Recovery Act Reporting at Caltech

1. Recovery Act Reportingat Caltech David Mayo Director of Sponsored Research/ARRA Reporting Coordinator

2. 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

3. Who is getting what? • NIH $10.4B • NSF $ 3.0B • DOE $ 2.0B • NOAA $830M • NIST $600M • NASA $400M • DOD $200M Note: amounts are approximate and reflect allocations for R&D

4. 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 ---

5. 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

6. 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

7. 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)

8. 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

9. 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

10. 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.

11. 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

12. 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

13. 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

14. 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...

15. 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)

16. ARRA Data Source Control Points and Information Flow CaltechHumanResources CaltechPurchasing Vendors Subawards ARRAReportingCoordinator Prime Awardee FederalReporting.gov CaltechSponsoredResearch Caltech Principal Investigator

17. 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

18. 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!!!

19. 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

20. Access.Caltech

21. ARRA Listing

22. ARRA Listing with Project Status

23. Award Detail

24. 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