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Powerpoint Slide Show - OHSU Home

Powerpoint Slide Show - OHSU Home






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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 Powerpoint Slide Show - OHSU Home Presentation Transcript

  • 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 Overview
    • Flowchart: 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 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-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: 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 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 (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 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 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’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 reviews
    • Completes budget adjustments
    • Performs close-out functions
  • 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
    • 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 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
    • Amber Roberts
    • Institutional Effort Coordinator
    • X4-6984
    • [email_address]
  • Closeouts
    • Principal Investigator Responsibilities
      • Technical reports and any deliverables
      • Patent disclosures
      • Invention statements
      • Scientific record retention
      • Oversight of all department responsibilities
  • 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
  • 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
  • Summary
    • This course has examined the post-award cycle and the distribution of responsibilities
    • Understanding the processes involved in account set-up, account management, cash management and effort certification will help ensure proper administration of sponsored projects
  • 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_address]
  • 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?