How To: Request New PTA

Who does this?  Staff

When?  A new Project, Task, or Award (PTA) combination is needed. This includes capital projects, sponsored projects, Service Center, other operating budget, designated, allocation, clearing, expendable or endowment gift PTAs

How?  By completing the appropriate online or paper-based forms and submitting them to the correct central office department for processing

 

On this page:

• Request a New Non-Sponsored PTA (Other Designated, Expendable or Endowment Gift, or Operating Budget PTA)
• Request New Capital Projects PTA (when Facilities Form 1 is required)
• Request New Capital Projects PTA (when Facilities Form 1 is not required)
• Request New Sponsored Project PTA
• Request New Service Center PTA
• Request a New Expenditure Allocation PTA
• Request a New Travel Card Clearing PTA

To learn more about types of PTAs, authorized use, approved funding source(s), other requirements and PTA close restrictions, see Policy Notes: Use of PTAs.

 

Request a New Non-Sponsored PTA (Other Designated, Expendable or Endowment Gift, or Operating Budget PTA)

Visit the PTA Manager web site to learn about:

• Benefits
• Authority and Access
• Training Opportunities and Requirements
• Step-by-Step Instructions
• Reports and Inquiry Tools
• Support Contacts and More

Note – Subsequent releases will include other account types (e.g., sponsored, service center, capital accounts). PTA Manager will replace manual forms and processes.

Request New Capital Projects PTA (when Facilities Form 1 is required) (4 steps)

As a general rule, projects requiring a jurisdictional permit and plan check will require a Form 1. To confirm that your project does require a Form 1, review the Facilities Project Initiation Policy provided by the Land and Buildings department.

To request a new capital project, the project initiator creates a Form 1 using the online Form1 system:

Note:  School / department facilities representatives create or review the Form 1 to approve scope and budget.

1. https://form1.stanford.edu/.

Note:  The online Form1 system includes a Help Menu with policy and procedural information including the Form 1 Process.

The Department of Capital Planning reviews all Form 1 requests.

For approved projects, the Department of Capital Planning completes the Capital Projects PTA Request form and sends it to Capital Accounting.

Capital Accounting completes the PTA setup and notifies the Project and Task Managers and Owners via email when the PTA setup is complete and funding is available.

Note:  The Department of Capital Planning sends a copy of the approved Form 1 and the completed Capital Projects PTA Request form to a distribution that includes Project Managers and school / department facilities representatives.

Request New Capital Projects PTA (when Facilities Form 1 is NOT required) (4 steps)

Follow these Quick Steps to setup a capital Project PTA when a Facilities Form 1 is NOT required. A Form 1 is not required for routine, general funded plant maintenance projects. As a general rule, projects requiring a jurisdictional permit and plan check will require a Form 1.

Review the Facilities Project Initiation Policy provided by the Land and Buildings department to confirm that the capital project does not require a Form 1.

Note:  If your project does require a Form 1, see How To: Request New Capital Projects (when Facilities Form 1 is required).

To request new capital project PTA, when a Form 1 is not required, download and save a copy of the Capital Projects PTA request form:

1. Click Capital Projects PTA Request Form.
2. Enter your SUNet ID and password as prompted.
3. Save form to your personal hard drive.

Complete the form:

1. Follow the instructions on the form to enter all required information.
2. Save completed form to your personal hard drive.

Note 1:  Refer to the bottom of the form for field descriptions.

Note 2:  Review PTA Attributes & Definitions to understand the information requested on the PTA setup form and attributes assigned by Capital Accounting during PTA setup.

Send completed Capital Projects PTA Request form as an email attachment to Capital Accounting.

Note 1:  Allow several days for processing.

Note 2:  Capital Accounting will notify Project and Task Managers and Owners via email when the PTA setup is complete and funding is available.

Request New Sponsored Project PTA

The Office of Sponsored Research (OSR) sets up all new PTAs related to sponsored project using the ePTA web based system. Changes to existing sponsored project PTAs are processed using paper forms. Visit the DoResearch web site for information on setting up sponsored project PTAs.

Request New Service Center PTA (4 steps)

Service Centers are self-sustaining "businesses" that provide on-going products or services in support of the University's teaching and research functions. Service Centers may support specific departments or the entire campus. On a very limited basis, they may also provide services / products to users external to Stanford. For more information on Service Centers visit the DoResearch web site.

To request a new service center, download and save a copy of the Request for Establishing a New Service Center Form:

1. Click Request for Establishing a New Service Center Form.
2. Save form to your personal hard drive.

Follow the instructions on the form to enter all required information including:

1. Description of products and services to be provided.
2. Potential users and projected level of activity/usage.
3. Summary of budget and calculation of projected allocation rate.
   
   
Note:  For help creating a budget, refer to the Sample Budget worksheet included in the Excel form.


4. Guaranteed account (PFO or PTA) for annual expense deficit or carry forward of any net balances.
   
   
Note:  Administrative Service Centers are required to break even within 5 percent of budget.

Obtain department / school signature approvals on page three of the form.

Note:  The Budget Office must approve all Administrative Service Centers.

Send completed approved form via ID mail to:

Compliance Analyst
Policy & Compliance Department
Research Financial Compliance & Services (RFCS)
127 Encina Commons MC 6025

Note 1:  Allow several days for processing.

Note 2:  The Compliance Analyst in Research Financial Compliance & Services (RFCS) will notify Project and Task Managers and Owners via email when the PTA setup is complete and funding is available.

Request New Expenditure Allocation PTA (4 steps)

An Expenditure Allocation PTA is used to temporarily "house" transactions until later allocation to specific PTA's. Expenses are accumulated in the Expenditure Allocation PTA, and then allocated (cleared) monthly to specific users or beneficiaries of the expense. For more information on Expenditure Allocation Guidelines, visit the DoResearch web site.

To request a new Expenditure Allocation PTA, download and save a copy of the Request for Expenditure Allocation PTA Form:

1. Click Request for Expenditure Allocation PTA Form.
2. Save form to your personal hard drive.

Follow the instructions on the form to enter all required information including:

• Description of purpose
• Allocation methodology
• Individual responsible for clearing the account
• Guarantee account (PTA) for any uncleared expenses

Obtain department / school signature approvals on page two of the form.

Send completed approved form via ID mail to:

Compliance Analyst
Policy & Compliance Department
Office of Research Administration (ORA)
150 Encina Commons MC 6025

Note 1:  Allow several days for processing.

Note 2:  The Compliance Analyst in ORA will notify Project and Task Managers and Owners via email when the PTA setup is complete and funding is available.

Request New Travel Card Clearing PTA (4 steps)

A Travel Card Clearing PTA is a departmental PTA used only to accumulate costs incurred on a University Travel Card prior to the final allocation of expenses when the costs are associated with an expense report. The Travel Card Clearing PTA can be linked to one or many travel cards. Travel costs, such as airfare, are accumulated and then allocated to the appropriate PTA after the trip. Initially, costs charged to the Travel Card Clearing PTA will appear on its Fund Statement in Object Code 11545, "Stanford Prepaid Travel Card". When the PTA is cleared by including the costs in an Expense Requests expense report for the trip, they will appear on the appropriate PTA's Expenditure Statement in a travel expenditure type. For more information on the University Travel Card please reference Overview: Stanford's Travel Card Program.

To request a new Travel Card Clearing PTA, download and save a copy of the Travel Card Clearing PTA Set Up Form:

1. Click Travel Card Clearing PTA Set Up Form.
2. Save form to your personal hard drive.

Follow the instructions on the form to enter all required information. Some of the fields on the form, highlighted in yellow, have been pre-populated for Travel Card Clearing PTAs.

Note 1:  Refer to the second worksheet in the Excel form for field descriptions.

Note 2:  Review PTA Attributes & Definitions to understand the information requested on the PTA setup form and attributes assigned by Fund Accounting during PTA setup.

Note 3:  An approved guarantee account which will be used for any uncleared expenses is obtained as part of the Travel Card application process

Save completed form to your personal hard drive.

Send completed Fund Accounting PTA Request form as an email attachment to Fund Accounting.

Note 1:  Allow several days for processing.

Note 2:  Fund Accounting will notify Project and Task Managers and Owners via email when the PTA setup is complete and funding is available.

 

What Happens Next?

• The Award Manager, Award Owner, and Co-Principal Investigator (where one exists) will receive an e-mail notification and/or an Oracle Workflow Notification when the PTA setup is complete.
• Email notification recipients should inform other individuals (i.e. Project or Task Owners / Managers) regarding the new set-up. For Capital Projects, Capital Accounting will notify the Project and Task Managers and Owners when the PTA setup is completed.

Questions?

• To validate the setup of new Projects, Tasks, and/or Awards, run the FIN_REF_229_PTA_Listing report or the FIN_REF_217_Award_Listing report. These reports are available in ReportMart3.