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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.

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

   Introduction / Background

   Principal Investigator Information

   Additional Detail

   Lessons Learned from Q1

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

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

                   American Recovery and Reinvestment Act (ARRA)                                              Joanne Cobb, Project Manager

                                                                                                                        Campus Advisory
     Compliance                               COORDINATORS                               Sponsors                       Lynne Chronister*
     Jeff Cheek*                                                                      Ann Anderson
                                       Lynne Chronister  Tami Sadusky                                                     Ron Boerger
  Lynne Chronister                                                                     Sue Camber                           Kathy Bracy
     Karen Moe                                                                          Jeff Cheek                         Elroy Carlson
   Ted Mordhorst                                  CORE TEAM                           Randy Hodgins                     Monica Fawthrop
    Nona Phillips                                                                     Mary Lidstrom                       Mary Heusner
                                                Lynne Chronister
   Jude Van Buren                                                                                                        Christene James
                                                   Jeff Follman
                                                  Jessie Garcia                                                            Barb Lovseth
  Economic Impact                                                                                                      Catherine O’Donnell
                                                  Joe Kittleson
   William Beyers                                                                                                           Vicky Palm
                                                    Jim Kresl
  Lynne Chronister                                                                                                        Tami Sadusky*
                                                 Tami Sadusky                                                                Brian Tyl
     Fred Holt
   Mary Lidstrom*
   Gary Quarfoth                                                                                                         Reporting Team
                                                                                                                          Brian Baldwin
   Non-Research                                                                                                           Mike Blackwell
                                         HR Work Group     GCA Work Group        GCA ARRA Team                             Marnie Chinn
                                          Jessie Garcia*    Brian Baldwin       Janet Bissonette*                        Bill Christensen
   Chiaka Amadi
                                           Joe Kittleson   Janet Bissonette       Cecilia Pittman                       Lynne Chronister*
     Amy Floit
                                          Shirley Runkel    Tami Sadusky*          Donna Parks                             Mark Conley
   Jeff Follman*
                                                              Al Larsen             Sal Russo                              Jeff Follman
   Eric Hausman
                                                               Cissy Liu        Katherine Sidener                          Jessie Garcia
      Jim Kresl                            ORIS Work
                                              Group                               Dick Simmons                             Rachel Gatlin
                                           Rick Fenger     OSP Work Group       Suprimo Manabat                           Dennis Gawlik
                                         Rachel Gatlin       Mike Blackwell                                                Joe Kittleson
                                            Jim Kresl*       Marnie Chinn                                                     Jim Kresl
                                          Jason Myers      Lynne Chronister*                                               Jason Myers
                                         Chris Naslund       Carol Rhodes                                                   Bobbie Olin
   Lynne Chronister*                                                                            Technical Systems
                                         TBD-Financial                                                                      Hoang Ong
      Jeff Follman                                                                                 Work Group
                                              Mgmt.                                                                        Carol Rhodes
      Jessie Garcia                                                                               Brian Baldwin
                                                                           External                                       Tami Sadusky*
        Jim Kresl                                                                                   Alex Belov
                                                                       Communications                                         Cissy Liu
  Catherine O’Donnell                                                                             Marnie Chinn*
                                                                           On Point                                      GCA ARRA Team
       Bob Roseth                                                                                 Rachel Gatlin*
     Tami Sadusky*             Internal Audit      Risk Mgmt            Randy Hodgins--
                                                    Andrew                 June/July               Vina Lorenzo
                                  Zenaida                                                          Jason Myers
                                  Shattuck            Faris            Bob Roseth--Aug >
Updated                                                                                         ORIS Data Analyst
5/14/2012          Key=*Team                                                                                                            6
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
        Submit quarterly reports to
        Implement internal control measures as appropriate to ensure
         accurate and complete information

What is Different About ARRA Funds?
    Unprecedented levels of transparency, oversight and
    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

The website has been setup to facilitate the review of
     “where” and “how” ARRA funds are being implemented

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

Principal Investigator’s Responsibilities
ARRA Compliance Expectations:
    Funds should be spent in a timely fashion and reported
    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
ARRA Funds are Monitored in the 20-xxxx Budget Series:
    Contact Team ARRA at if your ARRA
     budget is in a different series
ARRA reporting requirements are in addition to current sponsor
reporting requirements

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

UW ARRA Reporting Data Mart

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

Progress Reports
Progress reports should be short, concise and for the current
reporting quarter
     Progress reports will be made available on for
      the general public to view
     Remember to use generic language whenever possible
         PI narrative is limited to 2000 characters including spaces and
     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

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

UW as a Sub-Recipient*
   Prime** will decide who reports and what needs to be
   The UW reports data elements to the Prime**, if so
   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

Reporting Deadlines (PI and Subcontractor)
 PI Reporting Deadline:                                  September 30, 2010
 Subcontractor Reporting Deadline:                       October 4, 2010

              First email notification (PI)              September 1, 2010
              First email notification (Subcontractor)   September 13, 2010
              Reminder PI email notification             September 15, 2010
              Team ARRA contacts PI*                     September 28, 2010
              Reminder email to Subcontractors           September 29, 2010
              PI Reporting deadline                      September 30, 2010
              PI Webform closes                          October 1, 2010
              Email to Admin / Dean’s Rep*               October 1, 2010
              Calls to non-reporting Subcontractors      October 1, 2010
              Subcontractor Reporting Deadline           October 4, 2010
              Missed Deadline Email Sent*+               October 4, 2010
              Subcontractor Webform closes               October 5, 2010
              ARRA grants shut down*                     October 6, 2010
              Federal Data Validation Starts             October 6, 2010
              Report Submission                          October 8, 2010

 *This is sent to Non-Reporters ONLY
 +Email sent to PI, College Admin / Dean’s Rep

 Check for future reporting deadlines

                                                                                          24   25
Ramifications of Non-Compliance
(non-reporting or mismanagement of award)
   Termination of award(s)
   Return of funds to sponsor on an individual and institutional
   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
   Inaccurate and uncorrected data will be made public on
   If you have not submitted your report(s) on time, your award
    will be shut down

More Details….

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

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
    All payment of $25,000 or less will be aggregated and reported
     separately, including the number of vendors comprising the
     aggregated total amount.

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

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,

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 for information
  on budget set up for any non-research/non-capital ARRA

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

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

Jobs Reported
   Reported in 1st Qtr report to – 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

Contact and Resources
Team ARRA:
     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:

 Office of Sponsored Programs (OSP) Assistance
      Jannabeth Bannister – 206.543.4043
 HR Assistance
      Contact an academic human resources specialist
          • 206.543.5630
      Contact Michael Campbell for review of anticipated positions
          • 206.221.4847

* One-on-one meetings can be arranged for large awards and/or departments

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