The ‘How To’ of SPA Forms

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 • 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 • Research Grants & Contracts (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 • Org Contact Change Request Form • SPA New Org Contact Form

6. OHSU Adjustment Form • Form used to make adjustments at the source for Internal Billing System, Accounts Payable, or Travel reimbursement transactions. • Always use the latest form posted online! • There are three tabs to choose from: • “JEFORM” to adjust between FOMOPPL (GL) accounts • “POETA Adj form” to adjust between POETA (OGA) accounts • “Transfer Between Adj Form” to adjust between OGA and GL accounts.

7. OHSU Adjustment Form (con’t) • Attach an Oracle report or screenshot of the source information with the completed form. • Award Fiscal Manager or designee must sign. • PI signature is only required for adjustments related to Federal accounts. (i.e. NIH, NSF, HRSA, AHRQ, etc.)

8. OHSU Adjustment Form (con’t) • Where do I find the IBS, AP, or Travel Source Information for OHSU Adjustment Forms? • IBS Source Information Required • Transaction Number, Transaction Date, Service Center • Example: • In OGA go to - Other: Requests: Run • IBS Project Activity Report • GCDRC0139E Oct 2009 (Example) • Sort by: Service Center-Transaction Number • Report shows all needed information

10. OHSU Adjustment Form (con’t) • Accounts Payable (AP) Information Required • Invoice Number; Invoice Date; Purchase Order #; Vendor Name; Vendor Number • In 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

12. OHSU Adjustment Form (con’t) • Accounts Payable (AP) info req’d –con’t • But, what About the Vendor Number? • Switch Responsibilities from OGA to AP Inquiry • Choose 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). • There are many ways to find all of this information in the system, feel free to use whichever way suits you best!

14. OHSU Adjustment Form (con’t) • Travel Source Information Required • Employee Name, Assignment #, Pay Period#, Dates of Travel • In OGA go to - 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 # (Not in OGA)

16. OHSU Adjustment Form (con’t) • Travel Source info req’d –con’t • Travel reimbursements for OHSU employees are paid via payroll hence they flow through the Labor Distribution (LD) module. • Often, if incorrect account numbers are used (or if reimbursement date exceeds project end date), travel expenses will fall into suspense. • Run the suspense report at least quarterly!!! HRDW Payroll Suspense by Dept Org in Discoverer • Reminder - Turn in travel reimbursement forms close to travel dates!

17. 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 as possible. • If adjustment is not specific enough, the SPA analyst will contact you for additional information.

18. OHSU Adjustment Form (con’t) • Form question reminders: • Need more detail than just, clerical error. • Be honest. Everyone makes mistakes, the key is to correct them timely. • It is inappropriate to move expenses just because there is money left in the account. Expenses must be related to the scope of work. • It is inappropriate to “park” expenses on a project because the appropriate project is not yet setup. • Expenses should be posting to an unsponsored account in this case.

19. OHSU Adjustment Form (con’t) • ALL fields must be completed in the line number section. • On the “Transfer Between Adj Form”, line 1A refers to the POETA information and 1B refers to the corresponding FOMOPPL. • Use the OGA crosswalk to convert OGA expenditure types to GL object codes: http://www.ohsu.edu/research/rda/spa/docs/expendituretypes.xls • Credit totals must equal debit totals. • If necessary, you can move only a partial amount.

20. OHSU Adjustment Form (con’t) • AP allows only one adjustment per form. • Most IBS service centers will allow multiple transactions to be adjusted on a single form – note on the attached IBS report which to transfer. • Once approved in SPA, form is routed back to the original source for processing. • If you’re wondering why an adjustment hasn’t processed, call AP or the IBS service center.

21. Request for Foundation/Grant Account Cost Transfer • Used to transfer expense between an OHSU Foundation account and a POETA account. • Justification form (tab 2) must be completed, signed and attached to cost transfer form. • Oracle report or screen shot of expenditure must be included.

22. Req for Foundation/Grant Acct Cost Trans (con’t) • Exact source data is not required to be listed on the 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. • When completed, send the form to the Foundation at mailcode L344.

23. Labor Cost Transfer Approval (LCTA) Form • Oracle Labor Distribution (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.

24. Labor Cost Transfer Approval Form (con’t) • LCTA form Required when: • retroactive labor distribution adjustments are effective 90 days or more prior to the date entered, OR • a retroactive labor distribution enters a closed effort period, and it does not meet the criteria for SPA expedited review and approval (adjustments affecting only industry sponsored clinical trials, PDAs or OPE only adjustments).

25. Labor Cost Transfer Approval Form (con’t) • Be sure to include a copy of the Distribution Adjustment Entry Report (DAER) (found in OGA reports). • One batch number per form please. • Effort Certification section must be completed, this notifies you of any additional effort requirements.

26. Labor Cost Transfer Approval Form (con’t) • 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 only required for adjustments affecting Federal accounts. • After LCTA form is submitted and approved by SPA, the LD adjustment will be approved in Oracle.

27. Subaward/Contract Account Continuation Request Form • Used to extend OGA accounts for existing incoming subawards (subcontracts) and contracts. • This allows continuation of ‘spending’ while the agreement is being modified and executed. • Necessary when additional time & money, or only additional time, is expected on the agreement, however it has not yet been executed (signed by all parties).

28. Subaward/Contract Acct Cont Req Form (con’t) • The ‘continuation’ account is created in OGA and will remain in ‘partial’ status with no budget added until the subaward or contract is finalized. • A FOMOPPL (GL) account must be provided in case the contract is not executed. • The department is responsible for ensuring that the final subaward or contract is attained.

29. Accelerated Spending Request Form • Used (for grants only) to either: • setup the continuation year’s account prior to the receipt of the award or • to request an earlier start date on a mid-award project. • Not commonly used since all Federal awards are automatically setup in SPA almost 60 days in advance. • If the account is already setup, and you just want an earlier start date, email your SPA analyst. No form necessary!

30. Preaward Spending Request Form • This form is managed and owned by Research Grants & Contracts (RGC.) • If the setup of an OGA account is needed prior to the acceptance of the new award, complete the form and send to RGC. • Must provide a FOMOPPL (GL) account in case the award is not executed/approved. • A new OGA account will be created in ‘partial’ status with no budget loaded. • It is the departments responsibility to ensure that the final award is attained.

31. No Cost Extension Request Form • 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 may request a no-cost extension of time. • The end date is typically extended for an additional 12 months. • Must be submitted prior to the end date (at least 30-45 days in advance).

32. No Cost Extension Request con’t • May require a formal letter of request, depending on terms and conditions of award. • RGC is able to process the end date extension electronically through the eRA Commons or in Fastlane for the majority of awards under expanded authorities. • In these instances no udpated Notice of Award is issued by the awarding Institution. • For awards not under expanded authorities, contact your GCA for requirements.

33. Program Development Account (PDA) Request Form • Creates an OGA account that allows deposits of residual cash from the completion of certain fixed Price Agreements or Fee for Service agreements. • PDA Guidelines • http://www.ohsu.edu/research/rda/spa/docs/pdadraguidlines.pdf

34. Balance Transfer Form • Used to request the transfer of remaining cash to a Program Development Account (PDA). • Typical accounts that may transfer remaining funds: • Industry Sponsored Clinical Trials, • Fixed Price Agreements, • Fee for Service, • Defined Research Accounts (DRA) • Justification is needed for why a balance exists for accounts other than Industry Clinical Trials.

35. Defined Research Account (DRA) Request Form • Defined Research Accounts are created when a Principal Investigator wants to use unrestricted funds (PDA, Foundation, or GL) to support research with compliance requirements (anything related to animals or human subjects). • Also needed with submission of the form: • PPQ, • Scope of Work, • IRB &/or IACUC #, and • Balance Transfer Form.

36. OGA Award or Project Data Change Request Form • Used to change internally assigned Principal Investigators, owning Org, Fiscal Manager, and Cost Sharing information at the award or project levels. • Attach a list of projects/awards if there are multiple changes.

37. Org Contact Change Request Form • Used to change assigned Org personnel or a change in the role of existing personnel for current Orgs. • This data is used to capture high level hierarchical information.

38. SPA New Org Contact Form • Used to assign Org personnel when a new Organization number and name is created. • Be sure Org has also been set up in HR system.

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