Grantee Recipient Reporting Beginner (CPPW)

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					           Grantee Recipient Reporting:
                Beginner (CPPW)

                    Clay Cooksey
             CDC Recovery Act Coordination
                   December, 2009
2/9/2011                                     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

2/9/2011                                              2
              Recipient Reporting:
               Two Components
• Section 1512 – Recipient reports due to
  federalreporting.gov by Day 10 after the end of
  each quarter. Submit one report for each
  award received
     – Three options for reporting
• Program performance measures – Periodic
  discussion with recipients. Recipients report data
  to CDC; POs collate and submit to RAC for
  quarterly senior leader reviews and public
  reporting
     – Performance Progress Report form
2/9/2011                                            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



2/9/2011                                                                       4
               Reporting Roles and
                 Responsibilities
• Prime Recipients
• Sub Recipients
• Vendors




 Refer to Supporting Information for more details
2/9/2011                                            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

2/9/2011                                                        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

2/9/2011                                                                     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




2/9/2011                                        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?
2/9/2011                                                            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.
2/9/2011                                                      10
            Recipient Reporting
           Technical Assistance &
                Instructions




2/9/2011                            11
           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

2/9/2011                                                     12
                        CDC Codes
                     for ARRA Grants
                       317                                                CPPW-
  Data element     Immunization       317 ELC/EIP         HAI          Supplemental
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

2/9/2011                                                                              13
                 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
2/9/2011                                                     14
CPPW Sample Report
                      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
2/9/2011                                                                           16
                      Recipient Reporting
                      Instructions (CPPW)
• Project Status
     – ―Not started‖ (if your expenditures = $0) 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
2/9/2011                                                                           17
                  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,
1) aggregate all hours worked and 2) divide by the
number of hours in a full-time schedule (as defined
by the recipient). 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

2/9/2011                                                                      18
              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 (i.e., it
  was going away until ARRA provided funding to keep
  it going)
    •      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
Recipient Reporting Data Model -
https://www.federalreporting.gov/federalreporting/downloads.do#rrdm, p. 9-10
2/9/2011                                                                       19
                  Jobs Example (Q1)

• 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


2/9/2011                                                                               20
               Jobs Example (Q1+Q2)
             *Assumes FTEs worked all of Q2*

• Cumulative for two quarters
     – Date of Hire with ARRA dollars: 12/01/2009
     – Max # of hours worked = 680 hours/FTE
           • Q1(160hrs) + Q2 (520 hrs)
           • # of FTEs (see jobs description in sample): 2
     – Total hours available for 2 quarters = 1040

                680 hours worked x 2 FTEs = 1360 hours worked
                   -------------------------------------------------------------   = 1.3 FTEs
               520 hrs (Q1) + 520 hrs (Q2) = 1040 hours available

2/9/2011                                                                                        21
         Jobs Example
Cumulative reporting for one year
           Limited Data Quality Reviews
                      (DQR)




2/9/2011                                  23
           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

2/9/2011                                    24
                 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

2/9/2011                                                              25
           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
2/9/2011                                             26
                      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
       – Project status is ≥50% complete
       – Highly unreasonable job estimates
*Subject to change per HHS
  2/9/2011                                              27
              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
  2/9/2011                                           28
                Recipient Reporting
                     Checklist
 Do       you know your:
      Award #
                                 Refer to your Notice of Grant
      Award amount
                                 Award or HHS Recipient Reporting
      Award issue date          Readiness Tool
      DUNS#
      CFDA         Refer to CDC codes for ARRA Grants
      TAS          http://cdc.gov/fmo/topic/Recovery_Act/index.html
 Have    you provided this info to the person
    submitting your report, especially if in a
    state with centralized reporting?
2/9/2011                                                         29
            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.)?
 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?
2/9/2011                                               30
           Recipient Reporting
                Checklist
 Have  you submitted a report for each
  award?
 Have you submitted a duplicate report that
  needs to be deactivated (i.e, 2 reports for
  the same award #)
 Have you reviewed your data to prevent
  double-counting any reported data (i.e.,
  expenditures, jobs, etc.?)
2/9/2011                                    31
     Program Performance Measures




2/9/2011                            32
            Program Performance
                 Measures
• Four differences between Section 1512
  and Program Performance Measures
• Performance Measures:
     – Reported to CDC, 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

2/9/2011                                                33
           Program Performance
                Measures
• Program performance measures –
  Periodic discussion with POs. Recipients
  report data to CDC; POs will collate and
  report to RAC for senior leader reviews
  and public reporting.
     – Performance Progress Report (PPR) form




2/9/2011                                        34
            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 60 days after the end
  of the quarter
• RAC will prepare for senior leader quarterly reviews
  and upload for public reporting on Recovery.gov

 2/9/2011                                                35
                 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
2/9/2011                                                     36
               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


2/9/2011                                                              37
                  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




2/9/2011                                                                                   38
          CPPW Monitoring and
      Evaluation—Other Components
• BRFSS and YRBS—baseline and followup
  in all communities
• System dynamic modeling
• Cost assessment
• Case studies




2/9/2011                             39
              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
  to CDC; POs collate and submit to RAC for
  quarterly senior leader reviews and public
  reporting
     – Performance Progress Report form
2/9/2011                                            40
               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

2/9/2011                                                                 41
               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?
2/9/2011                                                42
           Questions and Discussion




2/9/2011                              43
                 Upcoming Grantee
                     Webinars
• December 9 & 15; 2PM-4PM EST –
  recipients who will be submitting their first
  report in January, 2010
• December 10-11; 2PM-4PM EST –
  recipients who will be submitting their
  second report in January, 2010
• December 17; 2PM-4PM EST – open Q&A
           http://www.cdc.gov/fmo/topic/Recovery_Act/index.html

2/9/2011                                                          44
           CDC Recipient Reporting
                 Contacts
• RAC – Clay Cooksey
     – Telephone: 404-498-6782
     – E-mail: CCooksey@cdc.gov
• PGO – Manal Ali
     – Telephone: 770-488-2706
     – E-mail: MAli@cdc.gov.




2/9/2011                             45
                   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
  2/9/2011                                                    47
                        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

2/9/2011                                                                             48
           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
2/9/2011                                         57