PTA Initiation and Setup
The SeRA System
All sponsored Projects account setup is initiated via the SeRA system. Account setup transactions are triggered by an award being accepted and processed by a Stanford Institutional Representative (OSR, RMG or ICO).
Some key features of the SeRA Account Setup (aka Sponsored PTA Manager) module:
- Replaces the OSR electronic PTA System (ePTA)
- Eliminates OSR paper forms (38 Early PTA Request, 39 University Research PTA Request and 40 Extended PTA Request)
- Creates an online routing and approval process within SeRA
- Allows for real-time status look-up of PTA set-up transactions
- Includes PTA information from the Notice of Award
Learn How to Set Up An Award Using the PTA Manager
This is a new process and we have lots of ways to help you!
The purpose of this guide is to provide departmental administrators with instructions on how to process New PTA Setup requests and Early/Extend PTA Setup requests initiated in SeRA via the Sponsored PTA Manager module.
The purpose of this guide is to provide post award administrators with instructions on how to process New PTA setup requests initiated in PTA Manager (also referred to as SeRA).
The purpose of this guide is to provide post award administrators with instructions on how to process Early/Extend PTA setup requests initiated in PTA Manager (also referred to as SeRA).
The purpose of this guide is to provide post award administrators with instructions on how to process Amend PTA requests within PTA Manager (also referred to as SeRA). It will cover the three main Amendment scenarios: increasing time and/or money, decreasing time and/or money, and administrative changes.
SeRA Seminars and Handouts
Informational seminars are offered periodically to help research administrators learn various modules and functions within the SeRA system. Click here to view a current list of seminars being offered. Below are copies of the Seminar handouts.
Other Resources Available to You
- Get direct support through HelpSU
- Schedule a one-on-one PTA account setup session by submitting a HelpSU ticket
- View an on-demand WebEx training session.
- For general PTA setup questions or status inquiries, please contact the Financial Support Center at email@example.com or 650-723-2772. You may also visit their website for more information.
PTA Setup for New Awards
The Office of Sponsored Research (OSR) sets up different types of PTAs based on project needs and the terms and conditions of the award.
The Setup Process
After a sponsored project award is received and processed by OSR, ICO or RMG, an Award Approval Notification (AAN) is created and emailed to the project stakeholders.
A New PTA Setup transaction is automatically generated and assigned to a department administrator via the SeRA system for review and completion of the desired award configuration and entry of the budget allocation details.
The new PTA Setup transaction is then routed to OSR for review of the information provided by the department administrator. If the information is complete and accurate, OSR will submit and baseline the budget in Oracle to complete the process.
The Notice of Award (NOA) will be sent out once the New PTA Setup transaction has been completed. The NOA will now include PTA details.
OSR strives to complete the PTA setup transaction within five business days of receiving the desired award configuration and detailed budget allocation for a particular award.
PTA Setup Cost Sharing Accounts
If cost sharing is committed, that is, proposed by Stanford and accepted by the sponsor, then it must be accounted for as cost sharing. As part of the New PTA Setup or PTA Setup Amendment transactions, the SeRA system will automatically create unique cost sharing PTAs as needed.
Cost sharing tasks are given the designation of the 700 task series with budget and expense tied to the sponsored project period and carried over the fiscal year end (corresponding to the primary sponsored agreement). In many instances, when the cost sharing funding source is coming from different schools/departments, or if there are multiple investigators whose cost sharing commitment needs to be tracked separately, multiple tasks can be set up to accommodate this complexity. Cost sharing PTAs will be listed on the SeRA Notice of Award along with the other PTAs set up in support of a particular sponsored project.
For the purpose of identifying federal vs. non-federal and mandatory vs. voluntary cost sharing, four Oracle Award Purpose codes are used:
Definitions and descriptions of each code can be found here.
Cost sharing PTAs are budgeted with the committed cost sharing appearing in the Expense Control column of the Monthly Expenditure Statement
Overdraft Cost Sharing
If the department administrator becomes aware of cost overruns after the end date of a sponsored project, administrators can contact their OSR Accountant to request a cost sharing PTA to be set up for overdraft purposes. If there are cost overruns at the end of an award and a cost sharing PTA has not yet been established for this purpose, the OSR Accountant will contact department to discuss setting up a cost sharing PTA as part of the closeout process. OSR will notify the department when cost sharing PTAs are set up in Oracle. The Oracle Award Purpose code for overdrafts is INR_OVERDRAFTS.
Funding the Cost Share PTA
The best practice is to fund the cost sharing account at the inception of the PTA. At minimum, the cost sharing PTA(s) must be funded by the end of each fiscal year and at the end of each award period. Cost sharing PTAs cannot be in overdraft at the end of the University's fiscal year. Department administrators must provide the funding source when providing the cost sharing PTA attributes. The funding source can be from one or more of the following sources:
- Gift fund
- Endowment income fund
- Designated/special fund
- Operating budget (not allowed in SoM)
All cost sharing expenses must be fully funded by the fiscal year end.
Early PTA Setup
Sometimes it is necessary to request that a PTA be setup in advance of the award being finalized.
If award acceptance is imminent, but there are known delays that may occur in award finalization, requesting an early PTA may be appropriate and can save you time and trouble in the long run.
Pre-award costs are made at the PI’s risk. If the award does not materialize or the start date is not what you expected, the PI is responsible for all costs incurred. As part of the Early PTA request, the PI and department must provide the following.
- A guarantee PTA with unrestricted funds must be identified to cover the costs in the event that the award does not materialize,
- Certification that any applicable human, animal or stem cell protocols have been filed for review and that no expenses involving those activities will be incurred until the final protocol approval is granted.
Once the award is received, an Early PTA will become the project PTA and there is no need to transfer expenses. It is strongly recommended that project expenses are NOT charged to an unrestricted PTA while waiting for an award to materialize. Any time charges are transferred onto a sponsored project PTA, as they would be when you have to “clear” early expenses and transfer them onto the proper PTA, careful documentation is required. Additionally, depending on how the expenses are incurred, the costs could be considered unallowable. The CAS language states:
The costs of any work project not contractually authorized, whether or not related to performance of a proposed or existing contract, shall be accounted for, to the extent appropriate, in a manner which permits ready separation from the costs of authorized work projects.
Do not use another sponsored PTA to fund expenses that you intend to move later. The expenses would be considered both unallowable and unallocable.
Make sure the expected award terms and conditions allow preaward spending. Certain agencies or programs, especially contracts, have specific rules governing pre-award expenses. Some sponsors may limit the dollar value of such charges, or may set time limits for their expenditure; read your award document.
For most Federal Grants, grantees may incur allowable pre-award costs within the 90 day period immediately preceding the effective date of the expected grant providing:
a) the approval of pre-award spending is made and documented in accordance with Stanford’s procedures; and
b) the advanced funding is necessary for the effective and economical conduct of the project.
Early PTA Setup Procedure
Early PTAs can be requested in the SeRA system. Search for the desired project for which you’d like to request the Early PTA. From that project’s Project Summary Page under Start a Transaction select Early/Extended PTA Request.
For detailed instructions see the Sponsored PTA Manager - Dept User Guide and the Sponsored PTA Manager - Early/Extend - Post Award User Guide here
Forms to Setup or Modify PTAs
Committed Cost Sharing
University Research PTA
Changes to existing PTAs in Oracle Financials, such as incremental funding, modifications, and amendments
SeRA Sponsored PTA Manager
|Sponsored Research Project PTA Attribute Changes||
Attribute changes for PTAs are not initiated in SeRA
Use Stanford GA PTA Maintenance
If not available, contact your OSR Accountant
|OSR Overdraft Cost Sharing Request||
Email Request to OSR Accountant
|Fellowships with no SPO #||OSR Form 36|
|Request for Expenditure Allocation PTA|
|Non Sponsored PTA||System/Form/Procedure|
|PTA Set-up Request for non-sponsored PTAs|
Changes to ROLE-related attributes for Principal Owner
Mass changes to PTAs
PTA Role Change Form
|Changes to Org Codes,||Contact your school accountant|
University Research PTA Set Up
After receiving an internal award, complete a PDRF with the following attachments:
- Award Letter and Cover Sheet
- Approved Budget
- Any required protocol approvals
Find detailed instructions on how to complete a PDRF for University Research awards here.
OSR will initiate the PTA set-up process. The setup process for University Research Awards follows the same path as all other sponsored projects through the SeRA system.
The Setup Process
- After the PDRF for the University Research Award is received and processed by OSR, OSR will process the associated award transaction and an Award Approval Notification (AAN) is created and emailed to the project stakeholders.
- A New PTA Setup transaction is automatically generated and assigned to a department administrator via the SeRA system for review and completion of the desired award configuration and entry of the budget allocation details.
- The New PTA Setup transaction is then routed to OSR for review of the information provided by the department administrator. If the information is complete and accurate, OSR will submit and baseline the budget in Oracle to complete the process.
- The Notice of Award (NOA) will be sent out once the New PTA Setup transaction has been completed. The NOA will now include PTA details.
To Begin Spending
Upon notification that the PTA has been set up, the department is to contact the awarding organization to create an iJournal Funds Transfer to transfer University funds to cover the amount of the award.
Not sure if your internal award is considered University Research? See Research Policy Handbook 13.2 Categories of Sponsored Projects for more information.
Transaction controls are used to block the use of designated expenditure types for new sponsored projects and new cost sharing awards.
Many of the hundreds of expenditure types now available for use on sponsored projects may not be appropriate for use on sponsored projects, or may be considered unallowable or only be appropriate in certain circumstances.
Blocking the use of expenditure types that are inappropriate for use on a sponsored project will prevent administrators from charging unallowable or unallocable expenses to the award, will reduce the number of journals and other time-consuming adjustments administrators must make, and reduce further unnecessary costs to the departments.
OSR will assign transaction controls at the project level (the “P” in P-T-A) when OSR sets up PTAs using project templates in Oracle. The project templates will address these six areas:
Unallowables – not chargeable on federal or state awards
Administrative Charging on Federal Awards (Major Project)
Stipends on Research Awards (example NIH R01 awards)
Expenditure types that would not be charged to any sponsored projects (example: ET 51610 LD Clearing Account, Cost of Goods Sold, COGEN , etc.)
Expenditure types that are chargeable to federal/non-federal awards only (example: animal care charges (VSC), NSF participant costs)
Capital Equipment and Fabrications - The default is SU owned, with the ability to change to non-SU or no capital equipment/fabrication
What Administrators Can Do
When an expenditure type cannot be charged on a sponsored project, make sure you understand why the expenditure type is not useable:
Review the job aid “Error Messages: expenditure type cannot be used because of a project transaction control for example error messages when a project transaction control is making an expenditure type unchargeable.
Run the RM3180 PTA Configuration Report for a listing of all project transaction controls on the award. (See the job aid: Transaction Controls on the RM3 180 PTA Configuration Report.
Once you have determined a project transaction control has made the expenditure type unavailable for charging, do not pick another expenditure type just because it is chargeable. Ask yourself the following questions:
- Am I using the correct expenditure type?
- Is this an expenditure type that is restricted to a specific award type (federal/non-federal)?
- Am I charging administrative expenses to a federal award that is not “administratively intense" (major project)?
- Is this a charge that is not allowable on any sponsored project?
- Am I correctly charging the appropriate capital /fabrication expenditure type?
- Am I incorrectly charging stipends instead of salary on a research award?
Once you determine the expenditure type is chargeable on the sponsored award, the department can request that the expenditure type be made available for charging by completing the OSR Form Request to Make Expenditures Types Chargeable/Non-Chargeable. This form can also be used to make expenditure types non-chargeable as well.
- Transaction Controls on the RM3 180 PTA Configuration Report -- provides guidance about transaction controls and how they restrict the use of expenditure types on your project.
- Error Messages -- expenditure type cannot be used because of a project transaction control displays examples of error messages when a project transaction control makes an expenditure type nonchargeable.
- Expenditure types and their definitions can be found using the Expenditure Type Query Tool and/or the Expenditure Type Definitions and Rules.