The ‘How To’ of SPA Forms

Cari Benveniste

Award Analysis Manager

Sponsored Projects Administration

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!

SPA Forms

Financial related forms:OHSU Adjustment FormRequest for Foundation/Grant Account Cost

Transfer FormLabor Cost Transfer Approval (LCTA) Form

SPA Forms (con’t)

Account Setup related forms:Subaward/Contract Account Continuation Request

FormAccelerated Spending Request FormRGC forms

Preaward Spending Request Form No Cost Extension Request Form

SPA Forms (con’t)

Other miscellaneous forms:Program Development Account (PDA) Request

FormBalance Transfer FormDefined Research Account (DRA) Request Form

OGA related forms:OGA Award or Project Data Change RequestSPA New Org Contact FormOrg Contact Change Request Form

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.

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!

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

OHSU Adjustment Form (con’t)

Accounts Payable (AP) Information RequiredInvoice 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

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.

OHSU Adjustment Form (con’t)

Travel Source Information RequiredTravel 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 #

OHSU Adjustment form (con’t)

Travel Source info req’d -continuedTravel 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!

OHSU Adjustment Form (con’t)

Form QuestionsQ1. 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.

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.

Request for Foundation/Grant

Account Cost TransferForm found at:

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.

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.

Labor Cost Transfer Approval Form

Form and Instructions found at: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).

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).

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.

Subaward/Contract Account Continuation

Request FormForm found at:

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.

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.

Accelerated Spending Request Form

Form found at: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.

Preaward Spending Request form

Form found at:http://www.ohsu.edu/research/rda/rgc/docs/pre-award_spen

ding_request_form.docxThis 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.

No Cost Extension Request Form

Form found at:http://www.ohsu.edu/research/rda/rgc/docs/no_cost_extensi

on_request.docxThe 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).

Program Development Account (PDA) Request

FormForm found at:

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 Guidelineshttp://www.ohsu.edu/research/rda/spa/docs/pdadraguidlines.

pdf

Balance Transfer Form

Form found at: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.

Defined Research Account (DRA) Request Form

Form found at: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.

OGA Award or Project Data Change Request

FormForm found at:

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.

SPA New Org Contact Form

Form found at: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.

Org Contact Change Request Form

Form found at:http://www.ohsu.edu/research/rda/spa/docs/org_cont_change_

req.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.

The ‘How To’ of SPA Forms

Questions?