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SPA 101. Cari Benveniste Award Analysis Manager Sponsored Projects Administration. Introduction . This course examines the overall post-award cycle of grants & contracts and discusses roles & responsibilities. Who Negotiates/Approves Grants & Contracts for OHSU?.

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spa 101

SPA 101

CariBenveniste

Award Analysis Manager

Sponsored Projects Administration

introduction
Introduction
  • This course examines the overall post-award cycle of grants & contracts and discusses roles & responsibilities.
what is the role of spa
What is the role of SPA?
  • SPA is Sponsored Projects Administration, aka the “post-award” office.

http://www.ohsu.edu/xd/research/administration/sponsored-projects-administration/upload/spaorg.pdf

  • Receives executed/awarded grants & contracts from all Pre-Award Offices.
  • Creates accounts in Oracle Grants Accounting (OGA)
  • Prepares financial reports and invoices
  • Invoices for and receives cash from Federal sponsors
  • Manages effort reporting
what is the role of spa5
What is the role of SPA?
  • Oversees subrecipient monitoring
  • Provides Post-Award Education
  • Provides post-award expertise to OHSU’s research community
  • Performs high level oversight of sponsored projects
  • Works to ensure that OHSU adheres to the rules and regulations governing the use of sponsor funds
  • SPA is responsible for the coordination of the annual A-133 audit
transition of grants contracts from pre award
Transition of Grants & Contracts from Pre-Award
  • Award Setup Process Overview
  • Flowchart: http://www.ohsu.edu/research/rda/spa/docs/applic1.pdf
account setup
Account Setup
  • Award setup packet received from the pre-award office and analyzed by the SPA Senior Financial Analyst (SFA)
  • Account(s) setup in OGA by Setup Specialist
  • Accounts use POETA string

Project-Org-Expenditure Type-Task-Award

Award: ACDRC0100

Project: GCDRC0100A

account setup8
Account Setup
  • Notice of Account Setup/Revision sent to Principal Investigator and Project and Award Fiscal Managers
  • Sample document available online: http://www.ohsu.edu/research/rda/spa/spapolicies.shtml
jellyfish
Jellyfish
  • Jellyfish: Account Setup Tracking Tool available online
  • http://www.ohsu.edu/research/era/jellyfish.shtml
oracle grants accounting
Oracle Grants Accounting
  • Oracle Grants Accounting (OGA) is OHSU’s financial system of record for all awards and projects
  • Financial 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 Central Financial Services website:
      • OGA Reports OHSU (*no training required)
      • OGA All Project Inquiry Non-Payroll OHSU
      • OGA All Project Inquiry Payroll OHSU
  • Attend OGA training class: http://trainingforce.ohsu.edu/registration/
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
  • Grant & Contract budgets are separated into Direct and F&A dollars

http://www.ohsu.edu/research/rda/rgc/budgetdev.shtml

  • Direct charging of costs initiated by Department
    • Payroll Labor Charges
    • Purchase orders and AP invoices
    • Internal Billing System (IBS) charges from campus service centers
account activities14
Account Activities
  • Cost Transfers
    • Three types
      • University Adjustment Forms
      • Foundation-Grant Account Cost Transfer form
      • Labor Cost Transfer Forms
    • All forms are found here:

http://www.ohsu.edu/research/rda/forms.shtml#ap

day to day account management by dept
Day to Day Account Management by Dept
  • Review accounts regularly (monthly-quarterly)
  • Review for unallowable expenses
  • Monitor encumbrances
  • Review for overdrafts
  • Initiate cost transfers, as needed
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 high level oversight of account management by department
  • SFA’s are an important resource for department administrators and PI’s - call them with your questions
  • SPA Account Distribution List: http://www.ohsu.edu/research/rda/spa/docs/account_distribution.pdf
account oversight by spa19
Account Oversight by SPA
  • Prepare annual financial reports and monthly cost-reimbursable invoices for sponsors.
    • Examples
  • Performs A-21 unallowable reviews
  • Completes budget adjustments
  • Performs close-out functions
things to keep in mind
Things to Keep in Mind
  • Post-Award activities close to year end:
    • Do you need a new contract from the sponsor?
      • It is the PI’s responsibility to contact the sponsor (typically done for incoming subawards)
    • Do you need to request carryover?
      • Not needed on most NIH grants, but for nearly all other grants & contracts. You can request this after SPA prepares the FSR or Final Invoice. Letter prepared by PI and co-signed by SPA Director.
    • Do you need a No-Cost Extension?
      • Form available on RDA forms page

http://www.ohsu.edu/research/rda/forms.shtml#ap

closeouts
Closeouts
  • Principal Investigator responsibilities
    • Prepare and submit technical reports and any deliverables
    • Patent disclosures
    • Scientific record retention
    • Oversight of all department responsibilities
closeouts22
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
closeouts23
Closeouts
  • SPA Responsibilities
    • Coordination with department administrators
    • Removal of unallowable expenses
    • Preparation of final financial report (e.g. FFR) or final invoice
    • Submission of Final Invention Statement – recently transitioned to TTBD
    • Closing account in OGA
    • Sending SPA records to archives
additional spa functions
Additional SPA Functions
  • Cash Management
  • Subrecipient Monitoring
  • Effort Reporting
  • Education
award revenue cash management
Award Revenue/Cash Management
  • Processing of all cash receipts and applying them to appropriate OGA Award
  • Preparation of weekly draw of funds from the government for federal awards
  • Preparation of quarterly reports
  • Holly (Fox) Lloyd, Award Revenue Supervisor
subrecipient monitoring
Subrecipient Monitoring
  • SPA ‘monitors’ outgoing subwards by:
    • Receiving and processing invoices from subawardee institutions
      • Invoice is forwarded to PI and Fiscal Manager for approval prior to payment.
      • PI review is required to ensure they are satisfied with productivity of subawardee
    • Ensuring awardees have annual audits, and that no ‘findings’ affect OHSU subwards
      • SPA requests audit information annually from all subawardees
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 reporting28
Effort Reporting
  • Effort Certification Statements (ECS) distributed semi-annually by SPA
    • Effort Periods are Jan-Jun and Jul-Dec
    • Example
  • ECS are created for all employees paid from 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
post award education
Post-award Education
  • SPA offers a series of Post-award Education Program (PEP) classes to teach post-award management topics
  • Attend PEP classes to learn more about all the post-award topics
  • For more information, contact Margaret Gardener in RDA, gardnerm@ohsu.edu
rain meetings
RAIN Meetings
  • Research Administration Information Network (RAIN) meetings are held the third Thursday of each month at 9:30am in UHS 8B-60
  • All RDA units present on current research administration topics
  • Archived RAIN meetings are available online http://www.ohsu.edu/xd/research/administration/rain.cfm
spa 10131

SPA 101

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