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SPA 101
Nancy Duncan
Award Analysis Supervisor
Sponsored Projects Administration
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
This course is intended for “department administrative staff”—including department administrators, division managers, department fiscal managers, department effort coordinators, etc.
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
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 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 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 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”
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
Award Setup Process OverviewFlowchart:
http://www.ohsu.edu/research/rda/spa/docs/applic1.pdf
Account Setup
Award Packet received from pre-award office and routed to appropriate SPA Senior Financial Analyst (SFA)
Award analyzed by SFAAccount(s) setup in OGA by Setup
SpecialistAccounts use POETA String
Project-Org-Expenditure Type-Task-AwardAward: ACDRC0100Project: GCDRC0100A
Transition from Pre-award
Complete Award Packet includes:Copies of final application with budgetCopy of award document (NoGA) from sponsorFully 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 WorksheetCompleted Account Set-up Worksheet
Jellyfish
Jellyfish: Account Setup Tracking Tool available online
http://www.ohsu.edu/research/era/jellyfish.shtml
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 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
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
Indirect and direct charging of costs initiated by DepartmentPayroll Labor ChargesPurchase orders and AP invoicesInternal Billing System (IBS) charges from
campus service centersCost transfers
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
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
Review accounts regularly (monthly-quarterly)OGA InquiryOGA ReportsOGA Data WarehouseHR / Payroll Data Warehouse
Review for unallowable expensesMonitor encumbrancesReview for overdraftsInitiate cost transfers, as needed
Account Management by Dept
Continue to track account balances after project end date
Maintain contact with SPA-assigned SFAReview OGA and Discoverer / Data
Warehouse reports to make sure Payroll transfers have been handled properly
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
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
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 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 reviewsCompletes budget adjustmentsPerforms close-out functions
Cash Management
Processing of all cash receipts and applying them to appropriate OGA Award
Preparation of weekly drawPreparation of quarterly reportsHolly Fox, Cash Management Senior
Financial Analyst
Effort Reporting
Principles of OMB Circular A-21:Federal awards may not be charged more than
the labor expendedGrantees 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 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 effortDepartment effort coordinators work with covered
individuals to review and certifyCertified reports kept on file at SPA for audit
Closeouts
Principal Investigator ResponsibilitiesTechnical reports and any deliverablesPatent disclosuresInvention statementsScientific record retentionOversight of all department responsibilities
Closeouts
Departmental ResponsibilitiesTracking project end dateTimely filling out of reportsRemoval of encumbrancesVerifying appropriateness of expensesNotifying SPA that technical report is sentRecord retention
Closeouts
SPA ResponsibilitiesCoordination with department administratorsRemoval of unallowable expensesPreparation of final financial report (e.g. SF-
269) or final invoiceSubmission of Final Invention Statement
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
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
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
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 101
Questions?
