Transcript Document

2010 Orientation for State WAP Directors and Staff
WAP Reporting Requirements
Michael Peterson and Frank
Norcross
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• Agenda
– DOE Reporting Requirements for Regular funds
– DOE Reporting Requirements for ARRA funds
– OMB Reporting Requirements for ARRA funds
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Quarterly Reporting
 IV 4.1 References Financial Status Report (FSR)
 Now replaced by Federal Financial Report (FFR) (SF-425)
– Required by the U.S. DOE’S Financial Assistance
Regulations (10 CFR 600, Subpart C)
– Look on the Federal Assistance Reporting Checklist (DOE F
4600.2)
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Quarterly Reporting
 IV 4.2 Quarterly Program Report (pp. VI-5 thru VI-8)
– Section I, Grant Outlays: Report outlays/funding subject to the
DOE Weatherization Rules and are part of the approved DOE
grant budget
 Outlays reported by Source (A) and by Function (B) as
Budgeted on SF-424A
 Total Amount should equal Amount on SF-425
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Quarterly Reporting – Quarterly
Program Report
– Section II A: Annual Energy Savings - Final Report only
– Section II B: Grant Production - Report units weatherized, in
total and by category; people served, in total and by
category; leveraged units
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Quarterly Reporting – Quarterly
Program Report
– Section II B: DOE Units completed this quarter with all funds
in the approved DOE budget – in total and by category
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Unit by type
Unit by primary heating fuel
Unit by occupant category
Units re-weatherized
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Quarterly Reporting – Quarterly
Program Report
– Section II C – Persons assisted with funds all funds in
approved DOE budget
 In total and by category
 Sum of persons assisted will not equal total persons
assisted
– Section II D – Leveraged units completed with other funds
not included in approved DOE Budget provided any part of
the definition of a DOE unit has been met (Note: Units
reported here should not also be reported on Line “B”, DOE
Units)
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Quarterly Reporting
 Quarterly Reports due 30 days after end of reporting period
 Reconciled final FFR due 90 days after end of award period
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Annual Reporting
 Training and Technical Assistance, Monitoring, and Leveraging
Report (DOE Form 540.4 or equivalent) pp. VI-9 to VI-12
– Annual Narrative Report
– Describe T&TA activities conducted
– List subgrantees monitored, focus, significant findings,
identify any “exemplary” subgrantees
– Describe leveraging activities, results, amount and source of
funding (report leveraged units on line D of program report)
– Due 30 days after end of reporting period.
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DOE WAP Proposed
Revisions to Reporting
 Monthly program report to include:
 Draft reporting program guidance available for review here:
http://apps1.eere.energy.gov/wip/draft_recovery_act_reporting_guidance.cfm
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Recovery Act Reporting
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Reference OMB Memo M-09-21, dated June 22, 2009
Government-wide
Begins October 2009
Available to public at www.Recovery.gov
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What needs to be reported?
 Total funds received and total amount spent of projects and activities
 A list of projects and activities funded by name to include:
– Description
– Completion status
– Estimates of jobs created or retained
 Details of subawards and other payment
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Who is required to report?
 Prime recipients of Federal awards under ARRA
 Some sub-recipients of Federal awards may be delegated reporting
responsibilities.
 Vendors are not required to report
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Definitions:
 Prime Recipient – non-Federal entities that receive Recovery Act
funding as Federal awards in the form of grants, loans, or
cooperative agreements directly from the Federal government.
 Sub-recipient – non-Federal entity that expends Federal awards
received from another entity to carry out a Federal program, but
does not include an individual who is a beneficiary of such a
program
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Definitions (cont.):
 Vendor – a dealer, distributor, merchant, or other seller providing
goods or services that are required for the conduct of a Federal
program. A vendor:
1.
2.
3.
4.
5.
Provides the goods and services within normal business
operations;
Provides similar goods or services to many different
purchasers;
Operates in a competitive environment
Provides goods or services that are ancillary to the operation
of the Federal program; and
Is not subject to compliance requirements of the Federal
program.
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What needs to be reported?
 Information on any payment over $25,000
– Identify of vendor
– Amount of payment
– Description of services or goods
 Aggregates of payments under $25,000
 Administrative costs are excluded
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How must reports be submitted?
 Via the portal: www.FederalReporting.gov
 First report due no later than October 10, 2009
 First report will include all data from February 17, 2009, the date of
ARRA enactment
 Quarterly, no later than the 10th of each month
 No waivers or extension to the due date will be made
 All data must be cumulative
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Recipient Reporting Process
 All recipients (prime and sub-recipients) will have access to
www.FederalReporting.gov and report by the 10th of the month.
 Reported information will be made available to the public on
www.Recovery.gov by the 30th of that month.
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Reporting Process
 Registration –Prime recipients, delegated sub-recipients, and
Federal agencies must be registered on the website
www.FederalReporting.gov prior to reporting. Registration will be
available no later than August 26, 2009.
 Registrants must have a DUNS number and be registered in the
Central Contractor Registration (CCR) database.
 Prompt registration is encouraged.
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Days 1 - 10
 Recipients may begin entering their data in a draft version.
 Draft versions will only be available to the initiator.
 Data will remain a draft until officially “submitted.”
 Submitted reports will be available to the prime recipient and the
Awarding Agency (DOE).
 Recipients who have not submitted their reports by the 10th will be
considered non-compliant.
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Days 11 - 21
 Prime recipient will ensure that data is complete and accurate prior
to the Federal agency comment period.
 Notify sub-recipients of reporting errors or omissions.
 Federal agencies will have a “view-only” mode
 Summary statistics will be available on www.Recovery.gov
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Day 22-29
 Federal Agencies can review and comment on reports.
 Submitted reports will not be editable by recipients
 Federal agencies may make notations and “unlock” the report,
allowing an agency to correct data.
 Data corrections must be made no later than the 29th day.
 No later than 30 days following the end of the quarter, detailed
reports are made available to the public on www.Recovery.gov
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How to submit ARRA Reports:
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On-line data entry in a Web browser,
Excel spreadsheet, or
Custom software system extract in XML
See “Recipient Reporting Data Model” published by OMB
Contact Helpdesk support for user assistance
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Federal Agency Review Process
 DOE will develop internal policies and procedures for reviewing data
 Data will be used to assess compliance, risk factors, and when to
release remaining funds.
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Data Quality Requirements
 Prime recipients have primary responsibility
 Delegated sub-recipients share the responsibility
 No specific methodology for conducting data quality reviews
 DOE, recipient, and sub-recipient should establish internal controls
to eliminate omissions and potential for “double-counting.”
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Reporting of Jobs Created
 Jobs directly created or retained by project
 Must be reported in FTE (full time equivalents)
 Jobs created or retained by funding sub-recipients and vendors
 Do NOT report on “indirect” jobs of suppliers, service providers or
indirect support positions.
 Brief narrative description of job
 Report only jobs attributable to ARRA funding
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Training
 OMB Webinars for Recipients Reporting on Recovery Funds
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