1. The ‘How To’ of SPA Forms Cari Benveniste Award Analysis Manager Sponsored Projects Administration

2. 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 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!

3. SPA Forms Financial related forms:  OHSU Adjustment Form  Request for Foundation/Grant Account Cost Transfer Form  Labor Cost Transfer Approval (LCTA) Form

4. 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

5. 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

6. 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.

7. 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 non- Federal accounts. Be sure to always use the latest form posted online!

8. 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: Use OGA Other: Requests: Run IBS Project Activity Report GCDRC0139E Oct 2009 (Example) Sort by: Service Center-Transaction Number Report shows all needed information

9. 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

10. 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.

11. OHSU Adjustment Form (con’t)  Travel Source Information Required Travel Source Information Needed for Form: Employee Name, Assignment #, Pay Period#, Dates of Travel  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 #

12. 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!

13. 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.

14. 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.

15. Request for Foundation/Grant Account Cost Transfer Form found at:  http://www.ohsu.edu/research/rda/spa/docs/fdngrcosttv5.xlsx 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.

16. 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.

17. Labor Cost Transfer Approval Form Form and Instructions found at:  http://www.ohsu.edu/research/rda/spa/docs/lcta.pdf 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).

18. 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).

19. 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 non- federal accounts.

20. Subaward/Contract Account Continuation Request Form Form found at:  http://www.ohsu.edu/research/rda/spa/docs/subexten.pdf 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.

21. 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.

22. Accelerated Spending Request Form Form found at:  http://www.ohsu.edu/research/rda/spa/docs/accelspend.pdf 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.

23. Preaward Spending Request form Form found at:  http://www.ohsu.edu/research/rda/rgc/docs/pre- award_spending_request_form.docx http://www.ohsu.edu/research/rda/rgc/docs/pre- award_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.

24. No Cost Extension Request Form Form found at:  http://www.ohsu.edu/research/rda/rgc/docs/no_cost_extensi on_request.docx 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 no- cost 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).

25. Program Development Account (PDA) Request Form Form found at:  http://www.ohsu.edu/research/rda/spa/docs/spapdarequest. pdf 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 http://www.ohsu.edu/research/rda/spa/docs/pdadraguidlines. pdf

26. Balance Transfer Form Form found at:  http://www.ohsu.edu/research/rda/spa/docs/baltranform.pdf 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.

27. Defined Research Account (DRA) Request Form Form found at:  http://www.ohsu.edu/research/rda/spa/docs/drareqform.pdf 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.

28. OGA Award or Project Data Change Request Form Form found at:  http://www.ohsu.edu/research/rda/spa/docs/datachange.pdf 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.

29. SPA New Org Contact Form Form found at:  http://www.ohsu.edu/research/rda/spa/docs/new_org_cont_f orm.pdf 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.

30. Org Contact Change Request Form Form found at:  http://www.ohsu.edu/research/rda/spa/docs/org_cont_change_r eq.pdf 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.

31. The ‘How To’ of SPA Forms Questions?