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Rural Development ARRA Recipient Reporting For RD Staff, Circuit Riders, Technical Assistance Providers

Rural Development ARRA Recipient Reporting For RD Staff, Circuit Riders, Technical Assistance Providers. Webinar September 22, 2010. Introduction. Speakers Rachel Beattie, Team lead, Recipient Reporting, Rural Development, USDA

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Rural Development ARRA Recipient Reporting For RD Staff, Circuit Riders, Technical Assistance Providers

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  1. Rural DevelopmentARRA Recipient Reporting For RD Staff, Circuit Riders, Technical Assistance Providers Webinar September 22, 2010

  2. Introduction • Speakers • Rachel Beattie, Team lead, Recipient Reporting, Rural Development, USDA • Additional panelists: Tyson Whitney (OCFO), Fransi Dunagan (OCFO), Nathen Evans (Washington state) • Format for Webinar • 30-45 minutes of presentation • Remaining 45 minutes for questions • Questions need to be submitted via the Questions feature of the Webinar • Teleconference bridge is “listen” only

  3. Objectives • Discuss requirements for Recipient Reporting • Review consequences for non-reporting • Review lessons learned • Review reporting cycle timeline • Review available resources to recipients • Discuss what is required to get started for Recipients • Key items • Summary • Questions and Answers

  4. Requirements for Recipient Reporting • American Recovery and Reinvestment Act of 2009 (ARRA) • Section 1512 covers Recipient Reporting: “(c) RECIPIENT REPORTS— Not later than 10 days after the end of each calendar quarter, each recipient that received recovery funds from a Federal agency shall submit a report to that agency that contains—…” • Who is required to report under the Recovery Act? • Prime Recipients: Non-Federal entities that receive greater than $25,000 in Recovery Act funding as Federal awards in the form of grants or loans • Sub Recipients (not applicable to BIP): Non-Federal entities awarded Recovery funding through a legal instrument from the Prime Recipient • What happens to the submitted data? • The submitted data is published to Recovery.gov for public review on the 30th of the month of the Reporting Cycle • The remaining 60 days of the Reporting Cycle are dedicated to data quality improvement • Is it a big deal if you do not report? • Yes, it is a big deal!

  5. Consequences for non-compliant recipients • Why do recipients need to report? • Ensure that the American public has a clear understanding of the use of Recovery Act funds • Not reporting could put your award at risk • What is the definition of non-compliant recipient? • Those who are persistently late or negligent in their reporting obligations • Further action is taken if a recipient is non-compliant for two or more consecutive reporting quarters • What happens when you are non-compliant? • Recipients who have failed to submit a Section 1512 report as required by the terms of their award are considered to be non-compliant • What are the consequences for being a non-compliant recipient? • Are subject to Federal action, up to and including the termination of Federal funding or the ability to receive Federal funds in the future. • Per Office of Management and Budget’s (OMB) Memorandum 10-17, sanctions or remedies for repeated non-compliance may include: termination of federal funding, suspension and debarment, or other enforcement action as the Agency determines appropriate

  6. Non-Reporters for Q2 2010 • Although Rural Development had an outstanding 97% rate of Recipient Reporting, RD’s rate of non-compliance was still considered high (3%), when compared to the rest of the Government • Of the 76 non-reporters, 42% stated they were unaware they needed to report (had $0 ARRA Expenditures for the April-June period) and 24% had CCR or FRPIN issues • Total number of Non-reporters: • 1x non-reporters: 70 • 2x non-reporters: 3 • 3x non-reporter:1 • 4x non-reporters: 2 • According to OMB, there were approximately 325 non-reporters throughout the entire government for Q2 • Approximately 23% (76 awards) belonged to RD • Of the five 4-time non-reporters, two of them belonged to RD Many issues related to non-reporting can be cleared up well in advance of the October reporting cycle

  7. Requirements for Recipient Reporting

  8. Lessons Learned from 2nd Quarter 2010 1 • Preparation and communication are key to successful reporting • Understand whether or not recipients are running into any obstacles related to reporting • Understand additional resources recipients may have (for WEP: NRWA and RCAP are available resources) • Validate DUNS, CCR registration, and FRPIN in September • Verify DUNS is active • Validate CCR information is up-to-date (POC info) and registration is active (not expired) and linked to DUNS • Ensure FRPIN has been issued by FederalReporting.gov • Start the process early to avoid potential technical glitches or errors in reports • It may take between 48-72 hours within each system (DUNS, CCR or FederalReporting.gov) to update your records • This takes away valuable reporting time during the Initial Submission Period (typically only 10 calendar days!) 2 3

  9. Recipient Reporting Cycle Timeline (August-September) Sept 15 Sept 30 Sept 1 Sept 5 Sept 10 Sept 20 Sept 25 Oct 5 • 9/1-9/30: Preparation for Reporting cycle • Validate DUNS, CCR registration, FRPIN (via FederalReporting.gov) • As soon as funds have been obligated, a recipient may begin registration process Recipients • 10/1-10/10: • Initial Submission phase • Recipient filing window 9/9 • Webinar for Recipients 9/23 • Webinar for Recipients 9/1 9/22 Rural Development points of contact • Webinar for States/Circuit Riders/Technical Assistance Providers • Webinar for States/Circuit Riders/Technical Assistance Providers

  10. Recipient Reporting Cycle Timeline (October 2010) Oct 15 Oct 31 Oct 1 Oct 5 Oct 10 Oct 20 Oct 25 • 10/1-10/10: • Initial Submission phase • Recipient filing window 10/11-10/12: Recipients • Recipient Review • 10/13-10/29: • Recipient revisions: Limited modification to existing reports; no new reports • 10/1-10/12: • “View only” access to recipient-filed reports on FederalReporting.gov Rural Development point of contact • 10/13-10/29: • Agency review period to provide comments to recipient reports • 10/30: • Publication • No access to site FR.gov closed

  11. Recipient Reporting Schedule and significant milestones • October 1-10: Initial Submission Period. Recipients need to submit reports via FederalReporting.gov • Please file as early as possible to allow for technical issues or concerns • Agencies will have “View only” access of reports and review Daily Extracts from FederalReporting.gov • Agencies will work with recipients, on a rolling basis, to make any corrections to recipient reports • Beginning October 6: USDA RD offices will contact recipients who have not yet filed as of October 5th to remind them of the remaining time within the submission window • October 11-13: Recipient correction period. No new reports, just corrections to existing records filed • No later than October 25: USDA RD Offices will send out letters of non-compliance to non-compliant recipients; letters to repeated non-reporters (if any) will be sent out from the National Office • October 13-29: Agency Review Period • October 30: Data is published on Recovery.gov • November 1 – December 14: Continuous Quality Assurance (QA) Period • December 2010: Final Continuous QA data published on Recovery.gov Note: Dates highlighted in Blue underline indicate major milestones for Recipients

  12. Recipient Reporting Schedule and significant milestones (con’t) •  It is important to note that for Initial Submission, there is a compressed schedule for submission (Oct 1-10), even though it is still 10 days total • 4 of the 10 calendar days are weekends, including the last two days of the Initial Submission Period • There are only 6 weekdays during Initial Submission • Initial Submission ends on a holiday weekend (Oct 10th is the Sunday before the Monday holiday) • On-time submission will be especially critical since it’s assumed that most of your recipients (and most of you) may not be working through the weekends to submit.

  13. Available resources for recipients • There are several resources available for recipients ARRA Recipients FederalReporting.gov Helpdesk USDA Rural Development (RD) Offices Training materials USDA RD Computer Locations USDA Technical Assistance Providers (NRWA and RCAP) USDA Office of the Chief Financial Officer USDA Rural Development Recipient Reporting

  14. Available resources for recipients (con’t) • There is a wealth of training materials and resources, such as presentations and webinars, available for recipients • http://www.whitehouse.gov/recovery/webinartrainingmaterials/ • Materials provide overviews of reporting requirements • Available for download in both mp3 and PDF formats • https://www.federalreporting.gov/federalreporting/downloads.do • Downloads section has templates, Recipient Reporting Data Dictionary, Webinars, User Guide, Quick Reference Guide, and Reference Data and additional links • Most are available via PDF format • Reference data section provides links for looking up codes required for report submission • http://www.rurdev.usda.gov/recovery.html • USDA Rural Development Recovery Web site • http://www.whitehouse.gov/omb/recovery_default/ • Contains Recovery Frequently Asked Questions and links to OMB Memorandums

  15. Available resources for recipients (con’t) • Use available guides and quick reference cards to get you started (from https://www.federalreporting.gov/federalreporting/downloads.do)

  16. Available resources for recipients (con’t) • Use available guides and quick reference cards to get you started (from https://www.federalreporting.gov/federalreporting/downloads.do)

  17. Available resources for recipients (con’t) • Use available quick reference cards to get you started (https://www.federalreporting.gov/federalreporting/documentation/FederalReporting-dot-gov%20Registration%20Quick%20Reference%20Card%20v1.pdf)

  18. Key elements in reporting • There are several critical elements which are used by Rural Development and by OMB in their review of Recipient Reporting • The Major Comparison Points include: • Award ID • Award Type • Award Amount $ • Awarding Agency code • Funding Agency code • DUNS number • Items highlighted in red indicate those items which recipients should receive from either their ARRA award paperwork or from the USDA RD point of contact

  19. Key elements in reporting (Con’t) • The most common mismatch throughout Q2 2010 were with Award ID’s, making up 43% of mismatches as of August 10th, 2010 • The mismatches included: • Awarding Agency – 12E2/12E3/12E4 • Funding Agency – 12E2/12E3/12E4 • DUNS# - valid CCR registration required • Award ID – State Issued • Award Type – Grant/Loan/Contract • Award Amount - $Amount obligated Note: Reconciliation data as of August 10th, 2010 showing 166 total mismatches Most of these mismatches can be remedied through communication between the RD State/Area Offices/programs and the Recipients

  20. Getting started: Recipients A little bit of planning goes a long way with Recipient reporting requirements • Validating Award ID and the DUNS number on record associated with award • Reviewing and validating Central Contractor Registry (CCR) registration and obtaining FRPIN (from FederalReporting.gov) • Determining the preferred method to report • Excel spreadsheet template • XML • Direct input on FederalReporting.gov • Understanding functions of FederalReporting.gov functions which may make reporting easier • “Copy forward” and “Linking” functions 1 2 3 4

  21. Getting started: Recipients (con’t) 1 • Validating Award ID and the DUNS number on record associated with award • Obtain Award ID from your Rural Development Point of contact • It is critical that this matches exactly (including dashes, spaces, etc.) what is provided by your Rural Development point of contact • Validate DUNS number(s) • The DUNS record the recipient plans on reporting in FederalReporting.gov should be compared against that on record with the Rural Development point of contact

  22. Getting started: Recipients (con’t) 2 • Reviewing and validating Central Contractor Registry (CCR) registration and obtaining FRPIN (from FederalReporting.gov) • For recipients with existing CCR registrations, ensure your CCR information is up-to-date and will be active throughout the reporting cycle • CCR registration must be renewed at least every 12 months and an expired registration will prevent report submission &/or modification by the recipient • Maintaining current Points of Contact in the CCR record will assure recipients that renewal reminders are received • For recipients requiring CCR registration, register with CCR and obtain a DUNS number in order to register • Re-instating an expired registration requires specific recipient actions to protect the security of the record, processing time, and additional time to update FederalReporting.gov • Recipient instructions may be found at Chapter 2 of the User Guide at the downloads page of FederalReporting.gov • Register at the FederalReporting.gov Web portal and obtain your FRPIN • This is the central place for submitting recipient reports related to ARRA funding • The FRPIN is linked to CCR and DUNS and allows you to submit a report successfully

  23. Getting started: Recipients (con’t) 3 • Determining the preferred method to report: Prime Recipients and Sub Recipients submit reports by entering data into forms residing on FederalReporting.gov • After you have entered all your report data, you will be prompted to “Submit” your report Once you click the “Submit” button, you will be prompted to enter the FRPIN for the DUNS number for which you are reporting 1 Click the “Submit” button to submit your report as Initial Submission status. Click “Cancel” if you wish to cancel the action of submitting the Initial Submission. You will be returned to your report entry screens. 2

  24. Getting started: Recipients (con’t) 3 • Determining the preferred method to report: Downloading Excel or XML You can access functionality to download the Excel template from two locations within the FederalReporting.gov system: The Download Templates box located in the Left Side Bar on the Home Page, or the Downloads Page 1 2

  25. Getting started: Recipients (con’t) 3 • Determining the preferred method to report: Downloading Excel • The Formatted Excel Spreadsheet Has Advantages: • Can be saved to your local computer • No “session time out” as with the Online Data Entry • Has a “Validation” function • Widely understood format - Excel

  26. Getting started: Recipients (con’t) 4 • Understanding functions of FederalReporting.gov functions which may make reporting easier • “Copy forward” function • Returning Recipient reporters should utilize this function within FederalReporting.gov report submission process • Facilitates linkage of current and previous reports and allow the public to follow the progress of projects over time • A full discussion of this process is available in Chapter 10 of the User Guide at FederalReporting.gov • “Linking” function • Reports Linkage Page: A new Link/Unlink Reports Page is created to support the creation and the modification of report relationships • While on this page, the recipient can link a current quarter report to a report submitted in the previous quarter. The recipient can also change or remove links • The manually created link will help distinguish ongoing awards from new awards, even if the relationship is not obvious.

  27. Key items to remember during the reporting process • Report Grants and Loans separately within FederalReporting.gov • Combination Loan and Grant projects must report for the Grant and for the Loan separately (i.e., 2 reports) • Use relevant Program Codes • Awarding Agency Codes: 12E2/12E3/12E4 • Funding Agency Code: 12E2/12E3/12E4

  28. Key items to remember during the reporting process (con’t) • Reporting must be performed by the recipient during the Submission period • Recipients will not be able to submit new reports • Only edits and revisions to existing reports will be allowed after Submission period • Ensure your recipients make themselves available during the reporting period • Have good contact numbers and email addresses for the recipient POCs filing the reports • Recipients may need to turn around changes to their report or clear up errors on reports before the reports are considered submitted • Ensure your recipient “Submits” the report, receives a confirmation of the submission • Draft reports do not count towards submission • FederalReporting.gov will generate an email to the recipient indicating any errors to the report and will indicate that these errors need to be corrected before the report is considered “Submitted” • Ask recipient to save and print out their ARRA report submission confirmation and send it to you for your records

  29. Summary • Initial Submission begins on October1st and goes through October 10th • Begin the processes now to validate and verify the following: • DUNS, CCR, FRPIN • Pre-fill out reporting templates with award ID and other relevant Recipient Reporting award data for submission on 10/1 to ease the submission process • Verify reporting data such as Award ID, DUNS being reported, Award value, and Awarding/Funding codes • Encourage recipients to reach out to your RD resources as soon as you encounter any obstacles and contact your BIP National Office resources Let us know what we can do to help you!

  30. Rural Development points of contact • Jacki Ponti-Lazurak , Recovery Act Implementation Coordinator, USDA Rural Development • Recipient Reporting Team, USDA Rural Development (contractors: Booz Allen Hamilton) • Rachel Beattie • Rachel.Beattie@wdc.usda.gov • Tel: 202-690-4741 • Will Davis • William.Davis3@wdc.usda.gov • Tel: 202-692-0337 • Irfaan Nooruddin • Irfaan.Nooruddin@wdc.usda.gov • Tel: 202-692-0339

  31. BIP points of contact • 1st level: • Joseph Sorresso, Broadband Industry Economist, Rural Development • Email: joseph.sorresso@wdc.usda.gov • 2nd level: Recipient Reporting Team, USDA Rural Development • Rachel Beattie • Rachel.Beattie@wdc.usda.gov • Tel: 202-690-4741

  32. Questions and Answers

  33. Appendix

  34. Non-Reporters for Q2 2010 (con’t) • As a result, USDA (Rural Development) is under an increasing amount of scrutiny by the White House and OMB for the number of non-reporters, especially those repeat non-reporters (consecutive quarters of non-reporting) • RD set up a structure for management of Non-Compliant recipients • Finalized RD policy for Non-Compliant Recipients • For 1x/2x non-reporters: Letter will be sent out by the State or Area office no later than 15 days after the end of the reporting period, with recourse for non-response • For 3x or more non-reporters: Letter will be sent out by Deputy Administrator at the National Office no later than 15 days after the end of the reporting period, with recourse for non-response or non-compliance to include withholding of funds • Created template letters for 1x/2x and 3x or more non-reporters • Created formalized records of communications with non-compliance recipients Let’s aim for 100% compliance in October!

  35. Available Tools during the Reporting Period • The RD Recipient Reporting team provides several tools which are focused on providing timely and relevant Recipient Reporting data to the States and Programs during the Reporting Cycle Note: RD State/Area Offices will need to provide Circuit Riders and Technical Assistants with these tools.

  36. Available Tools during the Reporting Period (Con’t) Note: RD State/Area Offices will need to provide Circuit Riders and Technical Assistants with these tools.

  37. Available Tools: Master List Reconciliation (Con’t) • Mismatches are highlighted on the Master List side of the reconciliation. This is to illustrate the mismatch even though the correction may have to be made on FederalReporting.gov. Recipient reports as presented in Daily data extract file Specific mismatch 1 2 3 • Awards as listed in the RD Master List • Data discrepancies or mismatches are highlighted in yellow to indicate the differences between the what the Recipient reported (blue columns) and RD Master List (pink columns)

  38. Available Tools: Prose Tool • The Prose Tool is provided by the OCFO as a reasonableness of data check of Recipient reports as presented in the Daily data extract • Items “Flagged” need to be checked for reasonableness Two leading “Flags” from Q2 2010 were Jobs Over Reported and Project Completion Status

  39. Under Administration in the Quick Links menu, click “Request FRPIN.” Screenshot – Entering directly into fr.gov • Determining your preferred method to report: Prime Recipients and Sub Recipients submit reports by entering data into forms residing on FederalReporting.gov • Requires FRPIN, which must be requested via FederalReporting.gov Create Report Online Once you are logged in to FederalReporting.gov, you can begin to create your report. Click the “Create Report” command button from the Left Side Bar to begin creating your report. • After you receive an FRPIN, you need to “Create Report”

  40. Screenshot – Entering directly into fr.gov • Determining your preferred method to report: Prime Recipients and Sub Recipients submit reports by entering data into forms residing on FederalReporting.gov • After you have entered all your report data, you will be prompted to “Submit” your report Once you click the “Submit” button, you will be prompted to enter the FRPIN for the DUNS number for which you are reporting 1 Click the “Submit” button to submit your report as Initial Submission status. Click “Cancel” if you wish to cancel the action of submitting the Initial Submission. You will be returned to your report entry screens. 2

  41. Screenshot – Downloading Excel or XML • Determining your preferred method to report: Downloading Excel or XML You can access functionality to download the Excel template from two locations within the FederalReporting.gov system: The Download Templates box located in the Left Side Bar on the Home Page, or the Downloads Page 1 2

  42. Screenshot – Create Report Online (Con’t) Recipient Focus • You will need to provide the following: • Prime Award Number • Prime DUNS • Award Type • Federally awarded contract • Grant • Loan • Recipient Type • Prime Recipient [Prime Only] • Prime Recipient [Prime reporting for self and Sub(s)] • Sub Recipient [Sub Only] Once you have entered all of the required data, click “Continue Report Creation.” 2

  43. Screenshot – Create Report Online (Prime Recipient) Recipient Focus Continue, entering reporting data online, you will use the following types of fields and controls: • Free text fields • Drop-down lists • Code Reference lookups • Calendars 1 2 Field Information Page icon — The field information page icon opens a new window including details regarding the various data elements from the Recipient Reporting Data Model V3.0.

  44. Screenshot – Create Report Online (Vendor tab) Recipient Focus In the Vendor Information area, you will enter all of the appropriate data associated with your vendor: • Vendor DUNS Number • Vendor Name • Vendor Headquarters (HQ) ZIP Code • Vendor HQ ZIP Code Ext • Payment Amount • Product and Service Description 1 When you click “Save New Vendor,” the system takes you to the Vendor Reporting results page. There you can see all of the Vendor reports which you have entered. 2

  45. Screenshot – Create Report Online (Recipient Report Submission) Recipient Focus Once you click the “Submit” button, you will be prompted to enter the FRPIN for the DUNS number for which you are reporting 1 Click the “Submit” button to submit your report as Initial Submission status. Click “Cancel” if you wish to cancel the action of submitting the Initial Submission. You will be returned to your report entry screens. 2

  46. Screenshot – Download Excel and XML Recipient Focus You can access functionality to download the Excel template from two locations within the FederalReporting.gov system: The Download Templates box located in the Left Side Bar on the Home Page, or the Downloads Page 1 2

  47. Screenshot – Validate Excel and XML Recipient Focus Follow these steps to validate your file: Step 1: Create your sample Excel or XML file to validate of no greater than 200 megabytes. Step 2: Select the required fields for Award Type and Recipient Type. Step 3: Browse and select the file to validate. Step 4: Click “Validate File.” Step 5: Confirmation page confirms that your file has uploaded. Step 6: Within 1 to 24 hours, you’ll receive an email with validation results. Only users who are logged in to FederalReporting.gov can access the Validation Utility. Your validation file will not be saved in the FederalReporting.gov database and is not considered a report submission.

  48. Screenshot – Upload Excel and XML Recipient Focus • Uploading the completed XML or Excel file: • Step 1: Select the required fields for Award Type • Step 2: Select the required fields for Recipient Type. • Step 3: Browse and select the file to validate. • File extension should be .xls for Microsoft Excel file • File extension of .xml for the XML file • Step 4: Enter FRPIN. Remember, each DUNS Number is assigned by FederalReporting.gov a unique 9-digit FRPIN. • Step 5: Click “Upload Report.” 1 2 3 4 5

  49. Screenshot – Upload Excel and XML, Cont’d(Email Notification for Excel report) Recipient Focus • If your Excel file has been accepted as a valid submission, you will receive an email indicating successful submission. • If there are validation errors associated with the Excel file, you will receive an email describing the errors. Use the information in the validation errors email to review the Excel file and make all necessary corrections. Errors must be corrected and new file uploaded for submission to be completed. An Excel file with errors is not considered a valid submission. Example email text—Excel file successfully submitted 1 Award_G278K-L_Grant.xls: successfully submitted. Do not reply to this e-mail. Please contact the FederalReporting.gov Service Desk or call us at 877-508-7386; TTY: 877-881-5186 if you have any questions. Example email text—Excel file submission unsuccessful 2 Award_Gs2762940-K7.xls failed on validation as follows: The submitted report contains validation errors. 1. Error Code: VALUE_NOT_FOUND Error Message: Unable to find a CFDA Number* with the value 0000012. Error Code: INVALID_EMAIL Error Message: dfadsf@ must be a valid email address3. Error Code: INVALID_DOLLAR_AMOUNT Error Message: Amount of Award* must be a value greater than zero with no more than two decimal places. Do not reply to this e-mail. Please contact the FederalReporting.gov Service Desk or call us at 877-508-7386; TTY: 877-881-5186 if you have any questions.

  50. Link/Unlink Reports – Prime Recipient User The Prime Recipient User logs in. The Prime Recipient User clicks on “My Work Queue”. A Work Queue message is in the Prime Recipient User’s work queue. The Prime Recipient User clicks on the “Award #” link to open the report.

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