Transcript AMERICAN RECOVERY & REINVESTMENT ACT (ARRA)

AMERICAN RECOVERY &
REINVESTMENT ACT
(ARRA)
In the face of an economic crisis, the magnitude of which we
have not seen since the Great Depression, the American
Recovery and Reinvestment Act represents a strategic and
significant investment in our country’s future.
-Recovery.gov
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Session Presenters:
 Lynne U. Chronister
Assistant Vice Provost – Office of Sponsored Programs
 Tami Sadusky
Executive Director – Grant and Contract Accounting
 Jessie Garcia
Assistant Vice President – Campus HR Operations
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Agenda
 Introduction / Background
 Principal Investigator Information
 Additional Detail
 Lessons Learned from Q1
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What is ARRA?
 Signed into law by President Obama on Feb. 17, 2009
 Provides $787 billion in additional federal funding in order to
stimulate the United States economy
 Directs investments in health, science, education,
infrastructure, renewable energy, and tax incentives
 Intended to create and retain more than 3.5 million private
sector jobs over the next two years
 We anticipate many awards arriving at the UW throughout
the remainder of 2009 and 2010
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ARRA Success!
As a result of the incredible research being conducted by UW
Primary Investigators:
 The UW anticipates receiving up to $300 million within the
next two years
 As of February 16th, the UW had received confirmation of
408 research awards for a total of $190.31 million from
64 sponsors due to ARRA funding
 When comparing our ARRA success to other academic
research institutions, as of February 16th the UW was
ranked 2nd in total dollars awarded by NIH
 The UW ARRA website has experienced over 24,158 hits
from all 50 states and 80 countries
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American Recovery and Reinvestment Act (ARRA)
Compliance
Jeff Cheek*
Lynne Chronister
Karen Moe
Ted Mordhorst
Nona Phillips
Jude Van Buren
COORDINATORS
Lynne Chronister  Tami Sadusky
CORE TEAM
Lynne Chronister
Jeff Follman
Jessie Garcia
Joe Kittleson
Jim Kresl
Tami Sadusky
Economic Impact
William Beyers
Lynne Chronister
Fred Holt
Mary Lidstrom*
Gary Quarfoth
Non-Research
Funding
Chiaka Amadi
Amy Floit
Jeff Follman*
Eric Hausman
Jim Kresl
HR Work Group
Jessie Garcia*
Joe Kittleson
Shirley Runkel
Internal
Communications
Web/MRAM/
FCR/RAB
Lynne Chronister*
Jeff Follman
Jessie Garcia
Jim Kresl
Catherine O’Donnell
Bob Roseth
Tami Sadusky*
Updated
7/20/2015
Key=*Team
lead
ORIS Work
Group
Rick Fenger
Rachel Gatlin
Jim Kresl*
Jason Myers
Chris Naslund
TBD-Financial
Mgmt.
Internal Audit
Zenaida
Shattuck
GCA Work Group
Brian Baldwin
Janet Bissonette
Tami Sadusky*
Al Larsen
Cissy Liu
OSP Work Group
Mike Blackwell
Marnie Chinn
Lynne Chronister*
Carol Rhodes
Risk Mgmt
Andrew
Faris
Joanne Cobb, Project Manager
Sponsors
Ann Anderson
Sue Camber
Jeff Cheek
Randy Hodgins
Mary Lidstrom
GCA ARRA Team
Janet Bissonette*
Cecilia Pittman
Donna Parks
Sal Russo
Katherine Sidener
Dick Simmons
Suprimo Manabat
External
Communications
On Point
Randy Hodgins-June/July
Bob Roseth--Aug >
Technical Systems
Work Group
Brian Baldwin
Alex Belov
Marnie Chinn*
Rachel Gatlin*
Vina Lorenzo
Jason Myers
ORIS Data Analyst
Campus Advisory
Lynne Chronister*
Ron Boerger
Kathy Bracy
Elroy Carlson
Monica Fawthrop
Mary Heusner
Christene James
Barb Lovseth
Catherine O’Donnell
Vicky Palm
Tami Sadusky*
Brian Tyl
Reporting Team
Brian Baldwin
Mike Blackwell
Marnie Chinn
Bill Christensen
Lynne Chronister*
Mark Conley
Jeff Follman
Jessie Garcia
Rachel Gatlin
Dennis Gawlik
Joe Kittleson
Jim Kresl
Jason Myers
Bobbie Olin
Hoang Ong
Carol Rhodes
Tami Sadusky*
Cissy Liu
GCA ARRA Team
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Prime Recipient’s Responsibilities
The Act imposes specific reporting and funds management
requirements on all awards funded with ARRA funds
 It is critical that the Recovery Act requirements are
successfully met
 The prime recipient is ultimately responsible for the reporting
of all data required by Section 1512 of the Recovery Act
 Initiate appropriate data collection and reporting procedures
to assure Recovery Act requirements are met in a timely and
effective manner
 Review and correct all data supplied by sub-recipient and
vendors
 Submit quarterly reports to FederalRecovery.gov
 Implement internal control measures as appropriate to ensure
accurate and complete information
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What is Different About ARRA Funds?
 Unprecedented levels of transparency, oversight and
accountability
 Aggressive expenditure requirements (ARRA funds must be
used consistently)
 No co-mingling of ARRA funds and non-ARRA funds
 Quarterly progress reporting of ARRA fund expenditures, job
creation and retention statistics
 Considerable ARRA reporting requirements for the State of
Washington
The Recovery.gov website has been setup to facilitate the review of
“where” and “how” ARRA funds are being implemented
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Not “Business as Usual”
 Generally funds must be spent in two years
 Must spend the ARRA funds AND the non-ARRA funds at an
appropriate rate (we can’t “hoard” funds for a rainy day)
 International spending without prior approval is limited to $25,000 or
10% of the award, whichever is less
 You may hire foreign graduate students and post-docs
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Principal Investigator’s Responsibilities
ARRA Compliance Expectations:
 Funds should be spent in a timely fashion and reported
quarterly
 Cannot co-mingle existing funds with ARRA funds
 Compliance with sponsor and UW policies and procedures
 Cost transfers between ARRA and non-ARRA funds will be
monitored closely to ensure compliance with ARRA
regulations
ARRA Funds are Monitored in the 20-xxxx Budget Series:
 Contact Team ARRA at [email protected] if your ARRA
budget is in a different series
ARRA reporting requirements are in addition to current sponsor
reporting requirements
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Principal Investigator’s Responsibilities
(cont’d)
The PI must report on two data elements each quarter:
 The percentage of project completion
 Description of quarterly activities / milestones
 Grants: description of the overall purpose and expected
outcomes for the award and for first-tier sub-awards
 Contracts: description of significant services performed
and/or supplies delivered
The UW will consolidate all data elements from the Data Mart and
other university sources and submit the report to
FederalReporting.gov
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UW ARRA Reporting Data Mart
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99 Unique Data Elements in Federal Report
 PIs and sub-contractors enter two data elements through a
simple web-based form
 The remaining data elements are filed from existing system data
or from a small amount of information entered by central offices
 Web interfaces for support team
 Web interfaces for non-research team
 Web interfaces for Human Resources
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Progress Reports
Progress reports should be short, concise and for the current
reporting quarter
 Progress reports will be made available on Recovery.gov for
the general public to view
 Remember to use generic language whenever possible
 PI narrative is limited to 2000 characters including spaces and
punctuation
 Focus on your short term progress
 What has been accomplished in the current reporting period?
 Whenever possible, include potential long term or quality of
life outcomes
 If there is a possibility that the research could result in a protectable
Intellectual Property (IP), be careful to ensure that the progress
report does not contain any information that could constitute “public
disclosure”
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Sub-Awards
UW Issues a Sub-Award (Sub-Contract)
 UW will do the federal reporting
 Sub-recipient must send reporting elements to UW five days prior to
the 10th of the reporting month
 Two missed reporting periods and UW may terminate sub-award
 Extensive reporting elements for sub-awardees
 Must “quick start” sub-awards
 Sub-awardees will be given a UW NetID by the Office of Sponsored
Programs (OSP) to enter non-scientific report
 Be sure “milestones” are correlated with prime report
 Scientific / Technical Project Report must be submitted by UW PI
 UW PI will be notified if a sub-awardee report is late
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Sub-Recipient
UW as a Sub-Recipient*
 Prime** will decide who reports and what needs to be
reported
 The UW reports data elements to the Prime**, if so
designated
 Reporting will occur from the Data Mart and will be submitted or
overseen by Team ARRA
* Sub-recipient = Federal funding flows through another institution
** Prime = Recipient of federal funding
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Reporting Deadlines (PI and Subcontractor)
PI Reporting Deadline:
Subcontractor Reporting Deadline:
September 30, 2010
October 4, 2010
Timeline:
First email notification (PI)
First email notification (Subcontractor)
Reminder PI email notification
Team ARRA contacts PI*
Reminder email to Subcontractors
PI Reporting deadline
PI Webform closes
Email to Admin / Dean’s Rep*
Calls to non-reporting Subcontractors
Subcontractor Reporting Deadline
Missed Deadline Email Sent*+
Subcontractor Webform closes
ARRA grants shut down*
Federal Data Validation Starts
Report Submission
September 1, 2010
September 13, 2010
September 15, 2010
September 28, 2010
September 29, 2010
September 30, 2010
October 1, 2010
October 1, 2010
October 1, 2010
October 4, 2010
October 4, 2010
October 5, 2010
October 6, 2010
October 6, 2010
October 8, 2010
*This is sent to Non-Reporters ONLY
+Email sent to PI, College Admin / Dean’s Rep
 Check http://www.washington.edu/research/gca/recovery/ for future reporting deadlines
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http://www.recovery.gov/Pages/home.aspx
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Ramifications of Non-Compliance
(non-reporting or mismanagement of award)
 Termination of award(s)
 Return of funds to sponsor on an individual and institutional
level
 Debarment from receiving future funds on an individual and
institutional level
 Impairment to the UW’s reputation and credibility
 The Recovery Act’s transparency requirement will make the
UW’s non-compliance visible to national/international
constituents
 Inaccurate and uncorrected data will be made public on
www.Recovery.gov
 If you have not submitted your report(s) on time, your award
will be shut down
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More Details….
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Procurement Services
Early Purchasing Involvement
 Proactively working with Team ARRA to provide purchasing guidance
 Research special requirements – e.g. “Buy American”
 Assist with timely expenditures (please notify Purchasing staff of any
large purchases)
Purchasing Staff Preparedness
 Easy identification of ARRA funded purchase requests
 All ARRA orders treated as top priority expedites
Reporting Supplier Spend
 Tracking key data elements from Vendors
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Procurement Services (cont’d)
 Vendor Reporting
 Vendor reporting will be required on any single payment
greater than $25,000 made by either the prime recipient or the
sub-recipient.
 All payment of $25,000 or less will be aggregated and reported
separately, including the number of vendors comprising the
aggregated total amount.
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ARRA Budget Numbers for Multiple Year Awards
 ARRA awards that are funded annually but have maturity
dates greater than one year will use the SAME 20-xxxx
budget number for each year of funding
 This will mitigate tracking errors and avoid miscalculating
ARRA award totals
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Stimulus Funding Supporting Capital
Construction Projects
Non-Research ARRA Construction Funding (i.e., lab renovations)
 Awarded to the UW by Federal or State agencies
 The UW is required to collect certain data (such as jobs created)
and ensure that certain requirements (such wage rates) are met
What Departments Need to Do
 Identify ARRA funded projects
 Designate ARRA as the funding source in the University Project
Tracking System (a 40-xxxx budget with a 661 program category
will be set up to designate ARRA funding
 CPO will handling the data gathering and reporting
 Chiaka Amadi, [email protected]
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Other Non-Research/Non-Capital ARRA
Projects at the UW
Certain Student Loan and Scholarship Programs funded by ARRA
(i.e., Nursing Loan Program)
 Reporting requirements same as other ARRA funds
 21-xxxx series used to track activity
State Education Stabilization Fund
 Included in UW’s Annual appropriation
 Reporting handled centrally, no impact on campus departments
 Please contact Jeff Follman at [email protected] for information
on budget set up for any non-research/non-capital ARRA
funding
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HR Support
 Dedicated Staff in Compensation and Employment
 Compensation Specialist – Janet Tomita
 Recruiter – Kim Avalon
 Employment Specialist – Sabina McCoy
 Human Resource Consultant Assistant – Jennifer Mallahan
 Employment Manager – Michael Campbell
 Accelerated Hiring Process
 Early Identification of Positions
 Tools Developed for Review by Compensation
 Use Candidate Banks for Rapid Referral
• Extensive recruitment of alumni, recent graduates and
targeted disciplines
• Use of newly developed search tool for selecting top group
for referral
• Ongoing virtual job fairs for renewing of candidate pools
• Can add candidates at any time for consideration
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HR Support
 Reporting of Jobs
 Minimal Direction from Federal Government
 Require one number reported for both jobs retained and
created per award
 Number is a cumulative report of FTEs for the entire
reporting period and also converted into hours
 Distinguish retained and new for internal purposes
 Process
 Run from Payroll Data
 % Distribution on 20-xxxx or other ARRA budgets
 If EID was previously on payroll, then reported as
“retained”
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Jobs Reported
 Reported in 1st Qtr report to Recovery.gov – 9/30/09
Methodology - All ARRA budget actual distribution productive hours added
together then divided by the total number of possible productive hours in
the quarter = FTE. Only exception is for employees paid on stipend—
when they are paid on stipend we called them .5 FTE
 Newly Created – 7.58 FTE
 Retained – 51.201 FTE
For Internal Use
 Headcount numbers – 9/30/09
 Newly Created 26
 Retained 356
 Headcount numbers – Updated 10/30/09
 Newly Created 72
 Retained 738
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Contact and Resources
Team ARRA:
[email protected]
Compliance Analysts
 Donna Parks – 206.685.2960
 Cecilia Pittman – 206.616.9009
 Sal Russo – 206.685.4017
 Katherine Sidener – 206.616.7664
 Dick Simmons – 206.685.4868
 Suprimo Manabat – 206.543.8941
Project Lead
Janet Bissonette – 206.685.1345
UW ARRA web site:
http://www.washington.edu/research/gca/recovery/
 Office of Sponsored Programs (OSP) Assistance
 Jannabeth Bannister – 206.543.4043
 HR Assistance
 Contact an academic human resources specialist
• 206.543.5630
• [email protected]
 Contact Michael Campbell for review of anticipated positions
• 206.221.4847
• [email protected]
* One-on-one meetings can be arranged for large awards and/or departments
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I hope this investment will ignite our imagination
once more, spurring new discoveries and
breakthroughs that will make our economy
stronger, our nation secure, and our planet
safer for our children.
-President Obama – February 17, 2009
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