 1512 Recipient
              Reporting Requirements
• Recipient Quarterly Reports
     – Grants and Cooperative Agreements
            Recipient reports due to federalreporting.gov by Day 10 after the
             end of each quarter and ultimately posted on Recovery.gov
            Includes standard data elements under Section 1512 for Prime
             Recipients, Sub-Recipients, and Sub-Awardees posted in April 1,
             2009 Federal Register notice

     – Contracts
            Standard data elements for recipients of Recovery Act funded
             contracts directly awarded by the Federal Government is being
             reviewed under a separate OMB information collection process



3/3/2010                                                                         4
             Reporting Roles and
               Responsibilities
• Prime Recipients
• Sub Recipients
• Vendors




 Refer to Supporting Information for more details
3/3/2010                                            5
           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

3/3/2010                                                       6
             Sub-recipient vs. Vendor
The characteristics of a vender that make it distinct
from a sub-recipient are below. A vendor:
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 (June 22, 2009), p.7
http://www.recovery.gov/FAQ/recipient/pages/recipient_reporting.aspx

3/3/2010                                                                     7
             Recipient Reporting
                Registration
• Recipients and reviewers must be registered
  with www.federalreporting.gov
• Recipients need:
   – DUNS – http://fedgov.dnb.com/webform
   – CCR – www.ccr.gov/GAQ.aspx
   – FRPIN – www.federalreporting.gov
• Reviewers need:
   – Valid .gov email
   – Phone
   – Agency Name

 3/3/2010                                       8
           Prime Recipient Reporting
                  Preparation
• Is your DUNS/CCR current?
• Have you requested your FRPIN?
• Who will register for your org (Centralized Reporting)?
• What systems will you use for data collection
  (purchasing, accounting, etc.)?
• Will you be delegating to sub-recipients?
     – What subcontract/consortium agreements need to be revised?
• Do your grantees and contractors have DUNS/CCR
  identification so they can register? FRPIN?
     – Have they registered?
• How will you validate sub-recipient reports/info?
• Are you and they familiar with Resources for Review?
3/3/2010                                                            9
                   Section 1512
                 Reporting Options
1. Recipient Reporting Online Form – Recipients
       can enter data directly onto FederalReporting.gov. The
       site will prevent the submission of material omissions.
2.     Recipient Reporting Excel Tool – Recipients
       will need to populate the required data fields and
       upload the report to FederalReporting.gov. The
       website will validate the completion of all required data
       fields and will not allow the completion of the upload if
       any material omissions exist.
3.     Recipient Reporting XML Schema – The XML
       Schema provides a standard structure to transfer data
       from system to system.
3/3/2010                                                      10
 Recipient Reporting
Technical Assistance &
     Instructions




          11             3/3/2010
           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., agency
       codes) before reporting period
     – Link recipients with basic reporting info and be
       able to answer basic reporting questions

3/3/2010                                                     12
           CPPW Sample Report




3/3/2010                        13
               Recipient Reporting
              Instructions (General)
• Award Amount
  – Refer to 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
                                      14                                    3/3/2010
                Recipient Reporting
                Instructions (CPPW)
• Project Status
   – ―Not started‖ or ―less than 50%‖
• Total Fed ARRA Amount Invoiced
   – Amount drawn down from PMS through 12/31
   – ―$0‖ if nothing has been drawn down
• Total Fed ARRA Expenditures
   – ―$0‖ (not enough time obligate funds per Dec. 2009 award date)
• Jobs
   – ―$0‖ (not enough time to obligate funds for jobs per Dec. 2009
     award date)
• Subawards and Vendor Payments
   – $0 unless funds have been expended for either
     Sample Reports - http://www.cdc.gov/fmo/topic/Recovery_Act/index.html
                                       15                                    3/3/2010
                  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,
aggregate all hours worked and divide by the
number of hours in a full-time schedule. 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

3/3/2010                                                                      16
             Jobs created vs. retained
• Job created – met by at least one of the following:
    1. New positions filled and funded with ARRA dollars
    2. 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
    •      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

 https://www.federalreporting.gov/federalreporting/downloads.do#rrdm, p. 9-10
3/3/2010                                                                   17
                    Jobs Example #1

• Date of hire with ARRA dollars:
  12/01/2009
• 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


3/3/2010                                                                               18
           Jobs Example #2




3/3/2010                     19
           Limited Data Quality Reviews
                      (DQR)




3/3/2010                                  20
           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

3/3/2010                                    21
                 Recipient Reporting &
                  Data Quality Review
• Day 1 – 10 – Recipients submit data 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

3/3/2010                                                              22
           CDC’s Basic DQR Process

• Track recipient registrations
• Days 11 – 21 – Preliminary reviews of recipient
  reports; begin to ID errors and contact recipients
     – POs contact recipients and inform of errors
• 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
3/3/2010                                             23
                      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
       – Highly unreasonable job estimates
*Subject to change per HHS
  3/3/2010                                              24
              Highly Unreasonable Jobs

  • Amount of reported expenditures divided
    by the number of jobs reported is less than
    $3,770 per job
       – Must show corresponding $$ if jobs are
         created/retained
       – Cannot create/retain jobs with ―$0‖ Total
         ARRA Fed Expenditures


Subject to change per HHS
  3/3/2010                                           25
                Recipient Reporting
                     Checklist
 Do       you know your:
      Award #
                                 Refer to your Notice of Grant
      Award amount              Award or HHS Recipient Reporting
                                 Readiness Tool
      Award issue date
      DUNS#
      CFDA         Refer to CDC codes for ARRA Grants
                    http://cdc.gov/fmo/topic/Recovery_Act/index.html
      TAS
 Have  you submitted a report for each
   award?
3/3/2010                                                         26
            Recipient Reporting
                 Checklist
 Do you have a way to easily make reporting
  corrections, especially if you are in a state with
  centralized reporting?
 Have you and your PO discussed preparations
  for January reporting (i.e., jobs, draw down,
  expenditures, etc.)?
 Have you submitted a duplicate report that
  needs to be deactivated (i.e, 2 reports for the
  same awd #)

3/3/2010                                               27
           Recipient Reporting
                Checklist
 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?
 Have you reviewed your data to prevent
  double-counting any reported data (i.e.,
  expenditures, jobs, etc.?)


3/3/2010                                      28
     Program Performance Measures




3/3/2010                            29
         Program Performance
              Measures
• Four differences between Section 1512
  and Program Performance Measures
• Performance Measures:
  – Reported to us, not directly to public portal
  – Public info is reported by CDC in aggregate,
    not recipient-by-recipient
  – Selected/few public measures
  – Not all info is reported quarterly

                        30                    3/3/2010
        Program Performance
             Measures
• Program performance measures –
  Periodic discussion with recipients.
  Recipients report data to CDC; POs will
  collate and report to RAC for senior leader
  reviews and public reporting.
  – Report quarterly progress to RAC
  – Performance Progress Report (PPR) form



                      31                     3/3/2010
           Performance Measures
           Reporting—Sequence
• Data collected from grantees and reported to their
  CDC PO.
• POs or program leads will summarize across funded
  recipients to calculate an aggregated measure
• Program will report these aggregate measures to the
  Recovery Act Coordination unit within 60 days of the
  end of the quarter
• RAC will prepare for senior leader quarterly reviews
  and upload for public reporting on Recovery.gov

                           32                      3/3/2010
            Performance Measure
            Reporting—Outcomes
• % recipients whose intended policy, systems,
  environmental change has been:
  – Submitted for consideration by ―relevant authority‖
  – Approved/enacted by ―relevant authority‖


• Outcomes measured via:
  –   CHANGE Tool (communities)
  –   Similar ARRA Reporting Tool (states)
  –   Report out outcomes strategy by strategy
  –   Completed by recipient and submitted on-line
                            33                       3/3/2010
             Performance Measure
              Reporting—Outputs
• % recipients who are on time/on track with activities
  related to their chosen strategies

• Outputs measured as follows:
   – Recipient plans converted to activities/milestones with dates
   – PO reviews with recipient, determines % of activities/milestones
     on time/on track
   – ―Scorecard‖ approach—green/red/yellow
   – Considering an on-line monitoring system to do calculations and
     graphics
   – Determine output performance strategy-by-strategy
   – Completed by PO and recipient together


                                 34                            3/3/2010
               Performance Progress
                Report Form (PPR)
B. Performance Measures
B (1)             B (2)           B (3)                           B (4)
                 Measure   Indicator or Status                 Explanation
                                                 Please attach a description of these
B-01                                                 activities

                                                 Please attach a description of these
B-02                                                 activities

                                                 Please attach a description of these
B-03                                                 activities

                                                 Please attach a description of these
B-04                                                 activities

                                                 Please attach a description of these
B-05                                                 activities

                                                 Please attach a description of these
B-06                                                 activities




                                  35                                             3/3/2010
      CPPW Monitoring and
  Evaluation—Other Components
• BRFSS and YRBS—baseline and followup
  in all communities
• System dynamic modeling
• Cost assessment
• Case studies




                  36              3/3/2010
              Recipient Reporting:
               Two Components
• Section 1512 – Recipient reports due to
  federalreporting.gov by Day 10 after the end of
  each quarter
     – Three options for reporting
• Program performance measures – Periodic
  discussion with recipients. Recipients report
  data; POs collate and submit to RAC for
  quarterly senior leader reviews and public
  reporting
     – Performance Progress Report form
3/3/2010                                            37
               Resources for Review
• 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 and Instructions
     – Congressional District locator
• HHS Recipient Reporting Readiness Tool
     – http://taggs.hhs.gov/ReadinessTool/


                                                                Return

                                   38                              3/3/2010
               What Did You Learn?
• Can you distinguish between Performance Measurement
  Reporting and Section 1512 Reporting?
• Do you understand the basic recipient reporting
  process?
     – Requirements
     – Registration and Preparation
     – Reporting options and CDC sample reports
• Do you understand the Limited Data Quality Reviews?
     – Requirements
     – Basic Process and CDC plans
     – Preparation
• Do you have additional questions?
3/3/2010                                                39
           Questions and Discussion




3/3/2010                              40
             Upcoming Grantee
                 Webinars
• December 9 & 15; 2PM-4PM EDT –
  recipients who will be submitting their first
  report in January, 2010
• December 10-11; 2PM-4PM EDT –
  recipients who will be submitting their
  second report in January, 2010
• December 17 – open Q & A
       http://www.cdc.gov/fmo/topic/Recovery_Act/index.html

                                41                            3/3/2010
           CDC Recipient Reporting
                 Contacts
• PGO – Manal Ali
     – Telephone: 770-488-2706
     – E-mail: MAli@cdc.gov.
• RAC – Clay Cooksey
     – Telephone: 404-498-6782
     – E-mail: CCooksey@cdc.gov




3/3/2010                             42
                   States with Centralized
                    Reporting In Oct. ‘09
          •   AR                    •      MA        • SD
          •   CA                    •      MI        • TN
          •   CO                    •      MS*       • UT
          •   CT*                   •      MO        • VT
          •   FL                    •      NM       • WA*
          •   IN                    •      OH        • WV
          •   IA                    •      OK         • WI
          •   ME                    •      OR        • WY
          •   MD                    •      PA     • American
*May change for future reporting periods             Samoa
                                             44           3/3/2010
                        CDC Codes
                     for ARRA Grants
                                                                         CPPW-
                       317                                              States &
 Data element      Immunization       317 ELC/EIP            HAI       Territories
Awarding
Agency Code        7523             7523              7523             7523

Funding Code       7523             7523              7523             7523

CFDA               93.712           93.712            93.717           93.723

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

Activity Code      E11              ELC - E11         ELC - E11        E11

                                    EIP - U01         EIP - U01

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

                                           45                                   3/3/2010
       CDC ARRA Performance
             Measures
• 317 public performance measures
  – Childhood Immunization Recovery Plan -
    http://www.recovery.gov/Transparency/agency/
    reporting/agency_reporting5program.aspx?age
    ncy_code=75&progplanid=7535#measures
• HAI public performance measures
  – CDC: Infectious Diseases Recovery Plan -
    http://www.recovery.gov/Transparency/agency/
    reporting/agency_reporting5program.aspx?age
    ncy_code=75&progplanid=7537
                      54                   3/3/2010

				
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