1. 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 1

2. 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 2

3. Agenda  Introduction / Background  Principal Investigator Information  Additional Detail  Lessons Learned from Q1 3

4. 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 4

5. 5 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 16 th, 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 16 th the UW was ranked 2 nd in total dollars awarded by NIH  The UW ARRA website has experienced over 24,158 hits from all 50 states and 80 countries

6. ORIS Work Group Rick Fenger Rachel Gatlin Jim Kresl* Jason Myers Chris Naslund TBD-Financial Mgmt. OSP Work Group Mike Blackwell Marnie Chinn Lynne Chronister* Carol Rhodes HR Work Group Jessie Garcia* Joe Kittleson Shirley Runkel GCA Work Group Brian Baldwin Janet Bissonette Tami Sadusky* Al Larsen Cissy Liu American Recovery and Reinvestment Act (ARRA) Compliance Jeff Cheek* Lynne Chronister Karen Moe Ted Mordhorst Nona Phillips Jude Van Buren 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 Sponsors Ann Anderson Sue Camber Jeff Cheek Randy Hodgins Mary Lidstrom Economic Impact William Beyers Lynne Chronister Fred Holt Mary Lidstrom* Gary Quarfoth Internal Communications Web/MRAM/ FCR/RAB Lynne Chronister* Jeff Follman Jessie Garcia Jim Kresl Catherine O’Donnell Bob Roseth Tami Sadusky* 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 COORDINATORS Lynne Chronister  Tami Sadusky Non-Research Funding Chiaka Amadi Amy Floit Jeff Follman* Eric Hausman Jim Kresl External Communications On Point Randy Hodgins-- June/July Bob Roseth -- Aug > CORE TEAM Lynne Chronister Jeff Follman Jessie Garcia Joe Kittleson Jim Kresl Tami Sadusky Key=*Team lead Internal Audit Zenaida Shattuck Technical Systems Work Group Brian Baldwin Alex Belov Marnie Chinn* Rachel Gatlin* Vina Lorenzo Jason Myers ORIS Data Analyst Risk Mgmt Andrew Faris GCA ARRA Team Janet Bissonette* Cecilia Pittman Donna Parks Sal Russo Katherine Sidener Dick Simmons Joanne Cobb, Project Manager 6 ORIS Work Group Rick Fenger Rachel Gatlin Jim Kresl* Jason Myers Chris Naslund TBD-Financial Mgmt. OSP Work Group Mike Blackwell Marnie Chinn Lynne Chronister* Carol Rhodes HR Work Group Jessie Garcia* Joe Kittleson Shirley Runkel GCA Work Group Brian Baldwin Janet Bissonette Tami Sadusky* Al Larsen Cissy Liu American Recovery and Reinvestment Act (ARRA) Compliance Jeff Cheek* Lynne Chronister Karen Moe Ted Mordhorst Nona Phillips Jude Van Buren 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 Sponsors Ann Anderson Sue Camber Jeff Cheek Randy Hodgins Mary Lidstrom Economic Impact William Beyers Lynne Chronister Fred Holt Mary Lidstrom* Gary Quarfoth Internal Communications Web/MRAM/ FCR/RAB Lynne Chronister* Jeff Follman Jessie Garcia Jim Kresl Catherine O’Donnell Bob Roseth Tami Sadusky* 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 COORDINATORS Lynne Chronister  Tami Sadusky Non-Research Funding Chiaka Amadi Amy Floit Jeff Follman* Eric Hausman Jim Kresl External Communications On Point Randy Hodgins-- June/July Bob Roseth -- Aug > CORE TEAM Lynne Chronister Jeff Follman Jessie Garcia Joe Kittleson Jim Kresl Tami Sadusky Key=*Team lead Updated 8/28/2015 Internal Audit Zenaida Shattuck Technical Systems Work Group Brian Baldwin Alex Belov Marnie Chinn* Rachel Gatlin* Vina Lorenzo Jason Myers ORIS Data Analyst Risk Mgmt Andrew Faris GCA ARRA Team Janet Bissonette* Cecilia Pittman Donna Parks Sal Russo Katherine Sidener Dick Simmons Suprimo Manabat Joanne Cobb, Project Manager

7. 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 7

8. 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 8

9. 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 9

10. 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 uw-arra@uw.edu if your ARRAuw-arra@uw.edu budget is in a different series ARRA reporting requirements are in addition to current sponsor reporting requirements 10

11. 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 11

12. UW ARRA Reporting Data Mart 12

13. 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 13

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20. 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” 20

21. 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 10 th 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 21

22. 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 22

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24. Reporting Deadlines (PI and Subcontractor)  Check http://www.washington.edu/research/gca/recovery/ for future reporting deadlineshttp://www.washington.edu/research/gca/recovery/ PI Reporting Deadline: September 30, 2010 Subcontractor Reporting Deadline: October 4, 2010 Timeline: 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 SubcontractorsSeptember 29, 2010 PI Reporting deadline September 30, 2010 PI Webform closesOctober 1, 2010 Email to Admin / Dean’s Rep* October 1, 2010 Calls to non-reporting SubcontractorsOctober 1, 2010 Subcontractor Reporting DeadlineOctober 4, 2010 Missed Deadline Email Sent*+ October 4, 2010 Subcontractor Webform closesOctober 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 24

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29. 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 29

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31. 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 31

32. 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. 32

33. 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 33

34. 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, camadi@uw.edu camadi@uw.edu 34

35. 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 jfollman@uw.edu for information on budget set up for any non-research/non-capital ARRA fundingjfollman@uw.edu 35

36. HR Support  Dedicated Staff in Compensation and Employment  Compensation Specialist – Janet Tomita  Recruiter – Kim Avalon  Employment Specialist – Sabina McCoy  Human Resource Consultant Assistant – J ennifer 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 36

37. 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” 37

38. Jobs Reported  Reported in 1 st 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 38

39. Contact and Resources  Team ARRA:uw-arra@uw.eduuw-arra@uw.edu 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/ 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 acadpers@uw.edu  Contact Michael Campbell for review of anticipated positions 206.221.4847 mpcmpbll@uw.edu * One-on-one meetings can be arranged for large awards and/or departments 39

40. 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 40