SPA 101

1. SPA 101 Nancy Duncan Award Analysis Supervisor Sponsored Projects Administration

2. 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

3. Audience • This course is intended for “department administrative staff”—including department administrators, division managers, department fiscal managers, department effort coordinators, etc.

4. 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

5. 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

6. 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

7. 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

8. 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

9. 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)

10. Transition from Pre-Award • Award Setup Process Overview • Flowchart: http://www.ohsu.edu/research/rda/spa/docs/applic1.pdf

11. 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

12. 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

13. Jellyfish • Jellyfish: Account Setup Tracking Tool available online • http://www.ohsu.edu/research/era/jellyfish.shtml

14. 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

15. 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

16. 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

17. 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

18. 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

19. 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/

20. 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

21. 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

22. 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

23. 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

24. 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

25. 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

26. 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

27. 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

28. 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

29. Effort Certification • Amber Roberts • Institutional Effort Coordinator • X4-6984 • roberamb@ohsu.edu

30. Closeouts • Principal Investigator Responsibilities • Technical reports and any deliverables • Patent disclosures • Invention statements • Scientific record retention • Oversight of all department responsibilities

31. 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

32. 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

33. 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

34. 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 spaedu@ohsu.edu

35. 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

36. 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

37. SPA 101 Questions?