Kaiser Permanente - Deparment of Research and Evaluation

SPA and Finance

About Our Group

Research & Evaluation Finance (REF) under the leadership of the Administrative Director of Research & Evaluation Finance Sharon Figgins, is dedicated to providing high quality support to the Kaiser Permanente Southern California Research Program. Due to the complexity of research activities, REF provides dedicated staff, specially trained in research administration, to assist and coordinate in the pre- and post-award administrative aspects required to conduct research at Kaiser Permanente. REF was established to support investigators and to ensure that research conducted at, or in collaboration with Kaiser Permanente, complies with sponsor requirements, A-133 regulations federal administrative (OMB A110) and cost principle (OMB A122) guidelines, as well as institutional policies.

REF provides a variety of services to support the investigator throughout the research project cycle. The process includes budgeting, contracting, accounting, reporting and monitoring functions. Subdivisions of the REF are Sponsored Project Administration (SPA) and Research Finance Office (RFO).

Role of Sponsored Projects Administration (SPA)

Sponsored Projects Administration (SPA) has the institutional responsibility for administration of all extramurally funded research activity. Oversight is performed in accordance with the appropriate federal regulations, institutional policies, and good business practices for assurance of proper stewardship on behalf of the sponsor and the institution.

SPA is responsible for all pre-award and post-award management of the extramural sponsored projects. Pre-award functions include responsibility for

  • Review of proposals to assure the principal investigator has adhered to the provisions of the request for application from the sponsor; specified allowable, allocable and reasonable costs in the budget.
  • Assist the principal investigator in preparation of all aspects of application to include budgets, budget justifications, etc.
  • Inclusion of all other costs to support the project (i.e. shared resources, supplies, equipment, travel, subcontracts).
  • Adherence to the regulations of the institutional regulatory committees (as necessary).
  • Grant or contract negotiations with the sponsoring agency.
Post-Award functions include responsibility for
  • Receipt of and notification of principal investigator of the notice of award.
  • Modification or update of NOA budget as necessary.
  • Preparation of any modification or no cost extension request from sponsoring agency.
  • Establish cost center.
  • Preparation of subcontracts (if applicable).
  • Data entry of award information.
  • Assure compliance with the sponsor and institutional requirements concerning award.
  • Ensure the submission of required reports (i.e. technical and financial).
  • Supervise close out procedures (i.e. Financial Status Reports (FSR), invention statement, scientific report).
Audit Requirements
  • Coordinate and response to audit request from sponsors.
  • Response to audit requests from internal auditors as part of the annual A-133 audit.

Role of Research Finance Office (RFO)

The Research Finance Office (RFO) is responsible for overseeing post-award fiscal compliance of all extramural sponsored projects in accordance with A-133 regulations. RFO office provides sponsors with invoices and expenditure reports in accordance with generally accepted accounting principles as well as sponsor and institutional (Kaiser Permanente National and Southern California Permanente Medical Group (SCPMG) policy. RFO shall work with the office, department/division administrators/financial contact and the principal investigator in the review and preparation of any payments to subcontractors assigned to extramural projects. RFO shall provide departments/divisions and Principal Investigators with ad hoc reports and analysis for the effective management of cost center accounts by the department/division and Principal Investigator. RFO shall be responsible for all collections and accounts receivable for all extramural sponsored projects. RFO shall be responsible for the monitoring and updating of the fiscal fund accounting database associated with the extramural sponsored projects.

RFO is responsible for the preparation, determination, negotiation and defending the facilities and administration (indirect) rates, the fringe rates and other charges to sponsored projects. RFO shall provide a quarterly report on the recharges to sponsored projects from the SCPMG Research & Evaluation shared core resources to the Administrative Director – R&E Finance.

RFO shall be responsible for, but not limited to
  • Prepare invoices and follow-up for all cost reimbursement contracts and agreements for sponsored projects.
  • Prepare invoices and journal vouchers to reimburse medical center operating and support department services performed for Industry sponsor clinical trials.
  • Prepare Financial Status Reports (FSR) for projects, Research Executive Committee and Regional Offices.
  • Reviews expenditure reports for all cost centers monthly to ensure all relevant payroll and accounts payable expenditures and budgets are correctly entered.
  • Calculate and prepare grant income accrual journal entries at month end.
  • Ensure proper account classification and cost center accountability on general ledger.
  • Assure compliance with institutional accounting; SOX and federal requirements.
  • Preparation of year end schedules required by auditors for the financial audit related to grant accounting.
  • Ad Hoc expenditure reports by cost center for principal investigators as requested.
  • Quarterly sponsored projects fiscal report for the Research & Evaluation SPA Manager and Administrative Directors.
  • Training of departmental personnel on the fiscal management and compliance.

Intramural Awards (ie. Regional Research Committee):

  • Prepare, modify, and/or update budgets as necessary.
  • Establish cost centers.
  • Assure compliance with institutional and research policy.

Research Finance Services

The Research & Evaluation Finance (REF), under the leadership of the Administrative Director of REF Sharon Figgins, provides a variety of resources and services to assist the scientists to continue to advance science to enhance the lives of the members of Kaiser Permanente and the general population.

Services and Resources provided are: Funding, Proposals, Awards, Resources and Training

Finance Administrator
(626) 564-3455
100 S. Los Robles Ave, Pasadena, 91101
KPSC.ResearchFinance@kp.org, Research-SPA@kp.org