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SPA 101. Nancy Duncan Award Analysis Supervisor Sponsored Projects Administration. Introduction . SPA 101, Project Management Responsibilities “Who Does What”

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spa 101

SPA 101

Nancy Duncan

Award Analysis Supervisor

Sponsored Projects Administration

introduction
Introduction
  • SPA 101, Project Management Responsibilities
  • “Who Does What”
  • This course examines the post-award cycle and explores the distribution of responsibilities and oversight within the Sponsored Projects Administration (SPA) office
audience
Audience
  • This course is intended for “department administrative staff”—including department administrators, division managers, department fiscal managers, department effort coordinators, etc.
what is spa
What is SPA?
  • SPA is Sponsored Projects Administration, the “post-award” office that advises and assists Principal Investigators (PIs) and department administrative staff in the fiscal management of sponsored project awards
stewardship agreement
Stewardship Agreement
  • Working with constituency groups, SPA has created a Stewardship Agreement document to clarify roles and responsibilities related to the management and oversight of sponsored projects
  • Stewardship Agreement available online: http://ozone.ohsu.edu/research/rda/spa/docs/paf0407.pdf
spa as part of rda
SPA as part of RDA
  • SPA is one of eight separate units in Research Development & Administration (RDA) under the direction of the Vice President for Research
  • RDA comprises eight separate units with distinct roles and responsibilities
spa provides oversight
SPA Provides Oversight
  • SPA acts as the institutional intermediary between the OHSU community (PI’s, depts, etc) and the external agencies (NIH, NSF, etc) that provide funding for sponsored projects
  • SPA provides oversight for PI and department level management of sponsored project expenditures
spa protects ohsu
SPA Protects OHSU
  • SPA invoices (or draws funds from) sponsors based on expenditures
  • SPA makes sure OHSU adheres to the rules and regulations governing the use of sponsor funds
  • SPA handles financial reporting to sponsors
  • SPA coordinates the annual A-133 audit
spa as post award
SPA as “Post-Award”
  • For SPA, as the “post-award” office, the grants life cycle starts at Award Setup
  • Three pre-award offices:
    • Technology Transfer and Business Development (TTBD)
    • Clinical Trials Office (CTO)
    • Research Grants and Contracts (RGC)
transition from pre award
Transition from Pre-Award
  • Award Setup Process Overview
  • Flowchart: http://www.ohsu.edu/research/rda/spa/docs/applic1.pdf
account setup
Account Setup
  • Award Packet received from pre-award office and routed to appropriate SPA Senior Financial Analyst (SFA)
  • Award analyzed by SFA
  • Account(s) setup in OGA by Setup Specialist
  • Accounts use POETA String

Project-Org-Expenditure Type-Task-Award

Award: ACDRC0100

Project: GCDRC0100A

transition from pre award1
Transition from Pre-award
  • Complete Award Packet includes:
    • Copies of final application with budget
    • Copy of award document (NoGA) from sponsor
    • Fully completed Proposed Project Questionnaire (PPQ)
    • Institutional Review Board (IRB) approval and/or Institutional Animal Care and Use Committee (IACUC) approval, if applicable
    • Fully completed Application Worksheet
    • Completed Account Set-up Worksheet
jellyfish
Jellyfish
  • Jellyfish: Account Setup Tracking Tool available online
  • http://www.ohsu.edu/research/era/jellyfish.shtml
setup questions
Setup Questions

After reviewing Jellyfish for status:

  • Direct any post-award account setup questions to the appropriate pre-award office representative or to the SPA-assigned Senior Financial Analyst (SFA)
  • RDA Account Distribution List: http://www.ohsu.edu/research/rda/documents/RDA%20Account%20Distribution%20List.pdf
account setup1
Account Setup
  • Award and Project(s) set up in OGA (Oracle Grants Accounting)
  • Notice of Account Setup/Revision sent to Principal Investigator and appropriate department contacts
  • Sample documents available online: http://www.ohsu.edu/research/rda/spa/spapolicies.shtml
post award activities
Post-award Activities
  • A one-page Post-award Responsibilities Flow Chart is available on the SPA website: http://www.ohsu.edu/research/rda/spa/docs/sparespflowchart.pdf
account activities
Account Activities
  • Indirect and direct charging of costs initiated by Department
    • Payroll Labor Charges
    • Purchase orders and AP invoices
    • Internal Billing System (IBS) charges from campus service centers
  • Cost transfers
oracle grants accounting
Oracle Grants Accounting
  • Oracle Grants Accounting (OGA) is OHSU’s system of record for all awards and projects
  • Many grant management reports are available through OGA and the OGA Data Warehouse (Discoverer)
  • Grant spending should be monitored by PI’s (with dept admin help) on a monthly to quarterly basis
oga access
OGA Access
  • Request OGA access using the online Oracle Financials Access form found on the Administrative Information Systems (AIS) website: http://ozone.ohsu.edu/ais/aisAccessForms.shtml
      • OGA Reports OHSU (*no training required)
      • OGA All Project Inquiry Non-Payroll OHSU
      • OGA All Project Inquiry Payroll OHSU
  • Attend OGA training class: http://ozone.ohsu.edu/ais/training/
account management by dept
Account Management by Dept
  • Review accounts regularly (monthly-quarterly)
    • OGA Inquiry
    • OGA Reports
    • OGA Data Warehouse
    • HR / Payroll Data Warehouse
  • Review for unallowable expenses
  • Monitor encumbrances
  • Review for overdrafts
  • Initiate cost transfers, as needed
account management by dept1
Account Management by Dept
  • Continue to track account balances after project end date
  • Maintain contact with SPA-assigned SFA
  • Review OGA and Discoverer / Data Warehouse reports to make sure Payroll transfers have been handled properly
pi review of expenditures
PI Review of Expenditures
  • PI’s should work with department staff to be provided with monthly to quarterly financial reports
  • The PI is ultimately responsible to ensure the appropriateness of all project expenditures and to ensure that the project functions within total awarded amounts
pi responsibilities
PI Responsibilities
  • The Principal Investigator (PI) is the individual responsible for overall programmatic and managerial conduct of a sponsored project
  • PI retains primary oversight responsibility even for delegated tasks
  • The PI and dept staff should maintain open communication about sponsored project management issues
account oversight by spa
Account Oversight by SPA
  • SPA SFA’s have oversight of account management by department
  • SFA’s are an important resource for department administrators—call them with your questions
  • SPA Account Distribution List: http://www.ohsu.edu/research/rda/spa/docs/account_distribution.pdf
account oversight by spa1
Account Oversight by SPA
  • Prepare annual financial status reports (FSR) and monthly cost-reimburseable Invoices for sponsors. Many FSRs are for internal purposes only!
  • Performs A-21 unallowable reviews
  • Completes budget adjustments
  • Performs close-out functions
cash management
Cash Management
  • Processing of all cash receipts and applying them to appropriate OGA Award
  • Preparation of weekly draw
  • Preparation of quarterly reports
  • Holly Fox, Cash Management Senior Financial Analyst
effort reporting
Effort Reporting
  • Principles of OMB Circular A-21:
    • Federal awards may not be charged more than the labor expended
    • Grantees must meet acceptable levels of documentation and accountability for effort in relation to salary and wages
    • Penalties for non-compliance are severe
effort reporting at ohsu
Effort Reporting at OHSU
  • Effort Certification Statements (ECS) distributed semi-annually
  • ECS are created for all employees paid (at least in part) on federal awards and generated according to paid effort
  • Certified effort should equal actual effort
  • Department effort coordinators work with covered individuals to review and certify
  • Certified reports kept on file at SPA for audit
effort certification
Effort Certification
closeouts
Closeouts
  • Principal Investigator Responsibilities
    • Technical reports and any deliverables
    • Patent disclosures
    • Invention statements
    • Scientific record retention
    • Oversight of all department responsibilities
closeouts1
Closeouts
  • Departmental Responsibilities
    • Tracking project end date
    • Timely filling out of reports
    • Removal of encumbrances
    • Verifying appropriateness of expenses
    • Notifying SPA that technical report is sent
    • Record retention
closeouts2
Closeouts
  • SPA Responsibilities
    • Coordination with department administrators
    • Removal of unallowable expenses
    • Preparation of final financial report (e.g. SF-269) or final invoice
    • Submission of Final Invention Statement
further resources
Further Resources
  • Post-award Education Program (PEP) classes
  • Sponsored Projects Information Network (SPIN) meetings
  • SPA Website: http://www.ohsu.edu/research/rda/spa/index.shtml
post award education
Post-award Education
  • SPA offers a series of ten Post-award Education Program (PEP) classes to teach “department administrative staff” about post-award management topics
  • Attend PEP classes to learn more about all the post-award topics
  • For more information, contact SPA Education at [email protected]
spin meetings
SPIN Meetings
  • Sponsored Projects Information Network (SPIN) meetings are held the third Thursday of each month at 9:30am in UHS 8B-60
  • SPA, RGC, and other RDA units present on current sponsored projects topics
  • Archived SPIN meetings and newsletters are available online: http://www.ohsu.edu/research/rda/spa/spin.shtml
spa stewardship agreement
SPA Stewardship Agreement
  • Similar to a “Service Level Understanding” or SLU, the SPA Stewardship Agreement documents shared roles and responsibilities in the management and oversight of sponsored projects.
  • Complete SPA Stewardship Agreement available online: http://ozone.ohsu.edu/research/rda/spa/docs/paf0407.pdf
  • Summary documents for school/unit, PI, and department responsibilities
spa 1011

SPA 101

Questions?

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