Transcript SPA 101 Cari Benveniste Award Analysis Manager Sponsored Projects Administration Introduction This course examines the overall postaward cycle of grants & contracts and discusses roles

SPA 101
Cari Benveniste
Award Analysis Manager
Sponsored Projects Administration
Introduction
This course examines the overall postaward cycle of grants & contracts and
discusses roles & responsibilities.
Who Negotiates/Approves
Grants & Contracts for
OHSU?
CTO
Pre-Award Offices
at OHSU
RGC
TTBD
What is the role of
SPA?
 SPA is Sponsored Projects Administration, aka the
“post-award” office.
http://www.ohsu.edu/xd/research/administration/sponsor
ed-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
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
Award Setup Process Overview
Flowchart:
http://www.ohsu.edu/research/rda/spa/docs/
applic1.pdf
Account Setup
Award setup packet received from the preaward 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 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/spa
policies.shtml
Jellyfish
Jellyfish: Account Setup Tracking Tool
available online
http://www.ohsu.edu/research/era/jellyfish.
shtml
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
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
A one-page Post-award Responsibilities
Flow Chart is available on the SPA
website:
http://www.ohsu.edu/research/rda/spa/doc
s/sparespflowchart.pdf
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 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
Review accounts regularly (monthlyquarterly)
Review for unallowable expenses
Monitor encumbrances
Review for overdrafts
Initiate cost transfers, as needed
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 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/doc
s/account_distribution.pdf
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
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
Principal Investigator responsibilities
Prepare and submit technical reports
and any deliverables
Patent disclosures
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. 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
Cash Management
Subrecipient Monitoring
Effort Reporting
Education
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
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
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
 Effort Certification Statements (ECS) distributed semiannually 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
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, [email protected]
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/administrat
ion/rain.cfm
SPA 101
Questions?