Transcript Slide 1

University Of Hawai‘i
Office of Research Services
American Recovery and
Reinvestment Act of 2009
(ARRA)
Info Session
September 3, 2009
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Agenda
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Introduction:
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Part I: Regulatory Provisions
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general provisions of ARRA
Part II: Reporting Instructions
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Enactment of ARRA
UH Proposals and Awards
proposed reporting instructions for UH
Introduction: ARRA
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Enacted by Congress in February 2009
Based largely on proposals by President Obama
Intended to provide a stimulus to the U.S. economy
in the wake of the economic downturn
Stimulus package worth $787 billion
Save and create 3.5 million jobs over the next two
years
Introduction:
UH ARRA Proposals and Awards
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As of August 31, 2009 (through ORS) UH
has:
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submitted 124 Proposals, totaling $144 Million
received 39 Awards, totaling $18 Million
Part I – ARRA Regulatory
Provisions
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Quarterly Reports - §1512
Whistleblower Protections - §1553
Davis Bacon Act - §1606
Buy American Requirements - §1605
ARRA Sub-awards
Quarterly Reports
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Why
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Who
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(1) Prime recipients
(2) Sub-recipients who have been delegated the
responsibility for reporting (by the prime)
When
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Provide transparency, oversight and accountability into the
use of funds
Due 10 calendar days after the end of the quarter that
recovery funds were received
First report due Oct. 10, 2009
Quarterly Reports (continued)
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What
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Total amount of funds received; and of that, the amount spent on
projects and activities
List of projects and activities funded by name including
 Description
 Completion Status
 Estimates on jobs created or retained
Details on subcontracts (vendor) or sub-awards (sub-recipients)
 For amounts of $25,000 or greater, detailed information for the
contract or award
 For amounts below $25,000, report aggregate information
Quarterly Reports (continued)
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How
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Prime Recipient will upload data to
www.FederalReporting.gov
Reports will be prepared and made available to the public
on www.Recovery.gov
Quarterly Reports (continued)
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Estimate on Jobs Created or Retained
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A job created is a new position created and filled or an existing unfilled
position that is filled because of ARRA; a job retained is an existing position
that would not have been continued to be filled without ARRA. A job
cannot be counted as both.
Include only direct employment
Express in full-time equivalents (FTE). Take total actual hours worked
during the quarter and divide by number of hours available in a full-time
schedule for the quarter.
Prime recipient must report estimates for all sub-recipients and vendors
that receive $25,000 or more
For description of jobs created, may rely on position titles / descriptions
Quarterly Reports (continued)
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Agency Requirements
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OMB Guidance
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M-09-21, Implementing Guidance for the Reports on Use of
Funds Pursuant to the American Recovery and
Reinvestment Act of 2009 (June 22, 2009) – available on
http://www.whitehouse.gov/omb/memoranda/
Recovery.gov
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Recipients must comply with specific agency reporting
requirements
Recipient Reporting Information
Whistleblower Protections
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Under existing Federal laws, regulations and OMB Cirulars
regulating the expenditure of federal funds, recipients must
manage and expend awarded federal funds appropriately.
ARRA Section 1553 extends investigatory powers of the
Inspector General and other authorities to relevant personnel of
the Recipient’s contractors, subcontractors, or other recipients
of funds pursuant to a contract.
Any employee who alleges “whistleblowing” or disclosing
information about gross mismanagement or waste of stimulus
funds is protected from reprisal (discharge, demotion or other
discrimination).
Whistleblower Protections
(continued)
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Recipients and major contractors should maintain programs
and procedures to manage the risk, to detect and remediate
instances of mismanagement, fraud, waste or unlawful use of
ARRA funds, and properly record and act upon reports.
Davis-Bacon Act
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ARRA Section 1606 mirrors existing requirements of the DavisBacon Act and applies to all ARRA funded construction
projects.
Laborers and mechanics employed by contractors and
subcontractors on ARRA funded projects for construction,
alteration, maintenance or repair (including painting and
decorating) must be paid the prevailing wages in the wage
determination included in the contract.
Contractors and subcontractors must pay wages on a weekly
basis and submit weekly certified payroll records.
ARRA Buy American
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ARRA Section 1605 prohibits the use of recovery funds for a
construction, alteration, maintenance, or repair of a public
building or public work unless all the iron, steel, and
manufactured goods used in the project are produced in the
U.S.
ARRA definition of “manufactured good” centers on the fact of
assembly of the good in the U.S., but before it gets to the
construction site. The origin of the original components is not a
factor. (Parts can be from outside the U.S., but must be
assembled in the U.S.)
ARRA Buy American - Waivers
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Under OMB rules, waivers may be granted based
upon the following:
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Public interest – application of the requirements would be
inconsistent with the public interest, as determined by Agency
Administrator.
Non-availability – Agency Administrator finds that the materials for
which a waiver is requested are not available in the U.S. in
sufficient and reasonably available quantities and of a satisfactory
quality; and
Cost-differential – Agency Administrator finds that use of a
domestic product will increase cost of entire project more than
25%.
ARRA Subawards
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ARRA Terms and Conditions must be flowed
down to any sub-awards
All ARRA sub-awards will be forwarded to
ORS for review to ensure that proper ARRA
terms and conditions are included (i.e. For
NSF, if after 12 months, no allowable
expenditures have been incurred, award may
be terminated.)
Part II – UH Proposed ARRA
Reporting Instructions
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ARRA Reporting Process
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Upon acceptance of the awards, ORS will notify PI and FO if
the award is funded under ARRA
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Awards issued under ARRA – identified in FMIS with “A” in
Report Format on Screen 603
ARRA Reporting Process (Cont.)
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ORS Compliance will update data elements from award documents on
Excel template for each award
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Approximately 2 weeks prior to end of the quarter, PI and FO will
receive an email with the partially updated Excel template for their
awards and a request to provide selected data elements
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Timeline
– If no sub-awards or subcontracts > $25,000, information will be
due by the 3rd calendar day of the month following the quarter end
– If there are sub-awards or subcontracts > $25,000, information will
be due by the 5th calendar day of the month following the quarter
end
ARRA Reporting Process (Cont.)
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By the 10th calendar day of the month following the quarter end, ORS
Compliance will upload the individual award templates to
FederalReporting.gov.
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Between the 11th and 20th calendar day of the month following the
quarter end, ORS Compliance will perform data quality reviews and
may be contacting PIs and FOs for supporting documentation
ORS Website – ARRA Reporting
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Reporting Guidelines
– Responsibilities
– Procedures
– Instructions
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Prime Recipients
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identifying subcontracts (vendor) and obtaining data
– Jobs created / retained
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Sub-recipients
Vendors
Resources – links, Q&A
Award Information Data
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Sub-awards to individuals:
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Payments to vendors < $25K:
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Total number and amount (expenditures)
Sub-awards < $25K (encumbrances):
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Total number and amount (encumbrances)
Total number and amount (exclude individuals)
Project Information Data (Status)
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Project status:
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Based on performance progress reports and other
relevant non-financial performance info
Awards that fund multiple projects/activities
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Not started
<50% completed
>50% completed
Fully completed
Use best estimate on any aggregate data and information
Project Information Data (Jobs)
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Number of jobs created and retained (FTE):
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Cumulative average @ each quarter-end
Average to include:
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Regular UH employees
Overload, Casual, Student help & RCUH employees
Sub-recipient & vendor employees
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Ideally obtain via email or in other written form
– If unable to obtain written documentation; note date, name
& title of person contacted at the sub-recipient or vendor
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Project Information Data (Jobs)
(Cont.)
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Description of jobs (job titles) created and
retained in US & outlying areas
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Outlying areas = Commonwealths, Territories,
and Minor outlying islands (i.e. Johnston, Midway)
Project Information Data
(Infrastructure Awards)
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Modernizing roads, bridges, transit &
waterways
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May have been awarded to the State and/or C&C
governments (UH may be a sub-recipient)
Total Federal ARRA infrastructure
expenditure (total awarded to us)
Contact name, email, phone & address info
Purpose & rationale
Primary Place of Performance
Data
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Address information of “Primary” location
Congressional District – 2 digit code
If various locations, may use reasoning for
determining on or off campus IDC rates
Sub-recipient(sub-awards >=$25K)
Data Reporting
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Sub-recipient information:
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Sub-award information:
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DUNS #
Sub-award # (RCUH PO#)
Sub-recipient Congressional District – 2 digit code
Amount of sub-award
Total sub-award funds disbursed
Sub-award date
Sub-recipient(sub-awards >=$25K)
Data Reporting - continued
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Sub-recipient place of performance
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Sub-recipient Highly Compensated Officers
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Address information
Only required if subrecipient received (1) 80% or
more of annual revenues and $25,000,000 from
Federal awards in the preceding fiscal year and
(2) information is not available to the public.
If UH is the sub-recipient, make sure to follow
prime recipient’s instructions for reporting
Vendor (purchases >=$25K) Data
Reporting
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Purchases >=$25K (individual payment
transactions)
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Sub-award # - optional, leave blank
Vendor DUNS #
Vendor name
Vendor headquarter zip code
Product and service description
Payment amount
REMINDERS
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Contact Sub-recipients and Vendors
(receiving $25,000 or more) early to obtain
required data
Maintain documentation to support data
elements – especially for jobs created /
retained
Expect increased audit scrutiny from external
auditors and internal reviews by ORS
Compliance
QUESTIONS?
Contact:
ORS Compliance Section
[email protected]
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