Recipient Reporting Training. CDC Recovery Act Coordination Unit. Training Objectives. Understand the basic recipient reporting process Requirements Registration and Preparation Reporting options and sample report Understand the Data Quality Reviews (DQR ) Requirements Basic Process
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Recipient Reporting Training
CDC Recovery Act Coordination Unit
Unprecedented level of accountability and transparency
Funding should reach “end users” quickly and be expended for quick results
Emphasis on measurement and evaluation
Reporting will be extensive including post-award audits & reviews (GAO, OIG)
Section 1512 Reporting
*See appendix for additional guidance (Slides 37 & 38)
The distinguishing features of a vendor are below:
Office of Management and Budget Guidance on Reporting (M-09-21), p.7 http://www.recovery.gov/?q=content/recipient-reporting
Guidance and Sample Reports
Refer recipient to the Notice of Grant Award
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 40hours, but this number may vary depending on how an organization defines a full-time schedule.
B. Multiply the full-time work week hours by 13 weeks to determine the quarterly hours.
40 Hours (full-time work week) X 13 weeks = 520
http://www.whitehouse.gov/omb/assets/memoranda_2010/m10-08.pdf, p. 23
320 hours worked x 2 FTEs = 640 hours worked
520 hours in a full-time schedule
= 1.2 FTEs
Data Quality Review (DQR)
Reports due on 10th day after the end of each calendar quarter*
“Extended” submission period runs until the 14th day after the end of the calendar quarter*
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When is a recipient considered non-compliant?
A non-reporting recipient is considered non-compliant with Section 1512 requirements, unless the instance meets one or more of the known exclusions from reporting detailed in OMB M-10-14, Section 4, copied and revised below. These exclusions are:
Not required to report (e.g., loan or grant less than $25,000)
Federal program exempted from 1512 reporting (e.g., USDA’s Single Family Housing loan program)
Award cancelled or terminated
Extension for “Extraordinary Circumstances” (e.g., natural disaster)
Award is classified
Micropurchases made with the purchase card
Final report previously submitted to FederalReporting.gov
Other (if applicable, provide details on why reporting is not expected)
Can recipients submit paper reports to fulfill Section 1512 reporting requirement?
If at all possible, recipients are required to report electronically through FederalReporting.gov.
Reports submitted outside of FederalReporting.gov (i.e. e-mail, fax or mailed) must be received by the awarding agency by the same deadline for filing electronic reports in the reporting period to be considered “on time and compliant”.
Mailed paper reports must be postmarked by this same deadline to be considered “on time and compliant”.
The awarding agency is responsible for certifying that the recipient is unable to report electronically.
Agencies shall exercise strict judgment in reviewing and accepting paper reports to ensure that this process is not used as an alternative choice for those recipients that could, but do not wish to, report electronically.
Can recipients submit paper reports to fulfill Section 1512 reporting requirement? (cont.)
All paper reports that meet this requirement, have all required fields complete, and are acceptable in the judgment of the awarding agency shall be submitted to OMB for approval.
Agencies shall submit qualified paper reports to OMB in a timely fashion to allow for review and approval prior to the end of the reporting period.
Once approved, OMB will submit paper reports to the Recovery Accountability and Transparency Board for entering into FederalReporting.gov, and these recipients will be considered compliant reporters.
When should a recipient of a grant, loan, or other Federal assistance mark a record as final?
A project is considered final for Recovery Act reporting purposes when the following requirements are met:
All ARRA funds associated with the award have been expended at the prime recipient level
All or nearly all ARRA funds associated with the award have been invoiced and received
No additional jobs will be funded
The project status is complete per agency requirements and/or performance measures, and
The project status is marked as “Fully Complete” (marked as “4”)
A recipient will be considered a non-reporter/non-compliant in subsequent quarters until the record is correctly marked as final.
When should a recipient of a grant, loan, or other Federal assistance mark a record as final? (cont.)
In instances where expenditures are reimbursed to recipients and invoices/receipts lag expenditures, a project may be marked as final when all funds have been expended, 75% or more of the funds awarded have been invoiced and received, and the project status is “Fully Complete.”
In instances where the award end date is in the future, recipients may still mark an award as final if the requirements listed in this Section are all met.
In instances where an award is cancelled, no funds were received or invoiced, and the funds are rescinded, the agency should attempt to work with the recipient to change the award amount to $0.00 and mark the report as final.
Can I make adjustments to prior period recipient reports?
Yes, the recipient or the Federal agency may initiate the change to a prior reporting process if they deem it to be appropriate.
Recipients can utilize the Automated Data Change tools to request four types of report changes:
Marking a report as final
Linking to another report
“Other” – Changes may be requested for any of the data fields with the exception of the jobs numbers data field. Data populated in the Jobs Numbers field are permanent and change requests are automatically rejected.
See the Automated Data Change Guidelines posted on the CDC Recovery Act internet site for additional instructions. (http://www.cdc.gov/fmo/topic/Recovery_Act/index.html)
Quarterly Activities/Project Descriptions for Prime and Sub-recipients
The prime recipient is required to collect information from the sub-recipient(s) to enter with the prime recipient information for this field.
For awards that fund multiple projects such as formula block grants, the recipients are asked to provide information that is stated in terms that allow an understanding of the accomplishments.
Total Number of payments to vendors less than $25,000/award
The data element should only include payments made by the prime recipient to the vendor.
Total Amount of payments to vendors less than $25,000/award
The amounts reported are cumulative for the award and should only include payments made by the prime recipient. Payments that exceed the $25,000 threshold should be reported in the vendor Section of the report.
Total Amount of Sub-awards less than $25,000/award
The amounts reported are cumulative for the award. Payments that exceed the $25,000 threshold should be reported in the sub-recipient Section of the report.
Amount of Sub-award
Sub-awards exceeding $25,000 in the quarter are reported in this Section. The data is a cumulative amount for the award and aggregated by sub-recipient. Multiple sub-awards to a single sub-recipient under the same award should be aggregated and reported in this field if the cumulative total exceeds $25,000 for the quarter.
Payments exceeding $25,000 in the quarter are reported in this Section. The data is a cumulative amount for the award and aggregated by vendor. Multiple payments to a single vendor under the same award should be aggregated and reported in this field if the cumulative total exceeds $25,000 for the quarter.