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/do cs/paf0407.pdf http://ozone.ohsu.edu/research/rda/spa/do cs/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 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 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/docume nts/RDA%20Account%20Distribution%20L ist.pdf http://www.ohsu.edu/research/rda/docume nts/RDA%20Account%20Distribution%20L ist.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/spa policies.shtml http://www.ohsu.edu/research/rda/spa/spa policies.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/doc s/sparespflowchart.pdf http://www.ohsu.edu/research/rda/spa/doc s/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 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/ 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/doc s/account_distribution.pdf http://www.ohsu.edu/research/rda/spa/doc s/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. 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

34. Further Resources Post-award Education Program (PEP) classes Sponsored Projects Information Network (SPIN) meetings SPA Website: http://www.ohsu.edu/research/rda/spa/ind ex.shtml http://www.ohsu.edu/research/rda/spa/ind ex.shtml

35. 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.eduspaedu@ohsu.edu

36. 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 http://www.ohsu.edu/research/rda/spa/spin.shtml

37. 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/paf 0407.pdf http://ozone.ohsu.edu/research/rda/spa/docs/paf 0407.pdf Summary documents for school/unit, PI, and department responsibilities

38. SPA 101 Questions?