SPA 101 Nancy Duncan Award Analysis Supervisor Sponsored Projects Administration
Introduction  <ul><li>SPA 101, Project Management Responsibilities </li></ul><ul><li>“ Who Does What” </li></ul><ul><li>Th...
Audience <ul><li>This course is intended for “department administrative staff”—including department administrators, divisi...
What is SPA? <ul><li>SPA is Sponsored Projects Administration, the “post-award” office that advises and assists Principal ...
Stewardship Agreement <ul><li>Working with constituency groups, SPA has created a Stewardship Agreement document to clarif...
SPA as part of RDA <ul><li>SPA is one of eight separate units in Research Development & Administration (RDA) under the dir...
SPA Provides Oversight <ul><li>SPA acts as the institutional intermediary between the OHSU community (PI’s, depts, etc) an...
SPA Protects OHSU <ul><li>SPA invoices (or draws funds from) sponsors based on expenditures </li></ul><ul><li>SPA makes su...
SPA as “Post-Award” <ul><li>For SPA, as the “post-award” office, the grants life cycle starts at Award Setup </li></ul><ul...
Transition from Pre-Award <ul><li>Award Setup Process Overview </li></ul><ul><li>Flowchart:  http://www.ohsu.edu/research/...
Account Setup <ul><li>Award Packet received from pre-award office and routed to appropriate SPA Senior Financial Analyst (...
Transition from Pre-award <ul><li>Complete Award Packet includes: </li></ul><ul><ul><li>Copies of final application with b...
Jellyfish <ul><li>Jellyfish: Account Setup Tracking Tool available online </li></ul><ul><li>http://www.ohsu.edu/research/e...
Setup Questions <ul><li>After reviewing Jellyfish for status: </li></ul><ul><li>Direct any post-award account setup questi...
Account Setup <ul><li>Award and Project(s) set up in OGA (Oracle Grants Accounting) </li></ul><ul><li>Notice of Account Se...
Post-award Activities <ul><li>A one-page Post-award Responsibilities Flow Chart is available on the SPA website:  http://w...
Account Activities <ul><li>Indirect and direct charging of costs initiated by Department </li></ul><ul><ul><li>Payroll Lab...
Oracle Grants Accounting <ul><li>Oracle Grants Accounting (OGA) is OHSU’s system of record for all awards and projects </l...
OGA Access <ul><li>Request OGA access using the online Oracle Financials Access form found on the Administrative Informati...
Account Management by Dept <ul><li>Review accounts regularly (monthly-quarterly) </li></ul><ul><ul><li>OGA Inquiry </li></...
Account Management by Dept <ul><li>Continue to track account balances after project end date </li></ul><ul><li>Maintain co...
PI Review of Expenditures <ul><li>PI’s should work with department staff to be provided with monthly to quarterly financia...
PI Responsibilities <ul><li>The Principal Investigator (PI) is the individual responsible for overall programmatic and man...
Account Oversight by SPA <ul><li>SPA SFA’s have oversight of account management by department </li></ul><ul><li>SFA’s are ...
Account Oversight by SPA <ul><li>Prepare annual financial status reports (FSR) and monthly cost-reimburseable Invoices for...
Cash Management <ul><li>Processing of all cash receipts and applying them to appropriate OGA Award </li></ul><ul><li>Prepa...
Effort Reporting <ul><li>Principles of OMB Circular A-21: </li></ul><ul><ul><li>Federal awards may not be charged more tha...
Effort Reporting at OHSU <ul><li>Effort Certification Statements (ECS) distributed semi-annually </li></ul><ul><li>ECS are...
Effort Certification <ul><li>Amber Roberts </li></ul><ul><li>Institutional Effort Coordinator </li></ul><ul><li>X4-6984 </...
Closeouts <ul><li>Principal Investigator Responsibilities </li></ul><ul><ul><li>Technical reports and any deliverables </l...
Closeouts <ul><li>Departmental Responsibilities </li></ul><ul><ul><li>Tracking project end date </li></ul></ul><ul><ul><li...
Closeouts <ul><li>SPA Responsibilities </li></ul><ul><ul><li>Coordination with department administrators </li></ul></ul><u...
Summary <ul><li>This course has examined the post-award cycle and the distribution of responsibilities </li></ul><ul><li>U...
Further Resources <ul><li>Post-award Education Program (PEP) classes  </li></ul><ul><li>Sponsored Projects Information Net...
Post-award Education <ul><li>SPA offers a series of ten Post-award Education Program (PEP) classes to teach “department ad...
SPIN Meetings <ul><li>Sponsored Projects Information Network (SPIN) meetings are held the third Thursday of each month at ...
SPA Stewardship Agreement <ul><li>Similar to a “Service Level Understanding” or SLU, the SPA Stewardship Agreement documen...
SPA 101 Questions?
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  • Some SPA responsibilities are divided by departments of responsibility, while others are assigned by specific tasks or particular aspects of the grants management process.
  • Read Notice of Grant Award and Notice of Acceptance.
  • Refer to SPA Account Distribution list Department needs to contact Payroll directly with any problems
  • SFAs handle all of these activities Note that cost transfers must be timely, allowable under sponsor and OHSU policies, reasonable, and properly documented and approved.
  • The Effort Certification system is OHSU ’ s process for securing compliance with the requirements of the Office of Management and Budget (OMB) Circular A-21, which addresses “ principles for determining costs applicable to grants, contracts, and other agreements with educational institutions. ” The policies, provisions, and cost accounting standards in A-21 are mandatory for institutions which directly or indirectly receive federal funds.
  • Powerpoint Slide Show - OHSU Home

    1. 1. SPA 101 Nancy Duncan Award Analysis Supervisor Sponsored Projects Administration
    2. 2. Introduction <ul><li>SPA 101, Project Management Responsibilities </li></ul><ul><li>“ Who Does What” </li></ul><ul><li>This course examines the post-award cycle and explores the distribution of responsibilities and oversight within the Sponsored Projects Administration (SPA) office </li></ul>
    3. 3. Audience <ul><li>This course is intended for “department administrative staff”—including department administrators, division managers, department fiscal managers, department effort coordinators, etc. </li></ul>
    4. 4. What is SPA? <ul><li>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 </li></ul>
    5. 5. Stewardship Agreement <ul><li>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 </li></ul><ul><li>Stewardship Agreement available online: http://ozone.ohsu.edu/research/rda/spa/docs/paf0407.pdf </li></ul>
    6. 6. SPA as part of RDA <ul><li>SPA is one of eight separate units in Research Development & Administration (RDA) under the direction of the Vice President for Research </li></ul><ul><li>RDA comprises eight separate units with distinct roles and responsibilities </li></ul>
    7. 7. SPA Provides Oversight <ul><li>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 </li></ul><ul><li>SPA provides oversight for PI and department level management of sponsored project expenditures </li></ul>
    8. 8. SPA Protects OHSU <ul><li>SPA invoices (or draws funds from) sponsors based on expenditures </li></ul><ul><li>SPA makes sure OHSU adheres to the rules and regulations governing the use of sponsor funds </li></ul><ul><li>SPA handles financial reporting to sponsors </li></ul><ul><li>SPA coordinates the annual A-133 audit </li></ul>
    9. 9. SPA as “Post-Award” <ul><li>For SPA, as the “post-award” office, the grants life cycle starts at Award Setup </li></ul><ul><li>Three pre-award offices: </li></ul><ul><ul><li>Technology Transfer and Business Development (TTBD) </li></ul></ul><ul><ul><li>Clinical Trials Office (CTO) </li></ul></ul><ul><ul><li>Research Grants and Contracts (RGC) </li></ul></ul>
    10. 10. Transition from Pre-Award <ul><li>Award Setup Process Overview </li></ul><ul><li>Flowchart: http://www.ohsu.edu/research/rda/spa/docs/applic1.pdf </li></ul>
    11. 11. Account Setup <ul><li>Award Packet received from pre-award office and routed to appropriate SPA Senior Financial Analyst (SFA) </li></ul><ul><li>Award analyzed by SFA </li></ul><ul><li>Account(s) setup in OGA by Setup Specialist </li></ul><ul><li>Accounts use POETA String </li></ul><ul><li>Project-Org-Expenditure Type-Task-Award </li></ul><ul><li>Award: ACDRC0100 </li></ul><ul><li>Project: GCDRC0100A </li></ul>
    12. 12. Transition from Pre-award <ul><li>Complete Award Packet includes: </li></ul><ul><ul><li>Copies of final application with budget </li></ul></ul><ul><ul><li>Copy of award document (NoGA) from sponsor </li></ul></ul><ul><ul><li>Fully completed Proposed Project Questionnaire (PPQ) </li></ul></ul><ul><ul><li>Institutional Review Board (IRB) approval and/or Institutional Animal Care and Use Committee (IACUC) approval, if applicable </li></ul></ul><ul><ul><li>Fully completed Application Worksheet </li></ul></ul><ul><ul><li>Completed Account Set-up Worksheet </li></ul></ul>
    13. 13. Jellyfish <ul><li>Jellyfish: Account Setup Tracking Tool available online </li></ul><ul><li>http://www.ohsu.edu/research/era/jellyfish.shtml </li></ul>
    14. 14. Setup Questions <ul><li>After reviewing Jellyfish for status: </li></ul><ul><li>Direct any post-award account setup questions to the appropriate pre-award office representative or to the SPA-assigned Senior Financial Analyst (SFA) </li></ul><ul><li>RDA Account Distribution List: http://www.ohsu.edu/research/rda/documents/RDA%20Account%20Distribution%20List.pdf </li></ul>
    15. 15. Account Setup <ul><li>Award and Project(s) set up in OGA (Oracle Grants Accounting) </li></ul><ul><li>Notice of Account Setup/Revision sent to Principal Investigator and appropriate department contacts </li></ul><ul><li>Sample documents available online: http://www.ohsu.edu/research/rda/spa/spapolicies.shtml </li></ul>
    16. 16. Post-award Activities <ul><li>A one-page Post-award Responsibilities Flow Chart is available on the SPA website: http://www.ohsu.edu/research/rda/spa/docs/sparespflowchart.pdf </li></ul>
    17. 17. Account Activities <ul><li>Indirect and direct charging of costs initiated by Department </li></ul><ul><ul><li>Payroll Labor Charges </li></ul></ul><ul><ul><li>Purchase orders and AP invoices </li></ul></ul><ul><ul><li>Internal Billing System (IBS) charges from campus service centers </li></ul></ul><ul><li>Cost transfers </li></ul>
    18. 18. Oracle Grants Accounting <ul><li>Oracle Grants Accounting (OGA) is OHSU’s system of record for all awards and projects </li></ul><ul><li>Many grant management reports are available through OGA and the OGA Data Warehouse (Discoverer) </li></ul><ul><li>Grant spending should be monitored by PI’s (with dept admin help) on a monthly to quarterly basis </li></ul>
    19. 19. OGA Access <ul><li>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 </li></ul><ul><ul><ul><li>OGA Reports OHSU (*no training required) </li></ul></ul></ul><ul><ul><ul><li>OGA All Project Inquiry Non-Payroll OHSU </li></ul></ul></ul><ul><ul><ul><li>OGA All Project Inquiry Payroll OHSU </li></ul></ul></ul><ul><li>Attend OGA training class: http://ozone.ohsu.edu/ais/training/ </li></ul>
    20. 20. Account Management by Dept <ul><li>Review accounts regularly (monthly-quarterly) </li></ul><ul><ul><li>OGA Inquiry </li></ul></ul><ul><ul><li>OGA Reports </li></ul></ul><ul><ul><li>OGA Data Warehouse </li></ul></ul><ul><ul><li>HR / Payroll Data Warehouse </li></ul></ul><ul><li>Review for unallowable expenses </li></ul><ul><li>Monitor encumbrances </li></ul><ul><li>Review for overdrafts </li></ul><ul><li>Initiate cost transfers, as needed </li></ul>
    21. 21. Account Management by Dept <ul><li>Continue to track account balances after project end date </li></ul><ul><li>Maintain contact with SPA-assigned SFA </li></ul><ul><li>Review OGA and Discoverer / Data Warehouse reports to make sure Payroll transfers have been handled properly </li></ul>
    22. 22. PI Review of Expenditures <ul><li>PI’s should work with department staff to be provided with monthly to quarterly financial reports </li></ul><ul><li>The PI is ultimately responsible to ensure the appropriateness of all project expenditures and to ensure that the project functions within total awarded amounts </li></ul>
    23. 23. PI Responsibilities <ul><li>The Principal Investigator (PI) is the individual responsible for overall programmatic and managerial conduct of a sponsored project </li></ul><ul><li>PI retains primary oversight responsibility even for delegated tasks </li></ul><ul><li>The PI and dept staff should maintain open communication about sponsored project management issues </li></ul>
    24. 24. Account Oversight by SPA <ul><li>SPA SFA’s have oversight of account management by department </li></ul><ul><li>SFA’s are an important resource for department administrators—call them with your questions </li></ul><ul><li>SPA Account Distribution List: http://www.ohsu.edu/research/rda/spa/docs/account_distribution.pdf </li></ul>
    25. 25. Account Oversight by SPA <ul><li>Prepare annual financial status reports (FSR) and monthly cost-reimburseable Invoices for sponsors. Many FSRs are for internal purposes only! </li></ul><ul><li>Performs A-21 unallowable reviews </li></ul><ul><li>Completes budget adjustments </li></ul><ul><li>Performs close-out functions </li></ul>
    26. 26. Cash Management <ul><li>Processing of all cash receipts and applying them to appropriate OGA Award </li></ul><ul><li>Preparation of weekly draw </li></ul><ul><li>Preparation of quarterly reports </li></ul><ul><li>Holly Fox, Cash Management Senior Financial Analyst </li></ul>
    27. 27. Effort Reporting <ul><li>Principles of OMB Circular A-21: </li></ul><ul><ul><li>Federal awards may not be charged more than the labor expended </li></ul></ul><ul><ul><li>Grantees must meet acceptable levels of documentation and accountability for effort in relation to salary and wages </li></ul></ul><ul><ul><li>Penalties for non-compliance are severe </li></ul></ul>
    28. 28. Effort Reporting at OHSU <ul><li>Effort Certification Statements (ECS) distributed semi-annually </li></ul><ul><li>ECS are created for all employees paid (at least in part) on federal awards and generated according to paid effort </li></ul><ul><li>Certified effort should equal actual effort </li></ul><ul><li>Department effort coordinators work with covered individuals to review and certify </li></ul><ul><li>Certified reports kept on file at SPA for audit </li></ul>
    29. 29. Effort Certification <ul><li>Amber Roberts </li></ul><ul><li>Institutional Effort Coordinator </li></ul><ul><li>X4-6984 </li></ul><ul><li>[email_address] </li></ul>
    30. 30. Closeouts <ul><li>Principal Investigator Responsibilities </li></ul><ul><ul><li>Technical reports and any deliverables </li></ul></ul><ul><ul><li>Patent disclosures </li></ul></ul><ul><ul><li>Invention statements </li></ul></ul><ul><ul><li>Scientific record retention </li></ul></ul><ul><ul><li>Oversight of all department responsibilities </li></ul></ul>
    31. 31. Closeouts <ul><li>Departmental Responsibilities </li></ul><ul><ul><li>Tracking project end date </li></ul></ul><ul><ul><li>Timely filling out of reports </li></ul></ul><ul><ul><li>Removal of encumbrances </li></ul></ul><ul><ul><li>Verifying appropriateness of expenses </li></ul></ul><ul><ul><li>Notifying SPA that technical report is sent </li></ul></ul><ul><ul><li>Record retention </li></ul></ul>
    32. 32. Closeouts <ul><li>SPA Responsibilities </li></ul><ul><ul><li>Coordination with department administrators </li></ul></ul><ul><ul><li>Removal of unallowable expenses </li></ul></ul><ul><ul><li>Preparation of final financial report (e.g. SF-269) or final invoice </li></ul></ul><ul><ul><li>Submission of Final Invention Statement </li></ul></ul>
    33. 33. Summary <ul><li>This course has examined the post-award cycle and the distribution of responsibilities </li></ul><ul><li>Understanding the processes involved in account set-up, account management, cash management and effort certification will help ensure proper administration of sponsored projects </li></ul>
    34. 34. Further Resources <ul><li>Post-award Education Program (PEP) classes </li></ul><ul><li>Sponsored Projects Information Network (SPIN) meetings </li></ul><ul><li>SPA Website: http://www.ohsu.edu/research/rda/spa/index.shtml </li></ul>
    35. 35. Post-award Education <ul><li>SPA offers a series of ten Post-award Education Program (PEP) classes to teach “department administrative staff” about post-award management topics </li></ul><ul><li>Attend PEP classes to learn more about all the post-award topics </li></ul><ul><li>For more information, contact SPA Education at [email_address] </li></ul>
    36. 36. SPIN Meetings <ul><li>Sponsored Projects Information Network (SPIN) meetings are held the third Thursday of each month at 9:30am in UHS 8B-60 </li></ul><ul><li>SPA, RGC, and other RDA units present on current sponsored projects topics </li></ul><ul><li>Archived SPIN meetings and newsletters are available online: http://www.ohsu.edu/research/rda/spa/spin.shtml </li></ul>
    37. 37. SPA Stewardship Agreement <ul><li>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. </li></ul><ul><li>Complete SPA Stewardship Agreement available online: http://ozone.ohsu.edu/research/rda/spa/docs/paf0407.pdf </li></ul><ul><li>Summary documents for school/unit, PI, and department responsibilities </li></ul>
    38. 38. SPA 101 Questions?
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