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25 th Annual MIS Conference Presenters: Matthew Case, U.S. Department of Education Nancy J. Smith, DataSmith Solutions Ross Lemke, AEM Corporation The Collection and Reporting of the General Education Provisions Act and Federal Sub-Award Reporting System Fiscal Data

25 th Annual MIS Conference Presenters : Matthew Case, U.S. Department of Education

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25 th Annual MIS Conference Presenters : Matthew Case, U.S. Department of Education Nancy J. Smith, DataSmith Solutions Ross Lemke, AEM Corporation. The Collection and Reporting of the General Education Provisions Act and Federal Sub-Award Reporting System Fiscal Data. - PowerPoint PPT Presentation

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Page 1: 25 th  Annual MIS Conference Presenters : Matthew Case,  U.S.  Department of Education

25th Annual MIS Conference

Presenters:Matthew Case, U.S. Department of Education

Nancy J. Smith, DataSmith SolutionsRoss Lemke, AEM Corporation

The Collection and Reporting of the General Education Provisions

Act and Federal Sub-Award Reporting System Fiscal Data

Page 2: 25 th  Annual MIS Conference Presenters : Matthew Case,  U.S.  Department of Education

This presentation reviews how potentially duplicative fiscal reporting requirements at the federal level are being handled in a

number of states and discusses alternatives being considered by ED.

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Page 3: 25 th  Annual MIS Conference Presenters : Matthew Case,  U.S.  Department of Education

• Issue: Multiple overlapping statutory requirements

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1994• GEPA Section 424

2006• Federal

Funding and Accountability Act (FFATA)

2007•USASpending.gov Launched

2008• Recovery

Act (Section 1512)

• Recovery.gov

2010• FFATA

Subaward Reporting

• FSRS Launch

Page 4: 25 th  Annual MIS Conference Presenters : Matthew Case,  U.S.  Department of Education

• 2/11 - Executive Order 13563 and Presidential Memorandum on “Administrative Flexibility” http://www.gpo.gov/fdsys/pkg/FR-2011-01-21/pdf/2011-1385.pdfhttp://www.whitehouse.gov/the-press-office/2011/02/28/presidential-memorandumadministrative-flexibility

• Directs agencies to review current agency requirements for flexibility

• 4/11 - OMB M-11-21 http://www.whitehouse.gov/sites/default/files/omb/memoranda/2011/m11-21.pdf

• Facilitate use of robust and authoritative data • Eliminate duplicative and unnecessary reporting

7/11 - ED RFI on Implementing Administrative Flexibility http://www.gpo.gov/fdsys/pkg/FR-2011-07-06/html/2011-16901.htm

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Page 5: 25 th  Annual MIS Conference Presenters : Matthew Case,  U.S.  Department of Education

• Convene GEPA/FSRS Working Group at ED• Cross-functional stakeholder group – included Budget/CFO, NCES,

Policy, CIO, and General Counsel.• Identify potential risks and benefits associated with eliminating the

GEPA 424 collection.

• Develop GEPA/FSRS White Paper

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Page 6: 25 th  Annual MIS Conference Presenters : Matthew Case,  U.S.  Department of Education

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GEPA FSRSPurpose Biennial Congressional reporting

about federal spending in federal program areas

Public accountability & transparency about federal spending in federal program areas

Frequency & Timeliness Required: Bi-annually for two prior fiscal years

Encouraged: Annually for prior fiscal year

Monthly for awards made in previous month

Access to Data Limited to USED Public

Reporting Requirements All subgrants & subcontracts by SEA*; allocations from prior fiscal year

Sub awards over $25,000 by SEA; reporting is continuous throughout the year, as obligating actions from prime to subaward recipients occur

Use of Data Limited Congressional reporting, supplement NCES survey, State total federal spending figure in ED Data Express

Publicly available on USASpending.gov

Source: Downey, 2010; EDEN, 2011; Sauls, 2009* Applicable federal program areas included in GEPA, Section 424 are listed in EDFacts File 035. FSRS applies to all federal programs..

Page 7: 25 th  Annual MIS Conference Presenters : Matthew Case,  U.S.  Department of Education

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GEPA FSRSFrequency Annually Monthly, unless no new

obligations made or updates to previous submissions are necessary

Time ½ to 2 ½ weeks 1-3 days per month when updates are needed. Extrapolated up to 2 ½-3 weeks per year on average

Staff 2-3 staff work on different aspects: extracting data, formatting files, submission process

2-3 ½ staff work on different aspects: extracting data, formatting files, submission process

Source: Estimates received via email from five states: Arkansas, Kansas, New York, Texas, and Washington.

Page 8: 25 th  Annual MIS Conference Presenters : Matthew Case,  U.S.  Department of Education

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Data Element Name Definition / Comments

Corresponding FSRS Data Element Name

Same variable forGEPA and FSRS

File Record Number A sequential number assigned by the State that is unique to each record entry within the file.

N/A

ID 559FIPS State Code

The two–digit Federal Information Processing Standard (FIPS) Code for the State, District of Columbia, and the possessions and freely associated areas of the United States (e.g., Puerto Rico).

Recipient_state_code √

ID 570State Agency Number

The identifier assigned by the state education agency (SEA). This ID is a required field. This data element cannot be updated through this file.

DUNS?

Table Name An indication that the federal program(s) is offered in the state. FEDPROG N/A

Federal Program Code The unique five–digit number assigned to each Federal program as listed in the Catalog of Federal Domestic Assistance (CFDA), plus the letter associated with the subprogram if specified in Appendix A.

Cfda_num √

ID 547Federal Programs Funding Allocation Table

The amount of federal dollars retained by the state education agency (SEA) for program administration or other approved state-level activities, transferred to another state agency, distributed to non-LEAs, or unallocated.

Total_funding_amount √

Federal Programs Funding Allocation Type

The Funding Allocation Type allows for the identification of whether the SEA retained the funds for distribution, transferred the funds to another state agency, distributed to non-LEAs, or the amount is unallocated.

N/A

Explanation Submitted files will be processed through various edit checks. When unusual conditions are detected, warning errors may be issued, even though the data may be valid. When this occurs, an explanation responding to the warning may be submitted with the data, or after files have been processed.

N/A

Page 9: 25 th  Annual MIS Conference Presenters : Matthew Case,  U.S.  Department of Education

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Data Element Name Definition / CommentsFSRS Data

Element NameSame variable forGEPA and FSRS

File Record Number A sequential number assigned by the State that is unique to each record entry within the file.

N/A

ID 559FIPS State Code

The two–digit Federal Information Processing Standard (FIPS) Code for the State, District of Columbia, and the possessions and freely associated areas of the United States (e.g., Puerto Rico).

Recipient_state_code √

ID 570State Agency Number

The identifier assigned by the state education agency (SEA). This ID is a required field. This data element cannot be updated through this file.

DUNS?

ID 4State LEA Identifier

The identifier assigned to a local education agency (LEA) by the state education agency (SEA). Also known as State LEA ID. This ID is a required field. This data element cannot be updated through this file.

DUNS?

Table Name An indication that the federal program(s) is offered by this district. FEDPROG N/A

Federal Program Code The unique five–digit number assigned to each Federal program as listed in the Catalog of Federal Domestic Assistance (CFDA), plus the letter associated with the subprogram if specified in appendix A.

Cfda_num √

ID 547Federal Programs Funding Allocation Table

The amount of federal dollars distributed to local education agencies (LEAs). The dollar amount is expressed as a numeric value in whole dollars, no decimal places or "$."

Total_funding_amount √

Explanation Submitted files will be processed through various edit checks. When unusual conditions are detected, warning errors may be issued, even though the data may be valid. When this occurs, an explanation responding to the warning may be submitted with the data, or after files have been processed.

N/A

Page 10: 25 th  Annual MIS Conference Presenters : Matthew Case,  U.S.  Department of Education

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FSRS Elements EDFacts Directory (N029) and GEPA (N035) ElementsFederal Award Identifier Number (FAIN)

Federal Agency Name

Prime Awardee ‐ DUNS Number

Prime Awardee ‐ DUNS Number +4

Prime Awardee ‐ Name Education Entity Name (N029)

Prime Awardee ‐ DBA Name

Prime Awardee - Address Address Mailing (N029)

Prime Awardee ‐ Parent DUNS Number

Principal Place of Performance Address Location (N029)

CFDA Program Number (and Program title) Federal Program Code (N035)

Project Description

Total Federal Funding Amount Federal Programs Funding Allocation Table (N035)

Obligation/Action Date

Report Month

Awardee Names and Compensation of Highly Compensated Officers at the Prime Awardee Chief State School Officer Contact Information (N029)

Date of Report Submission

Page 11: 25 th  Annual MIS Conference Presenters : Matthew Case,  U.S.  Department of Education

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FSRS Elements EDFacts Directory (N029) and GEPA (N035) Elements

Sub‐awardee ‐ DUNS Number

Sub‐awardee ‐ DUNS Number +4

Sub‐awardee ‐ Name Education Entity Name (N029)

Sub‐awardee ‐ DBA Name

Sub‐awardee ‐ Address Address Mailing (N029)

Sub‐awardee Parent DUNS Number

Amount of sub‐award Federal Programs Funding Allocation Table (N035)

Sub‐award Obligation/Action Date

CFDA Program Number (and Program Title) Federal Program Code (N035)

Federal Agency Name

Sub‐award Project Description

Sub‐awardee Principal Place of Performance Address Location (N029)

Sub‐award Number

Sub‐awardee Names and Compensation of Highly Compensated Officers

Page 12: 25 th  Annual MIS Conference Presenters : Matthew Case,  U.S.  Department of Education

• Maintain Both Collections

• Retire GEPA, Section 424

• Retire FSRS Education Data

• Merge GEPA and FSRS Collections

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Page 13: 25 th  Annual MIS Conference Presenters : Matthew Case,  U.S.  Department of Education

Risks• Burden that duplicate collections place on SEAs, particularly

under difficult state and federal budget constraints • Potential for discrepancies between the data sources and

multiple “versions of the truth”• Federal: Separate administration and governance• SEA: FSRS submissions are typically managed and conducted by a

different office or division than the GEPA submission

Benefits• As summary data, GEPA collection provides ED a potential

source of a “control total” to validate data submitted through FSRS

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Page 14: 25 th  Annual MIS Conference Presenters : Matthew Case,  U.S.  Department of Education

Risks• SEAs provide data that are not collected in FSRS, including type of sub

recipients (i.e., LEA, non-LEA, other state agency), SEA retained funds, and ED-specific entity identifiers.

• GEPA data process is more mature and may be more reliable, valid, or complete.

Benefits• Reduction of reporting burden on SEAs. States report using 2-3 full-

time-equivalent staff and spending between 20 hours and two and a half weeks fulfilling the GEPA submission requirements annually. (FSRS is submitted only when new sub awards are made. Might not be monthly.)

• Reduces EDFacts system impacts of maintaining separate GEPA collection.

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Page 15: 25 th  Annual MIS Conference Presenters : Matthew Case,  U.S.  Department of Education

• The possibility and desirability of eliminating FSRS are small.

• FSRS targets subawards for all federal programs, not only education.

• FSRS data is more up-to-date than GEPA.

• Analyses have shown a high correlation between FSRS and GEPA data.

• Widespread availability of FSRS data through the USASpending.gov public portal increases the likelihood the data will be used.

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Page 16: 25 th  Annual MIS Conference Presenters : Matthew Case,  U.S.  Department of Education

• Purpose is different

• Most non-financial data elements are different

• Collection schedule is different

• Managed by different agencies

• ED can collect data for its reports from FSRS

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Page 17: 25 th  Annual MIS Conference Presenters : Matthew Case,  U.S.  Department of Education

• Are subaward data reported to USASpending the same or better quality than data reported via EDFacts GEPA collection?

• Difficult to do comprehensively because of the lags in GEPA reporting

• Quality of Source Data (Prime Award information)

• Identify Potential Reporting Gaps

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Page 18: 25 th  Annual MIS Conference Presenters : Matthew Case,  U.S.  Department of Education

• Percentage of SEA prime awards* reported to USASpending.govthat Exactly Match to USDoED Budget allocation tables(Selected Formula Programs)

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Program FY2006 Allocations FY2007Allocations

FY2008Allocations

84.010 – Title I Grants to LEAs

96% 96% 96%

84.027 – IDEA Grants to SEAs

100% 96% 96%

84.173 – IDEA Preschool Grants

100% 98% 98%

*Includes 50 States, DC and PR.Source : www.usaspending.gov (Direct link) and USDoED Budget Service (Direct Link)

Page 19: 25 th  Annual MIS Conference Presenters : Matthew Case,  U.S.  Department of Education

• FFATA Subaward Reporting Required for:• New awards (e.g., a new FAIN is issued) made after October 1, 2010

funded at $25,000 or more

• ARRA awards and continuations are excluded

• FFATA subaward reporting requirements are inserted into Grant Award Notification (GAN) (Attachment P)

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Page 20: 25 th  Annual MIS Conference Presenters : Matthew Case,  U.S.  Department of Education

• Are programs required for reporting under GEPA currently being required to be reported to FSRS?

• Estimated 70-80% of non-ARRA FY2011 awards subject to GEPA requirements required

• If required, are SEAs actually reporting?• Example: FY2011 Title I Grants to LEAs (84.010)

• Number of States reporting subgrants to FSRS: 30• Of those, about 50% are within the expected dollar amounts and total

subgrants when compared to prior year GEPA and FY11 Budget allocations.

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Page 21: 25 th  Annual MIS Conference Presenters : Matthew Case,  U.S.  Department of Education

Presenters:Matthew Case, US Department of Education

Nancy J. Smith, DataSmith SolutionsRoss Lemke, AEM Corporation

Back-up Slides

Page 22: 25 th  Annual MIS Conference Presenters : Matthew Case,  U.S.  Department of Education

Thank You.

Page 23: 25 th  Annual MIS Conference Presenters : Matthew Case,  U.S.  Department of Education

• FFATA and its subsequent 2008 amendments seek to increase transparency and improve access to Federal Government information by:

• Requiring information disclosure of entities receiving Federal funding through Federal awards such as Federal contracts and their sub-contracts, and Federal grants and their subawards;

• Requiring disclosure of executive compensation for certain entities;• Requiring the establishment of a publicly available, searchable

website that contains information about each Federal award; and• Requiring agencies to comply with the OMB guidance and

instructions, and to assist OMB in the implementation of the searchable website.

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Page 24: 25 th  Annual MIS Conference Presenters : Matthew Case,  U.S.  Department of Education

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*Source: OMB memo “Open Government Directive – Federal Spending Transparency and Executive Compensation Data Reporting , August 27, 2010 - http://www.whitehouse.gov/sites/default/files/omb/open/Executive_Compensation_Reporting_08272010.pdf