Transcript Document

The ‘How To’ of
SPA Forms
Cari Benveniste
Award Analysis Manager
Sponsored Projects Administration
Introduction
 This course examines the forms available on the SPA
website.
 All forms discussed today are found at:
http://www.ohsu.edu/research/rda/forms.shtml#fm
 Always use the latest version of the form posted on
the website, we are streamlining all the time!
SPA Forms
 Financial related forms:
OHSU Adjustment Form
Request for Foundation/Grant Account Cost
Transfer Form
Labor Cost Transfer Approval (LCTA) Form
SPA Forms (con’t)
 Account Setup related forms:
Subaward/Contract Account Continuation Request
Form
Accelerated Spending Request Form
RGC forms
Preaward Spending Request Form
No Cost Extension Request Form
SPA Forms (con’t)
 Other miscellaneous forms:
Program Development Account (PDA) Request
Form
Balance Transfer Form
Defined Research Account (DRA) Request Form
 OGA related forms:
OGA Award or Project Data Change Request
SPA New Org Contact Form
Org Contact Change Request Form
OHSU Adjustment
Form
 Form is found at:
http://www.ohsu.edu/research/rda/forms.shtml#fm
 Help documents are found at:
http://www.ohsu.edu/research/rda/spa/docs/adjinst.pdf
 Used for adjustments to Internal Billing System,
Accounts Payable, or Travel transactions.
 Can choose to adjust transactions between OGA
accounts, or between OGA and GL.
OHSU Adjustment Form
(con’t)
 You must include Oracle report or screenshot of
Source information with signed and completed form.
 PI signature not required for adjustments to nonFederal accounts.
 Be sure to always use the latest form posted online!
OHSU Adjustment
Form (con’t)
 Where do I find the IBS, AP, or Travel Source Info for
OHSU Adjustment Forms?
IBS Source Information Required
Transaction Number, Transaction Date, Service
Center
Example:
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•
•
•
•
•
Use OGA
Other: Requests: Run
IBS Project Activity Report
GCDRC0139E Oct 2009 (Example)
Sort by: Service Center-Transaction Number
Report shows all needed information
OHSU Adjustment
Form (con’t)
Accounts Payable (AP) Information Required
Invoice Number; Invoice Date; Purchase Order #;
Vendor Name; Vendor Number
• Use OGA
• Other: Requests: Run
• Project Status Detail Report-by Expenditure Description
 GCDRC0139E Sep-09 (example)
 Other Professional Svcs
 Vendor Name: American Association on Health
 Invoice # 1402256SEP09
 PO# 1402256
 Invoice Date: March 13, 2009
OHSU Adjustment
Form (con’t)
Accounts Payable (AP) info req’d -continued
• But, what About the Vendor Number?
 Switch Responsibilities from OGA to AP Inquiry
 Invoices
 In the Supplies section enter PO# (1402256) or Vendor
Name (American Association on Health)
 Vendor Number is Supplier Number (104520)
 Also-You can view the Overview of the transaction
(click Overview button for the $8600 transaction).
This contains all the needed information.
OHSU Adjustment
Form (con’t)
Travel Source Information Required
Travel Source Information Needed for Form: Employee
Name, Assignment #, Pay Period#, Dates of Travel
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Use OGA
Reports: Request :Run
Project Status Detail Report-by Expenditure Description
GCDRC0139E Sep-09 (Example)
 Employee Name: David Buckley
 Pay Period was 19
 Dates of Travel? Look at Travel Reimbursement
Paperwork (not in OGA)
 Assignment # = Employee ID #
OHSU Adjustment
form (con’t)
 Travel Source info req’d -continued
Travel expenses for OHSU employees are reimbursed via
paychecks hence they flow through the Labor Distribution
(LD) module.
Often, if incorrect account numbers are used (or if
reimbursement date exceeds project end dates), travel
expenses will fall into Suspense.
Run suspense report monthly!!!
Reminder - Turn in travel reimbursement forms close to
travel dates!
OHSU Adjustment
Form (con’t)
 Form Questions
Q1. Must be answered for ALL adjustments – be
as specific as possible.
Q2-5 only required for those affecting Federal
projects.
Be as specific and detailed as possible.
If adjustment is not specific enough, the SPA
analyst will contact you for additional information.
OHSU Adjustment
Form (con’t)
 Be sure to choose the appropriate tab before
completing the form.
 ALL fields must be completed in the line number
section.
 Credit totals must equal debit totals.
 Form found at:
Request for
Foundation/Grant
Account Cost Transfer
http://www.ohsu.edu/research/rda/spa/docs/fdngrcosttv5.xlsx
 Similar to OHSU adjustment form.
 For use to transfer expense between OHSU
Foundation and OGA directly.
 Justification form (tab 2) must be completed, signed
and attached to cost transfer form.
 Oracle report or screen shot of expenditure must be
included.
Req for Foundation/Grant
Acct Cost Trans (con’t)
 Exact Source data is not required on this form.
 Much like the CFS Journal Entry (JE) form, because
the transaction is not moved at the source (IBS or AP),
you will not see the individual transaction move from
one account to another, only total dollars.
Labor Cost Transfer
Approval Form
 Form and Instructions found at:
http://www.ohsu.edu/research/rda/spa/docs/lcta.pdf
 Required when retroactive labor distribution
adjustments are effective 90 days or more prior to the
date entered, or
 Required when a retroactive labor distribution enters a
closed effort period, and
 Do not meet the criteria for SPA expedited review and
approval (industry sponsored clinical trials, PDAs and
OPE only adjustments).
Labor Cost Transfer
Approval (con’t)
 Oracle LD module will not automatically allow
historical adjustments 90 days or older, or adjustments
that go back into a closed effort period.
 When the LD adjustment is entered into Oracle, a
validation error will be generated.
 After LCTA form is submitted and approved by SPA,
the LD adjustment will be approved in Oracle.
 Be sure to include a copy of the Distribution
Adjustment Entry Report (DAER) (found in OGA
reports).
Labor Cost Transfer
Approval (con’t)
 One batch number per form please.
 Effort Certification section must be completed, this
notifies you of any additional effort requirements.
 Background questions must be answered as
specifically as possible,
Specific role – this is not just the person’s title, it
should detail their role in relation to the scope of work.
 PI signature not required for adjustments to nonfederal accounts.
 Form found at:
Subaward/Contract
Account Continuation
Request Form
http://www.ohsu.edu/research/rda/spa/docs/subexten.pdf
 Used for existing incoming subawards (subcontracts)
and contracts.
 Necessary when it is expected that additional time &
money, or simply additional time, will be added to
agreement, however it has not yet been executed
(signed by all parties).
 This allows continuation of ‘spending’ while the
agreement is being modified and executed.
Subaward/Contract Acct
Cont Req Form (con’t)
 The account will be created but remain in ‘partial’
status with no budget added in OGA until finalized.
 Must provide a FOMOPPL (GL) account in case the
contract is not executed.
 It is the departments responsibility to ensure that the
final subaward or contract is attained.
Accelerated Spending
Request Form
 Form found at:
http://www.ohsu.edu/research/rda/spa/docs/accelspend.pdf
 Used when next year’s account needs to be setup, prior to
the receipt of the next year’s award or to request an earlier
start date on a mid-award project.
 Not commonly used since all NIH awards are automatically
setup in SPA almost 60 days in advance.
 If the account is already setup, you can email your SPA
analyst directly to request an earlier start date.
Preaward Spending
Request form
 Form found at:
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http://www.ohsu.edu/research/rda/rgc/docs/preaward_spending_request_form.docx
This form is managed and owned by RGC.
If an account setup is needed prior to the acceptance of the
final award, complete the form and send to RGC.
A new OGA account will be created in ‘partial’ status with no
budget loaded.
Must provide a FOMOPPL (GL) account in case the award is
not approved.
It is the departments responsibility to ensure that the final
award is attained.
No Cost Extension
Request Form
 Form found at:
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http://www.ohsu.edu/research/rda/rgc/docs/no_cost_extensi
on_request.docx
The form is managed and owned by RGC.
If an award end date is approaching, however additional time is
needed to complete the scope of work, you can request a nocost extension of time.
Typically 12 months in length.
May require a formal letter request, depending on terms and
conditions of award.
Must be done prior to end date (30-45 days).
 Form found at:
Program Development
Account (PDA) Request
Form
http://www.ohsu.edu/research/rda/spa/docs/spapdarequest.
pdf
 Creates an account that allows deposits of residual
cash from completed Industry Sponsored Clinical
Trials, certain fixed Price Agreements or other Fee for
Service and Defined Research Project Accounts.
 PDA Guidelines
http://www.ohsu.edu/research/rda/spa/docs/pdadraguidlines.
pdf
Balance Transfer Form
 Form found at:
http://www.ohsu.edu/research/rda/spa/docs/baltranform.pdf
 Used to transfer remaining cash and/or closing of
Industry Sponsored Clinical Trials, Fixed Price
Agreements, Fee for Service, Program Development
Accounts and Defined Research Project Accounts.
 Be sure to include a justification why a balance exists
for accounts other than Industry Clinical Trials.
Defined Research Account
(DRA) Request Form
 Form found at:
http://www.ohsu.edu/research/rda/spa/docs/drareqform.pdf
 Defined Research Accounts are created when a
Principal Investigator wants to use unrestricted funds
(PDA, Foundation, or GL) to support research with
compliance requirements (such as anything related to
animals or human subjects).
 Also needed PPQ, Scope of Work, IRB/IACUC #, and
Balance Transfer Form.
 Form found at:
OGA Award or Project
Data Change Request
Form
http://www.ohsu.edu/research/rda/spa/docs/datachange.pdf
 Used for changes in PI, owning Org, Fiscal Manager
(Award or Project Level), and Cost Sharing.
 Can attach a list if applies to multiple projects or
awards.
 Once approved, data will be changed in Oracle Grants
Accounting.
SPA New Org
Contact Form
 Form found at:
http://www.ohsu.edu/research/rda/spa/docs/new_org_cont_f
orm.pdf
 Used when a new Organization number and name is
created.
 Be sure Org has also been set up in HR system.
 Once approved, data will be changed in Oracle Grants
Accounting.
Org Contact Change
Request Form
 Form found at:
http://www.ohsu.edu/research/rda/spa/docs/org_cont_change_r
eq.pdf
 Used for current Orgs when there is a change in Org
personnel or a change in the role of existing
personnel.
 Once approved, data will be changed in Oracle Grants
Accounting .
 This data is used to capture high level hierarchical
information.
The ‘How To’ of SPA Forms
Questions?