Transcript ARRA Recipient Reporting FINAL

Bureau Of Indian Education
Recovery Act
Prime Recipient Reporting
Webex Training
Friday, March 19, 2010
Bureau of Indian
Education
Presenter
Frank Dumanal, PMP
Prime Recipient Reporting
Senior Project Manager
Deputy Assistant Secretary of Management (DAS-M) Office
E-mail: [email protected]
Office Phone: (703) 390-6379
Cell: (202) 631-5797
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Handouts
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BIE ARRA Recipient Reporting Training Presentation
BIE Tip Sheet
Federal Reporting Data Model (Data Dictionary)
FederalReporting Excel Template (Grants)
Frequently Asked Questions (FAQ) for Recipients
CFDA Crosswalk
Treasury Account Symbol (TAS) ARRA
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Overview and Objectives
 Prime Recipient and FRPIN
Definition
 FederalReporting.gov and
Recovery.gov Relationship
 Basic Recipient Framework
 Recipient Reporting Example
 Prime Recipient Responsibilities
 April 2010 Reporting Life-Cycle
Flow
 Registration
Initial Submission
Specific Data Elements Guidance
Recipient Review
Agency Review
Lessons Learned
Timeline and Activities for
Continuous QA
 Reporting Assistance/Where to Find
Information
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Prime Recipient Definition
Non-Federal entity that receives Recovery Act funding as Federal awards in the form of
grants, cooperative agreements, or loans directly from the Federal Government.
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FRPIN Definition
FederalReporting PIN (FRPIN)
– Nine-digit number created by FederalReporting.gov
– Need a FRPIN for each DUNS number you will be reporting
– FederalReporting.gov assigns each DUNS number a unique FRPIN
– Your organization may have received multiple ARRA awards under
multiple DUNS numbers
– You will need to identify each DUNS number for which you will be reporting
– FRPIN is provided to your organization POC as listed in the Central
Contractor Registration (CCR) database
– POC will serve as your DUNS administrator or will delegate that
responsibility to another person in your organization
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FederalReporting.gov & Recovery.gov
Relationship
Recovery.gov
Federalreporting.gov
Reporting Data Portal
Recipient Reporting
Supports:
• Recipient Registration
• Recipient Reporting
• Report Review and
Validation
On-line web
browser
Method 1
Excel
Spreadsheet
Method 2
Publish
Database
Database
Custom software
XML
Method 3
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Provides:
• Public data access
• Coverage Maps
• Standard Reports
• Reported Data
Basic Prime Recipient Framework
Federal
Agency
Prime
Recipient
Vendor
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Prime Recipient Responsibilities
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Ultimately responsible for reporting ALL data required by
Section 1512 of the Recovery Act and OMB Guidance
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Must report three additional elements associated with any
vendors receiving funds from the prime recipient for payments
greater than $25K
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April 2010 - Reporting timeline and
activities
1 -10
11-21
22-29
Reporting is a quarterly responsibility that begins for the reporting
period in which the award is made.
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Registration
FederalReporting.gov Pre-requisites
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Valid email address
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All recipients must have a DUNS number
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Central Contractor Registration (CCR)
– Prime recipient must be registered
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Registration
DUNS: getting started
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Does your organization already have a DUNS number? Multiple
DUNS numbers?
– Check at http://fedgov.dnb.com/webform
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What is the DUNS number associated with this award?
– Check award documentation
– If not on the award documentation, use the DUNS number
your organization provided on the award application
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Do you already have a DUNS number registered in CCR?
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If you don’t have a DUNS number, you may obtain on at
http://fedgov.dnb.com/webform
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Registration
DUNS: obtaining a DUNS
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To request a new DUNS number, you
will need the following information:
• Legal name
• Headquarters name and address
• “Doing business as” name
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Physical address
Mailing address (if different)
Telephone number
Contact name and title
Number of employees at your
physical location
Registration
CCR Registration
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Check to see if you have either an active or inactive CCR
registration
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CCR Search
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CCR Search (cont’d)
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CCR Search (cont’d)
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Registration
CCR Registration (cont’d)
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Use the “Start New Registration” button
If you have an inactive registration, contact the CCR Assistance Center
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Registration
FederalReporting.gov user types
There are several different types of users in FederalReporting.gov:
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Federal Agency
User
• Award and/or fund
Recovery Act grants,
loans, and/or
contracts
• Track and monitor
awards
• Review and comment
on recipient reports
Recipient Point of
Contact
• Validates recipient
users reporting on
behalf of the
organization
• Assigns DUNS
Administrators
• Removes users from
DUNS organizations
• Administers FRPIN
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4
Recipient DUNS
Administrator
Recipient User
• Shares responsibilities
with Recipient POC
for one particular
DUNS number
• Can only serve as
DUNS Administrator
for one DUNS number
• Remove users from
DUNS organizations
• Administer FRPIN
• Able to submit
recipient reports
• Must have FRPIN
number approved by
the Recipient POC or
DUNS Administrator
Registration
FR.GOV Registration
•
After you have established a DUNS number, CCR registration,
and have an administration strategy:
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Go to www.FederalReporting.gov
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Click the “Register Now” button
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Follow the registration steps
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Initial Submission
Recipient reporting methods
Method One - Online data entry through a web browser
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Data entry form
Access through user’s desktop web browser
Time-out function built-in
Method Two - Excel spreadsheet
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Download and fill out spreadsheet
Upload into FederalReporting.gov
Requires Excel 2003 or newer
Spreadsheet “locked” to prevent modifications
As of 3/17/2010, Version 1.6
Method Three - Custom software system extract in Extensible Markup
Language (XML)
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OMB guidance contains data dictionary and XML schema
Must match a specific XML schema format
XML schema available on FederalReporting.gov
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Initial Submission
Avoid duplicate reports
Scenario One - Decentralized reporting at the prime recipient level
PRIME RECIPIENT
Director A reports
$100K
$200K erroneously reported
to FederalReporting.gov
instead of $100K
$200K
Director B reports
$100K
• Prime Recipient does not establish a single point of entry
• Allows for multiple parties to enter data
• Two different officials inadvertently create separate records
and reporting on the same activity
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Initial Submission
Prime Recipient required data
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Recipient Name*
Award Type
Award Number*
Final Report
Recipient DUNS Number
Recipient Account Number
Recipient Congressional District
Funding Agency Code
Awarding Agency Code
Award Date
Amount of Award*
CFDA Number
Program Source (TAS)
Sub Account Number for Program
Source (TAS)
Total Number of Sub Awards to
Individuals
Total Amount of Sub Awards to
Individuals
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Total Number of Payments to
Vendors less than $25K/ Award
Total Amount of Payments to
Vendors less than $25K/ Award
Total Number of Sub Awards less
than $25K/Award
Total Amount of Sub Awards less
than $25K/Award
Award Description
Project Name or Project/Program
Title
Project Status
Total Federal Amount ARRA
Funds Received/Invoiced
Number of Jobs*
Description of Jobs Created
Quarterly Activities/Project
Description
Activity Code (NAICS or NTEENPC)
* If incorrect, OMB currently considers a “Significant Error”
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Initial Submission
Prime Recipient required data (cont’d)
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Total Federal Amount of ARRA
Expenditure
Total Federal ARRA Infrastructure
Expenditure
Infrastructure Contact Name
Infrastructure Contact Email
Infrastructure Contact Phone
Infrastructure Contact Phone Ext
Infrastructure Contact Street
Address 1
Infrastructure Contact Street
Address 2
Infrastructure Contact Street
Address 3
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Infrastructure City
Infrastructure State
Infrastructure ZIP Code+4
Street Address 1
Street Address 2
City
State
ZIP Code+4
Congressional District
Country
Prime Recipient Indication of
Reporting Applicability
Officer Name
Officer Compensation
Initial Submission
Prime Recipient required data (cont’d)
How to find information for each reporting field
 BIE Tip Sheet
 Federal Reporting Data Model (Data Dictionary)
 FederalReporting Excel Template (Grant)
 “Mouse over” the field
 Use pull down menu in each cell
 Web Browser “Binocular” icon
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Initial Submission
Prime Recipient required data:
vendor information
1. DUNS or Name and
Zip Code of
Headquarters
Federal Agency
2. Expenditure amount
Prime Recipient
3. Expenditure description
Vendor
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Initial Submission
Less than $25K Reporting
•
Section 1512(c)(4) and OMB Guidance allows for prime recipients
to aggregate reporting on:
– Payments to vendors less than $25,000
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Specific Data Elements Guidance
Number of Jobs
• “Jobs Created/Jobs Retained” is reported in the “Number of Jobs” field
• Number of Jobs is expressed in terms of “full-time equivalents” (FTE)
• Number of Jobs is a simple calculation:
Total Number of Hours Worked & Funded by Recovery Act within Reporting Quarter
FTE =
Quarterly Hours in a Full-Time Schedule (520 hours)
• Financial assistance prime recipients must include the hours worked on
projects and activities managed by their funding recipients (i.e., subrecipients)
• Prime recipients should not attempt to report the employment impact upon
materials suppliers and central service providers (i.e., indirect jobs) or on
the local community
• Best practice: maintain documentation of how you calculated Number of
Jobs and include a description of the calculation in the “Description of Jobs
Created” field.
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Specific Data Elements Guidance
Number of Jobs
EXAMPLE
Period
3rd Qtr
4th Qtr
1st Qtr
2nd Qtr 3rd Qtr
4th Qtr
One (1) FTE Full-Time Schedule
520
520
520
520
520
520
Full Time Employee 1
520
520
520
260
130
130
Full Time Employee 2
520
520
260
260
130
130
Part Time Employee (halftime)
260
260
260
260
130
130
Temporary Employee (390 hrs)
0
0
130
130
130
0
Total Hours Worked
1,300
1,300
1,170
910
520
390
Quarterly FTE
2.50
2.50
2.25
1.75
1.0
.75
• Jobs may be reported even though no Recovery Act dollars have been
expended. Report hours in the quarter in which they were worked.
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Specific Data Elements Guidance
Description of Jobs Created
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Brief description of the types of jobs created or jobs retained
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Description may rely on job titles, broader labor categories
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Recipient’s existing practice for describing jobs as long as the
terms used are widely understood and describe the general nature
of the work
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Best practice: include a description of how Number of Jobs was
calculated
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Specific Data Elements Guidance
Award Number
• One award number – One Report
• BIE Award Numbering Convention
GTA23456789.9Y900 (17 characters)
11 digit grant number
Decimal Separation
5 digit Title 1-A code
• Award number should be entered exactly as it is shown on the
federally awarded contract, grant or loan document
• Award numbers are case, space, and special character sensitive
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Specific Data Elements Guidance
Award Type
Three award classifications for the purposes of reporting in
FederalReporting.gov:
• Federally Awarded Contract
• Grant
• Loan
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Specific Data Elements Guidance
Awarding & Funding Agency
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Awarding Agency: 4-digit code of Federal agency that awards or
administers the funds on behalf of the funding agency
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Funding Agency: 4-digit code of Federal agency that is responsible for
funding/distributing the ARRA funds to recipients
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1450 - Indian Affairs (Assistant Secretary)
9146 - Office of Elementary and Secondary Education
Funding and awarding agency may or may not be the same
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Specific Data Elements Guidance
CFDA
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Only CFDA numbers specific to Recovery Act funding are valid in
FederalReporting.gov
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ARRA Logo designates ARRA-approved CFDA
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For Title 1A
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https://www.cfda.gov/
Use CFDA 84.389, Grants to Local Educational Agencies, Recovery Act
CFDA 15.062, Replacement and Repair of Indian Schools,
Department of the Interior
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Created errors last reporting quarter; was not ARRA-approved
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Approved March 12, 2010
Reference Documents
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BIE Tip Sheet
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Indian Affairs CFDA Crosswalk
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Initial Submission
Create report: report type
Select “Grant”
Select “Prime Only”
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Initial Submission
Create report
Draft or Submit
Three Tabs - Prime Recipient, Sub Recipients and Vendors
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Initial Submission
Create report: enter recipient data
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Initial Submission
FR.GOV Data quality checks
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FR.GOV runs a series of data quality checks after a report is
submitted
An email with the appropriate error messages is sent to the
recipient user
Two different types of data quality checks:
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Hard Errors:
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Will prevent successful submission of a report
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Report must be modified to be successfully submitted
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Example: Total Federal Amount ARRA Funds Received/Invoiced must be less
than or equal to Amount of Award
Warning Messages:
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Will NOT prevent successful submission of a report
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Are meant to merely WARN recipients that an error might exist
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Example: If Number of Jobs is greater than 0, it cannot equal or exceed Total
Federal Amount ARRA Funds Received/Invoiced
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Recipient Review
My Reports
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Agency Review
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Reports are “locked” and may not be freely modified by recipients
Agencies review reports, focusing on fields OMB identified as
significant errors:
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Recipient Name
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Number of jobs retained or created
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Federal award number
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Recipient name
Recipients are provided with formal comments through FR.GOV
If a recipient receives a comment, the report is “unlocked” and
able to be modified for correction
Agencies identify any non-compliant or missing reporters
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Agency Review
Significant error/material omission
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Agencies are required to identify both ‘significant errors’ and
‘material omissions’
Significant Errors:
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Data fields of major concern per OMB are: award amount, number of jobs
created / jobs retained, award number and recipient name
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If a recipient does not make the requested correction or submit a reasonable
explanation of why the data is not incorrect, then the award report is
considered to have significant errors.
Material Omissions:
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Failure of a Federal ARRA award recipient to report on a received award
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Data in a report that is not responsive to a specific data element (e.g., lack of
sufficient narrative description)
Significant Errors and Material Omissions are ultimately reported
to the Recovery Act Transparency Board and OMB
Recipients that do not report are published on Recovery.gov
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Agency Review
Consequences of uncorrected data
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Recipients will be given an opportunity to correct the deficiencies
before bureaus and offices take enforcement actions
Bureau or office may take proactive action to protect the Federal
government’s interests when it is determined a recipient is
noncompliant with Section 1512 reporting requirements:
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Placing special conditions on awards or precluding the grantee from
obtaining future awards for a specified period
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Taking action designed to prevent future noncompliance, such as closer
monitoring
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Withholding, suspending or terminating payment of funds for noncompliance
with the reporting requirement
1st missed report: award official sends a cure notice or other
strong letter to remind recipient reporting is mandatory
2nd missed report: award official will initiate termination action or
other strong sanction, including suspension or debarment
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Recipient & Agency Review
Making corrections
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Reports may be updated once they have been initially
submitted
Reports may be updated at any time during the Initial
Submission period
During the Agency Review period, reports may only be
updated if the report is “unlocked” with an agency comment
Any Recipient User that has access to the FRPIN for a
given DUNS number may update an associated report
Reports may be updated multiple times within the reporting
cycle
Report updates may be made via the 3 reporting methods
available (i.e., Excel template, online, XML)
Federal agencies do not make updates to reports
Each time a report is submitted, the previous version of that
report is replaced
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Recipient & Agency Review
Changes to ‘business key”
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For any current quarter reports with incorrect business key, use the
change business key function to avoid duplicate records. Business
key data elements are: award number, order number and DUNS
number.
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This function will create a new business key and deactivate the
incorrect report from the current quarter.
1.
Open the applicable report
2.
In the Report Information section
of the report, click on the Change
Key button
3.
In the dialogue box, click on yes to
leave the report
4.
The Change Business Key
dialogue box appears. Change
Award, Order or DUNS data
5.
Confirm Change Key
6.
Enter FPRIN to confirm
deactivation of old report
7.
A new report will display for
submission
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Timeline & Activities for Continuous QA
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Lessons Learned
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DUNS different than recorded with BIE for the school
DUNS/CCR expired during registration period
Waiting on FRPIN Number
CCR – Information “Opt Out” Selection
Grant Award Number entered incorrectly
Award reported as a contract instead of a grant
Incorrect codes used: Awarding Agency, Funding Agency, CFDA, Program Source, etc.
Amount of award reported does not match amount of Title I award to school
MI&R and Title I awards combined on one report, under one CFDA number
Project name less than adequate; better name needed
Project description inadequate; Use description #26 from BIE Tip Sheet
BIE/Interior unable to view submitted report due to school filing under another agency’s
code (one case confirmed)
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Need Help?
Contacting FederalReporting.gov
FederalReporting.gov allows Recipients to submit and Federal Agencies to review required
Recovery Act reporting data. If you need help with registering as a user, submitting a report,
reviewing a report, or other website functions, contact their Service Desk.
Service Desk Information
 Phone: 877-508-7386
 TTY: 877-881-5186
 Email: [email protected]
 Chat:LivePerson Support
Service Desk Hours of Operation
Hours of operation varies.
Begin Date
End Date Hours (EST)
Days / Week
February 1 - March 31, 2010
April 1 - April 30, 2010
May 1, 2010 - June 30, 2010
July 1, 2010 - July 31, 2010
8 AM - 6 PM ET
7 AM - 9 PM ET
8 AM - 6 PM ET
7 AM - 9 PM ET
Monday - Friday
Monday - Friday
Monday - Friday
Monday - Friday
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Where to find information
• FederalReporting.gov
– www.federalreporting.gov
– Frequently Asked Questions (FAQs)
– Service Desk
– Downloads Tab (Reference Data and Additional Links)
– Includes reporting templates, Recipient Reporting Data Model, Webinars,
User Guides, Look-ups for congressional districts, agency codes, CFDA
numbers, Program Source numbers, and ZIP code information
• Recovery.gov website
– http://www.recovery.gov/
– Frequently Asked Questions (FAQs)
• DOI Recovery website
– http://recovery.doi.gov/
• Data Universal Numbering System (DUNS)
– http://fedgov.dnb.com/webform
• North American Industry Classification System (NAICS)
– http://www.naics.com/search.htm
• Central Contractor Registration (CCR)
– https://www.bpn.gov/CCRSearch/Search.aspx
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BIE Contacts
Dr. Jeffrey Hamley
E-mail: [email protected]
Ph: 505.563.5260
Gaye Leia King
E-mail: [email protected]
Ph: 505.563.5263
Katherine Campbell
E-mail: [email protected]
Ph: 505.563.5043
Valerie Todacheene
E-mail: [email protected]
Ph: 505.563.5269
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Questions
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