Recovery Act Reportingat Caltech

David MayoDirector of Sponsored Research/ARRA Reporting Coordinator

What is the American Recovery & Reinvestment Act (ARRA)? Signed into law on February 17, 2009 Will provide approximately $787B in total, with $21B

targeted for R&D projects Awards will be made in FY09 and FY10 Funds must be committed by federal agencies by

September 30, 2010 Projects must generally be completed within two years of

award issuance

Who is getting what?

NIH $10.4B NSF $ 3.0B DOE $ 2.0B NOAA $830M NIST $600M NASA $400M DOD $200MNote: amounts are approximate and reflect allocations for R&D

What have we received so far?

R&D Allocation Awarded to Caltech

NIH $10.4B 4.9M NSF $ 3.0B 16.8M DOE $ 2.0B --- NOAA $830M --- NIST $600M --- NASA $400M --- DOD $200M ---

Primary ARRA requirements

Follow standard agency terms and conditions Follow additional ARRA terms and conditions:

Track funds separately – no co-mingling Report quarterly on each award

Reporting period based on calendar quarter Due by 10th day after end of reporting period Separate report for each ARRA award Submitted electronically

What must be reported?

Over 70 data elements, including Recipient Identification

Name and address Congressional district DUNS Place of performance Names and salaries of 5 most highly paid officers

Funding Agency Identification Agency Code Agency Treasury Code

What must be reported?

Over 70 data elements (cont.) Award Identification

Sponsor award number Award date (not begin date) CFDA number Award type (e.g., grant or contract) Award category (e.g., field of research) Award description (e.g., project summary) Project title (from award document)

What must be reported?

Over 70 data elements (cont.) Project Status

% completed (may not use expenditures as a basis...) Funds awarded Funds expended Number of jobs created or retained Description of jobs created or retained

What must be reported?

Over 70 data elements (cont.) Subawards over $25K (may be delegated!)

Name/address/subaward date/DUNS/subaward # Value of subaward and amount paid Place of performance Names and salaries of 5 most highly paid officers Number and description of jobs created or retained

What must be reported?

Over 70 data elements (cont.) Vendors

Name/address/PO #/date/DUNS Description of product or service Amount paid Number and description of jobs created or retained

For each ARRA award, data on subawards and vendors of $25K or less is to be aggregated.

What is the ARRA reporting schedule?

1st through 10th of month after end of reporting period

All required data elements for each award issued or active during previous quarter must be submitted

11th through 21st of month Prime awardees review their submitted data and that of

delegated subawardees Correct own data, and notify subawardees of any

missing or incorrect data Delegated subawardees correct own data

What is the ARRA reporting schedule?

22nd through 29th of month Federal agencies review submitted data and notify

awardees of any missing or incorrect data Awardees correct own data and notify subawardees of

missing or incorrect data Delegated subawardees correct own data

30th of month Submitted data is locked and no changes may be made Submitted data is available to public on Recovery.gov

How are ARRA reports submitted?

By awardee institution, not by individual PIs Electronically - three different methods

Complete a web form for each prime award Complete an Excel-based form for each prime award Generate an XML file from an institutional database

for each prime award

How will Caltech collect the data?

Purchasing Subaward and vendor data elements Require subawardees and vendors to certify to ARRA

requirements prior to issuance of PO Human Resources data

Jobs created/retained; job descriptors OGM Data

Everything else, except...

How will Caltech collect the data?

Principal Investigator For each ARRA award each quarter, PI will be

responsible for two elements: Select one of four values to designate status for the reporting

period: Not started Less than 50% complete More than 50% complete Completed

Confirm that project description is accurate (will be entered by OSR for NSF and NIH awards; OSR will provide guidance to PIs for other sponsors)

FederalReporting.gov

CaltechPurchasing

CaltechHuman

Resources

Vendors

Subawards

Prime AwardeeARRAReporting

Coordinator

CaltechSponsoredResearch

ARRA Data Source Control Points and Information Flow

CaltechPrincipal

Investigator

How will PIs provide ARRA data?

Caltech ARRA Reporting Tool (CART) Available via access.caltech.edu Created by IMSS - simple web-based interface PI will only see own awards Access by all personnel will be based on COGNOS

permissions

When will PIs provide data to CART?

PIs/Division personnel will have access to CART: View information – at all times Edit information – at all times except days 6-31 of

month in which report is due. The status of every active ARRA award must be

updated each quarter – this is required by LAW!!!

What will CART look like?

CART will consist of two screens Listing of all ARRA awards to which the logged in

person has access Caltech Award Number and Funding Source Award Number Award Title and PI Name Previous Project Status Drop-down to enter Current Project Status

Award Detail Award Description Project Description

Access.Caltech

ARRA Listing

ARRA Listing with Project Status

Award Detail

Pre-Defined Values

Job Descriptive titles (mapped from Caltech job titles)

Senior Researcher Postdoctoral/Associate Researcher Technical/Engineering Support Administrative Support Graduate Research Assistant Undergraduate Research Assistant

Product Descriptions for vendor orders (selected by Buyer)

Laboratory Supplies Scientific Equipment Technical Services