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Office of Sponsored Projects

Hinman Box 6210
11 Rope Ferry Road #6210
Hanover, NH 03755
Phone: 603-646-3007
Fax: 603-646-3670
Email: sponsored.projects@dartmouth.edu

Notice of Award/Account Set Up Procedures

WHEN A NOTICE OF AWARD IS RECEIVED

The first formal indication that a sponsored project award has been funded is usually in the form of a sponsoring agency Notice of Award (NOA). This notice is sent directly to the Office of Sponsored Projects. The NOA will include:

• Dates of the budget period or other specified funding period.

• The amount of the funds authorized for obligation by the sponsor during the period indicated.

• Special terms and conditions binding upon the award.

• Outline all general terms applicable to the award.

• An additional notification will be a schedule for filing technical and financial reports.

Verbal notification from a sponsor is not sufficient for the College to authorize work to proceed. Under most circumstances the NOA must be received by the Office of Sponsored Projects before the project can begin or anticipated funds may be expended.

HOW YOU’LL BE NOTIFIED - INTERNAL NOTICE OF AWARD SENT OUT

Using RAPPORT, a Pre-Award Grants Officer will send the following information to the Principal Investigator, Department Grant Manager and the Sponsored Research Manager responsible for that department:

• The budget, period of award, title of project and dollars awarded.

• Copy of restrictions/prohibitions to the award and other information that is of special consideration.

• Either an electronic or a scanned copy of the Notice of Award will be sent to the Department Grant Manager.

ACCOUNT SET-UP

PTAEO (also known as PTA) Accounts are used for Sponsored Project Awards, PTAEO stands for Project, Task, Award, Expenditure Type and Organization Number (every department has a distinct Org Number).

If an Advance Account Request Form has been received by the Office of Sponsored Projects, a PTA Advance Account is set up if we have the following information from the department:

  • Funding proposal and Budget
  • Human Subjects (IRB/CPHS) Approval (if applicable)
  • Animal (IACUC) Approval (if applicable)
  • If there is a pending IRB or IACUC approval, a PTA Advance Account will be set up, however it will be restricted to only being able to spend on NON-IRB or NON-IACUC expenses untilthe Office of Sponsored Projects has received the IRB or IACUC approval.

When the Office of Sponsored Projects receives the Notice of Award, the Pre-Award Grants Officer using RAPPORT, sends the Principal Investigator, Department Grant Manager and Sponsored Research Manager for that department a copy of the Notice of Award. A PTA Account is then set up if we have the following information from the department:

  • Funding Proposal and Budget
  • Human Subjects (IRB/CPHS) Approval (if applicable)
  • Animal (IACUC) Approval (if applicable)
  • If there is a pending IRB or IACUC approval, a PTA account will be set up, however it will be restricted to only being able to spend on NON-IRB or NON-IACUC expenses until the Office of Sponsored Projects has received the IRB or IACUC approval.

BUDGET TEMPLATES

NIH Modular Grants

If we receive an NIH Modular Grant, the Sponsored Research Manager will budget Direct Costs into Expenditure Type 8400A and Indirect Costs into Expenditure Type 8511A (if on-campus) or 8512A (if off-campus).

If there are Subawards on the NIH Modular Grant, the Sponsored Research Manager will contact the Department Grant Manager asking them to send them a Subaward Budget Template.

NIH Program Project Grants

If we receive an NIH Program Project Grant, the Sponsored Research Manager will contact the Department Grant Manager to determine how many PTA Accounts need to be set up. In this instance since there are multiple PTA Accounts that will need to be set up for this grant, we will need the Department Grant Manager to send us Budget Templates for each of the PTA Accounts under this grant.

All Other Grant or Contract Awards

For all other Grant and Contract Awards, the Sponsored Research Manager will assign general Expenditure Types based on the awarded budget categories. Please note Expenditure Types marked Budget Only are only used for budget purposes, actual transactions should not be put against Budget Only Expenditure Types.

Cost Share

If we receive an award that includes cost sharing, the Sponsored Research Manager will assign Expenditure Types for the cost share budget categories listed on the funding proposal. If clarification is needed, the Sponsored Research Manager will contact the Department Grant Manager.

The Sponsored Research Manager will fill out a standard Budget Template which assigns Expenditure Type Codes to the awarded budget categories on that particular project.

Here is a list of the standard Expenditure Type Codes that will be used by OSP:

  • 6000A All Salaries (Budget Only)
  • 6500A All Fringe Benefits (Budget Only)
  • 7038A Equipment under $5,000
  • 7119A Equipment over $5,000
  • 7400A Supplies (Budget Only)
  • 8110A Travel Foreign - If allowable (Budget Only)
  • 8140A Travel Domestic (Budget Only)
  • 8511A On-Campus Indirect Costs
  • OR
  • 8512A Off-Campus Indirect Costs

SETTING UP MULTIPLE PROJECTS UNDER THE SAME AWARD

Multiple projects are typically set up when multiple Principal Investigators or multiple Departments are involved on the same sponsored project award.

WHEN PTA ACCOUNTS STAY THE SAME/CHANGE

The PTA account stays the same if the award meets all of the following criteria:

  • Automatic carryover of funds from one budget year to another
  • Sponsor award number does not change during the life of the award
  • No annual financial reports are required or only a final financial report is required at the end of the award
  • No invoices required or only require a final invoice at the end of the award

The PTA account changes if the following scenarios apply:

  • The sponsor does not allow automatic carryover (prior approval from the sponsor is required).
  • Sponsor requires an annual financial report, the Project Number (example 500243) in the PTA account string will change each year.
  • The sponsor changes their award number yearly, the entire PTA account string will change yearly.
  • If a competing renewal, the entire PTA account string will change.
  • If there is a unique set of circumstances that affect the PTA account string set up, your Sponsored Research Manager will contact you and discuss.

DETERMINING THE AWARD NUMBER TO USE WHEN SETTING UP A PTA ACCOUNT 

The Award portion of the PTA Account string represents how we receive payments from the sponsor, the following are the different ways we receive payments from the sponsor:

  • Letter of Credit, the Award portion of the PTA Account string would be LXXXXX for Non-DHHS awards
  • Letter of Credit, the Award portion of the PTA Account string would be SLXXXX for DHHS awards
  • Billed, the Award portion of the PTA Account string would be BXXXXX.
  • Payment Schedule, the Award portion of the PTA Account string would be PXXXXX.

FOREIGN CURRENCY AWARDS

  • These are awards that require converting payments from the sponsor to US currency.
  • After the Sponsored Research Manager has set up the PTA account, the Sponsored Research Manager reminds the Principal Investigator and Department Grant Manager that at the end of the award, if the sponsor does not fully reimburse all costs charged to the account due to the fluctuating conversion rate, the department is responsible for covering any unpaid expenses.
  • The Sponsored Research Manager needs to let the Department Grant Manager know that we only increase the budget in OGA by the amount of funds received in converted US dollars, this way the Principal Investigator and Department Grant Manager will know that the OGA budget always equals revenue received to date on that award.
  • The Sponsored Research Manager will need to let the Department Grant Manager know to use the current conversion rate to roughly estimate what the total awarded amount will be converted to in US dollars so they can spend accordingly.
  • As we enter the last quarter of the awarded budget period, the Sponsored Research Manager will communicate with the Department Grant Manager to see where we are with spending and what we think the final payment will roughly convert to in US dollars. Spending in the final quarter of the award should be conservative.
  • The Sponsored Research Managers will monitor these types of awards closely and communicate frequently with the Department Grant Manager.

Last Updated: 3/13/17