Recipient Reporting Requirements Recipient Reporting Requirements Section 1512Section 1512
August 19August 19thth at 3:30pm E.S.T. at 3:30pm E.S.T.
2Recipient Reporting Requirements Section 1512
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6Recipient Reporting Requirements Section 1512
Featured Speakers Featured Speakers
Presenters Judi Fisher, Division Chief, Office of
Grants and Contract Management, Division of Policy, Review and Resolution
Nancy Williams, Team Leader, Office of Grants and Contract Management, Division of Policy, Review and Resolution
7Recipient Reporting Requirements Section 1512
IntroductionIntroduction
Purpose:
– To discuss the reporting requirements in Section 1512 of the Recovery Act.
– TEGL No.1-09 dated Aug.14, 2009 Webinar topics to include:
– Prime Recipient and Sub-recipient Responsibilities
– Required Data Elements
– Reporting Timeline
– Data Quality Review
– Job Creation Requirements
– OMB’s central electronic reporting system:
8Recipient Reporting Requirements Section 1512
What is required? What is required?
Section 1512 recipient reports required by the Recovery Act of 2009
– OMB managed web-based reporting system
– Detailed information about funds received, projects and activities funded with Recovery Act $$
– Cumulative data from inception of grant award
Separate from ETA 9130 financial report and other required program reports.
Implementing guidance- June 22, 2009 (OMB M-09-21)
Same reporting requirements apply to Recovery Act grants from all Federal agencies.
9Recipient Reporting Requirements Section 1512
What ETAWhat ETA Programs are Covered? Programs are Covered?
Employment Service/Wagner-Peyser Funded Activities 17.207
Senior Community Service Employment Program 17.235
WIA Adult Program 17.258
WIA Youth Activities 17.259
WIA Dislocated Workers 17.260
National Emergency Grants - Health Coverage Assistance 17.276
Native American Employment and Training 17.265
YouthBuild 17.274
Competitive Grants for Worker Training and Placement in High Growth and Emerging Industry Sectors 17.275
10Recipient Reporting Requirements Section 1512
Who Must Submit Reports? Who Must Submit Reports?
All Prime Recipients (a.k.a. direct grant recipients) – Receiving Recovery Act funds.
– Ultimately responsible for all required data
– May delegate to sub-recipients reporting of sub-recipient data
Delegated Sub-recipients
11Recipient Reporting Requirements Section 1512
What Information Does What Information Does The Report Provide?The Report Provide?
Total amount of Recovery Act funds received; and of that, the amount spent on projects and activities;
A list of projects and activities funded by name to include: – Description
– Completion status
– Estimates on jobs created or retained
Details on sub-awards Payments to vendors $25,000 or more
12Recipient Reporting Requirements Section 1512
Prime Recipient Required Prime Recipient Required Data Elements Per TEGL 1-09Data Elements Per TEGL 1-09
Federal Funding Agency Name
Award identification Recipient D-U-N-S Parent D-U-N-S Recipient CCR information CFDA number, if applicable Recipient account number Project/grant period
Award type, date, description, and amount
Amount of Federal Recovery Act funds expended to projects/activities
Activity code and description Project description and status Job creation narrative and number Infrastructure expenditures and
rationale, if applicable Recipient primary place of
performance Recipient area of benefit Recipient officer names and
compensation (Top 5) Total number and amount of small
sub-awards; less than $25,000
13Recipient Reporting Requirements Section 1512
Prime Recipient Required Prime Recipient Required Data Elements Data Elements
Recipient Reporting Data Model Quarter Ending Sept 30, 2009
– Funding Federal Agency Code, Name
– Awarding Agency Code, Name
– Program Source (TAS)
– Award Number
– Order Number
– Recipient D-U-N-S
– Parent D-U-N-S
– Recipient Type
– CFDA Number
– Government Contracting Office Code, Name
– Recipient Legal Name/Recipient DBA Name
– Recipient Address, City, State, Zip Code
– Recipient Congressional District
– Recipient Account Number
– Final Report
– Award type, date, description, and amount
– Project Name/Program Title
14Recipient Reporting Requirements Section 1512
Data Elements Con’tData Elements Con’t
– Quarterly Activities/ Project Description
– Project Status
– Activity Code
– Number of Jobs Created/Retained
– Description of Jobs Created
– Award Amount
– Total Federal ARRA Funds Received/Invoiced
– Total ARRA Expenditure
– Total Infrastructure Expenditure and Purpose
– Infrastructure Contact Name, Address, City, State, Zip Code, Email, Phone
– Primary Place of Performance, Address, City, State County, Zip Code, Congressional District
– Prime Recipient indication of reporting applicability
– Prime Recipient Top 5 compensated Name
– Total Number and Amount of Sub-awards to individuals
– Total Number and Amount of Payments to vendors <$25,000/award
– Total Number and Amount of Sub-awards <$25,000/award
15Recipient Reporting Requirements Section 1512
Aggregate Reporting Aggregate Reporting
Sub-awards less than $25,000 Sub-awards to individuals Payments to vendors less than $25,000
16Recipient Reporting Requirements Section 1512
Sub-Recipient Required Data Sub-Recipient Required Data Elements Per TEGL 1-09Elements Per TEGL 1-09
Sub-recipient D-U-N-S
Sub-recipient CCR information
Sub-recipient type
Amount received by sub-recipient
Amount awarded to sub-recipient
Sub-award date
Sub-award period
Sub-recipient place of performance
Sub-recipient area of benefit
Sub-recipient officer names and compensation (Top 5) *Prime recipient reports unless delegated to sub-recipient
17Recipient Reporting Requirements Section 1512
Sub-Recipient Required Sub-Recipient Required Data ElementsData Elements
Recipient Reporting Data Model Quarter Ending Sept 30, 2009
– Sub-recipient Name, Address, City, State, Zip Code, County
– Sub-recipient Congressional District
– Sub-recipient type
– Amount of Sub-award
– Total Funds Disbursed
– Sub-award date
– Sub-recipient place of performance
– Sub-recipient officer names and compensation (Top 5)
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Vendor Required Data ElementsVendor Required Data Elements
Prime Recipient Data:
– Payments greater than $25,000
– D-U-N-S or Name and zip code of Headquarters
– Expenditure amount
– Expenditure description
Sub-Recipient Data:
– D-U-N-S or Name and zip code of Headquarters
Prime recipient reports unless delegated to sub-recipient
19Recipient Reporting Requirements Section 1512
When Must Reports Be Submitted?When Must Reports Be Submitted?
Quarterly within 10 days after the end of each reporting quarter.
Initial reports are due October 10.
– Cumulative from inception of grant award (including funding and activity for quarter ending June 30, 2009)
– Must maintain data for quarter ending June 30, 2009
20Recipient Reporting Requirements Section 1512
How Will Recipients Report?How Will Recipients Report?
REGISTER
– Online at www.FederalReporting.gov
– Must be registered with CCR and have a DUNs number
– Before end of Quarter
– Recommend 35 days prior to the end of the quarter
– Registration opened August 17, 2009
REPORT
– www.FederalReporting.gov is the centralized location for all ARRA Section 1512 recipient reporting
21Recipient Reporting Requirements Section 1512
Caution!Caution!
No waivers to reporting requirements will be granted
Non-compliance will be treated as a violation of the award agreement
– Sanctions could apply
Information reported will be posted for public view at www.Recovery.gov
22Recipient Reporting Requirements Section 1512
Reporting and Review TimelineReporting and Review Timeline
1. REPORT
Days 1-10, Reports Submitted Online at www.FederalReporting.gov
2. REVIEW (Comment Period)
Days 11-21, Prime Recipient Review/Revision
– Ensure complete and accurate information
– Coordinate any corrections with sub-recipients
Days 22-29, Federal Agency review and comment
– Notifies recipient of errors through www.FederalReporting.gov
– Notification unlocks report for corrections
Corrections must be made by the 29th day after quarter ends
3. RELEASE
Days 11-29, reported information will be posted to www.Recovery.gov
Final Reports available Day 30 at www.Recovery.gov
23Recipient Reporting Requirements Section 1512
In-bound Recipient Reporting In-bound Recipient Reporting (FederalReporting.gov) Timeline and Activities(FederalReporting.gov) Timeline and Activities
Next quarterly reporting
cycle begins- updates reflected
cumulatively
Next quarterly reporting
cycle begins- updates reflected
cumulatively
Agency, Prime and Sub Recipient
Registration
Agency, Prime and Sub Recipient
Registration
1 – 10 days after end of Quarter
11 – 21 days after end of Quarter
22 – 29 days after end of Quarter
30 days after end of
Quarter
Prime Recipients
& Subs Enter Draft Reporting
Data
Prime Recipients
& Subs Enter Draft Reporting
Data
Initial Submission
Initial Submission
1
2
10 days after end
of Quarter
Prime Recipients
Review Data Submitted By Sub(s)
Prime Recipients
Review Data Submitted By Sub(s)
3
Prime Recipients & Subs Make Corrections
Prime Recipients & Subs Make Corrections
4
Agency Review of
Data Submitted
Agency Review of
Data Submitted
Recipient Reports
Published on
Recovery.gov
Recipient Reports
Published on
Recovery.gov
Prime Recipients
& Subs Make
Corrections
Prime Recipients
& Subs Make
Corrections
57
6
Agency “View Only” Agency Comment Period
No less than 35 days prior to the
end of the quarter
9
8
90 days after end of
Quarter
Recipient Report Adjustments Possible
Report Status: Draft Initial
Submission Final
Submission Published
24Recipient Reporting Requirements Section 1512
Managing the Reporting ProcessManaging the Reporting Process
Prime recipients are required to:– Collect and maintain all relevant information– Be responsive to section 1512 of the Recovery Act– Design and implement a reporting process– Ensure data accuracy and consistency
Prime recipients that delegate to sub-recipients must ensure that they:– Clearly communicate coordinated reporting– Prevent reporting on same activity by prime and sub-
recipients– Maintain updated inventory of sub-recipient
delegations– Cross-check data records to ensure no double counting
25Recipient Reporting Requirements Section 1512
Who is Responsible for Who is Responsible for Data Quality?Data Quality?
Prime Recipients
– Owns recipient and sub-recipient data
Sub-recipients
– Owns sub-recipient data
Federal Agency
– Provides advice/programmatic assistance
– Performs limited data quality review
Oversight Authorities (Recovery Board, OMB)
– Establish data quality expectations
– Establish data and technical standards
– Coordinate any centralized reviews
26Recipient Reporting Requirements Section 1512
Scope of Data Quality Reviews:Scope of Data Quality Reviews:
Accuracy, Completeness and Timely Reporting Avoidance of two key data issues Material Omissions
– required data is not reported– reported information is not responsive to data
requests– public is not fully informed on Recovery Act
projects or activities Significant Reporting Errors
– required data is not reported accurately– public misled or confused by the recipient report
27Recipient Reporting Requirements Section 1512
Suggested Internal Controls Suggested Internal Controls ApproachesApproaches
Establish internal controls to ensure accuracy, completeness and timely reporting
– Establish control totals
– Establish an estimated distribution chart to help identify outliers
– Establish data review protocol
– Establish procedures for cross-validation of data
– Determine method for detecting/correcting material omissions
28Recipient Reporting Requirements Section 1512
Data Quality ProcessData Quality Process
Federal Agencies are required to:
– evaluate recipient and sub-recipient data
– identify and resolve material omission or significant error issues
– identify and resolve issues when:
• Recipients demonstrate systemic or chronic reporting problems
• Sub-recipients demonstrate systemic or chronic reporting problems
• Recipients demonstrate systemic or chronic deficiencies in reviewing and identifying sub-recipient data quality issues
29Recipient Reporting Requirements Section 1512
Data Quality ProcessData Quality Process
Final Report will be classified by Federal Agency as:
– Not Reviewed by Agency
– Reviewed by Agency with no material omissions or significant reporting errors
– Reviewed by Agency with material omissions or significant reporting errors identified
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Jobs CreationJobs Creation
All jobs directly created or retained from ARRA in projects or activities– Collect specific data from sub-recipients and
vendors to determine jobs created and retained – Report as two separate fields
• a numeric field of combined total of jobs directly added or retained
• Narrative Use of Statistical Model
– OMB allows only with approval– ETA has not approved - requires full data
collection and reporting Jobs are reported cumulatively
31Recipient Reporting Requirements Section 1512
Jobs Creation or RetainedJobs Creation or Retained
What is counted?
– New position created and filled
– Existing unfilled position filled
– Existing position retained
Cannot be counted as both created and retained
What is NOT counted?
– SCSEP
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Estimates of Job ImpactEstimates of Job Impact
To report jobs, prime recipients are required to:
– Translate full/part time employees into “full-time equivalents”, or FTEs.
– Calculate FTEs by adding the total hours worked in the quarter, and dividing by the total hours in a full-time schedule.
Additional guidance on reporting jobs created and retained is provided at:
– OMB Memo 09-21
– ETA TEGL 09-01
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References and ResourcesReferences and Resources
References
– www.whitehouse.gov/omb/memoranda/
• OMB Memo 09-21
• Supplemental Recipient Reporting Data Model
– www.doleta.gov/directives/
• TEGL 1-09
Resources
– www.whitehouse.gov/recovery/WebinarTrainingMaterials/
• Series of OMB Webinars on ARRA 1512 Reporting
34Recipient Reporting Requirements Section 1512
ETA Technical AssistanceETA Technical Assistance
Ongoing from ETA – Contact your FPO
Questions can be submitted to ETA mailbox at:– [email protected]
– Responses provided individually
– FAQ’s posted on ETA Recovery Act website
• www.doleta.gov/recovery
Additional webinars– Beginning in September 2009
• Sept. 14th (save the date)
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