Subaward

Overview

The Subaward document is an e-doc can be used to document the financial assistance or procurement agreement. The document is used to record the subaward activities which can support Institutional and government audit requirements.

It is helpful for you to understand the trigger or circumstance that initiates the need to use the functions of the Subaward document, and the fundamentals of its life cycle – when it is required, who completes it, its routing, etc.

This topic covers the following sections: Overview; Completion Process; Flow Diagram; Routing and Status; Example Scenario; and links to Related Information.

It is followed by subtopics by page containing detailed documentation on each page, section, subsection and field for this e-doc.

In this topic:

Business Needs and Purpose

Policy

Maintenance Requirements for the FDP Templates

Roles and Responsibilities

Jump to page subtopics:

Template Information

Update an Existing Subaward

Business Needs and Purpose

The Subaward document is completed whenever:

• you need to document information about approved & funded subawards to comply with sponsor & federal regulations that require award recipients to receive sponsor approval prior to issuing a subaward to another organization

• you need to view funded Subaward status information that is associated with an Award document from within the Award document

The Subaward document is used to:

• document sponsor approval of subawards on a selected award and view the status of subawards that have been funded by a selected award

• reference information when approving outgoing subawards to ensure compliance with sponsor and university requirements by personnel responsible for monitoring sponsored awards

Policy

The policy statements that pertain to this activity are:

• Federal: Per OMB A-110 Subpart C.25.c (8), also referenced in 2 CFR 215.25 (c) (8), recipients shall request prior approvals from Federal awarding agencies for the subaward, transfer or contracting out of any work under an award, unless described in the application and funded in the approved awards. This provision does not apply to the purchase of supplies, material, equipment or general support services.

Recipients are responsible for managing and monitoring each subaward funded by the prime award. Subaward monies must be maintained and accounted for separately and in accordance with applicable federal flow-down regulations. Recipients are also required to ensure subrecipients have met audit requirements. The functionality for administration of each subaward will be covered in a later release within the scope of the KC Subcontract Module.

• Institutional Special Cases: Each institution may have requirements regarding subawards in addition to the requirements set forth by OMB A-110 and/or the sponsoring agency. If they are more restrictive, these terms and conditions may take precedence over federal and sponsor regulations. For example, if a non-federal sponsor is silent regarding prior approval for subawards, the Institution may still have a requirement for prior approval or notification that must be followed.

Maintenance Requirements for using the FDP Template Printing feature

ALERT: There are several maintenance tasks that need to be completed to support the subaward module. Some are a result of the 5.2.1 enhancement to generate FDP Agreements and Modifications from the subcontract records (KRACOEUS-6072).

1. Update Maintenance Documents: Several Maintenance document tables should to be maintained whether or not your institution plans to use the form generation tool. For example, the Contact Usage table makes the selection of contacts presented in the Award and Subaward modules easier for the end user. Maintenance > Shared > Contact Usage

2. Upload Templates. In order to utilize the FDP Agreements and Modifications feature, templates must be uploaded in the Maintenance > Subawards > Subaward Forms

3. Maintain Parameters. Code numbers for contacts and Template ID’s for attachments must be updated from the neutral values in the parameter table to support the FDP Agreements and Modifications. System Admin > Parameter

Figure 1510 Maintenance page> Subawards section

Subaward Maintenance Tables

Closeout Type

Items added in the Closeout Type code table appear in the drop-down selection list in the Subawards document > Subaward tab > Closeout panel.

Maintenance > Subawards > Closeout Type out of the box types:

Closeout Type	Description
1	10.2B Closeout of Subaward
2	10.2C1 Final Payment under Subaward: Financial Assistance
3	10.2C2 Final Payment under Subaward: Federal Contracts
4	10.2D1 Transmittal of Final Patent Report
5	10.2.D2 Transmittal of Residual Property Report
6	10.2F Subcontractor's Release: Subaward Federal Contracts
7	10.2G Subcontractor's Assignment of Refunds, Rebates, Credits, and other...
8	Audit Requested
9	Audit Completed
10	Negative Assurance Letter
11	Closeout Complete
12	Files Sent to Archives
13	Files Destroyed

Subaward Approval Type

This table is an artifact from the MIT Coeus Subcontracts module and is not directly utilized in the KC Subaward module. The primary key (subAwardApprovalTypeCode) of table SUBAWARD_APPROVAL_TYPE is used as a foreign key in the following tables and has references in their corresponding business objects:

• table: AWARD_SUBAWARD_TERMS business object: AwardSubAwardTerms

• table: TEMPLATE_SUBAWARD_TERMS business object: TemplateSubAwardTerms

Maintenance > Subawards > Closeout Type out of the box types

Subaward Forms

The subaward forms are accessed by the user in the Subawards module > Subaward Actions tab > Print panel.

Subaward Forms Maintenance table - a user with the appropriate system administrator permissions can maintain boilerplate XML style sheets with entries in the Subaward Forms table via Maintenance documents. Note: the Template Types are maintained separately with the maintenance doc: Subaward Template Type.

Maintenance > Subawards > Subaward Forms: forms provided out-of-the-box for KC are:

Form ID	Description	Template Type
FDP_AFOSR	AFOSR Attachment	FDP Sponsor Attachment
FDP_ARO	ARO Attachment	FDP Sponsor Attachment
FDP_DOE	DOE Attachment	FDP Sponsor Attachment
FDP_EPA	EPA Attachment	FDP Sponsor Attachment
FDP Template	FDP Agreement	FDP Template
FDP_ATT_3B	FDP Attachment 3B	FDP Template Attachment
FDP_ATT_3B_2	FDP Attachment 3BPage2	FDP Template Attachment
FDP_ATT_4	FDP Attachment 4	FDP Template Attachment
FDP_NASA	NASA Attachment	FDP Sponsor Attachment
FDP_NIH	NIH Attachment	FDP Sponsor Attachment
FDP_NSF	NSF Attachment	FDP Sponsor Attachment
FDP_ONR	ONR Attachment	FDP Sponsor Attachment
FDP_USDA	USDA Attachment	FDP Sponsor Attachment
FDP Modification	Template for FDP Modification	FDP Template
FDP_ATT_3A	FDP Attachment 3A	FDP Template Attachment
FDP_AMRMC	AMRMC Attachment	FDP Sponsor Attachment

To add a new form type:

Navigate to Maintenance > Subawards > Subaward Forms > create new

Enter a Description in the Document Overview panel

Enter the following information:

Field	Entry type	Explanation
*Form ID	<AnyChar>	Required to add, blank default, 30 max chars, user can enter a unique identifier
*Description	<AnyChar>	Required to add, blank default, 50 max chars, user may enter text description of the boilerplate template. This description will appear as choices when the user generates/prints the boilerplate agreement/modification.
Template	<Filename.xsl>	Required to add, browse to locate and return XML template. Search defaults to .xsl extension. The system utilizes XML templates aka style sheets, available from the FDP website (http://sites.nationalacademies.org/PGA/fdp/PGA_063626).
Template Type	<AnyChar>	User may select from dropdown of descriptions from the Template Type table. • FDP Sponsor Template • FDP Template • FDP Template Attachment • Subaward Attachment

Subaward Status

The subaward Status options are presented to the user in the Subaward module > Subaward tab > Subaward panel.

Maintenance > Subawards > Subaward Status: provided out-of-the-box for KC are:

Subaward Status Code	Description
1	Active
3	Archive
2	Inactive
4	Void
5	Closed

Subaward Template Type

Subaward template types are utilized with the Subaward Forms and as a means to group the items and separate the printing categories. There is no ability to create locally defined Subaward Template Types; these types are specific for the FDP subaward generation tool.

Maintenance > Subawards > Subaward Status: provided out-of-the-box for KC are:

Code	Description	Behavior
1	Subaward Attachment	Default value. This category can be maintained with the standard referenced attachments included with FDP agreements (ex. Final SOW, Final Budget), or any forms/documents. The Subaward Print Attachment Type Inclusion parameter defines which subcontract attachment types will be available for inclusion. Forms are available via ‘Print’ functionality for individual printing and for local form printing
2	FDP Sponsor Attachment	This category is maintained for the sponsor specific attachments. These attachments display the customized terms and conditions appropriate to each sponsor. Forms are available via ‘Print’ functionality for individual printing and for local form printing.
3	FDP Template Attachment	This category is maintained for the FDP defined attachments referenced by the agreement (Attachments 3A, 3B, 3B-2, 4, and 5). Forms are available via ‘Print’ functionality for individual printing and for local form printing.
4	FDP Template	This category is maintained for the FDP Agreement and Modification templates. Available via ‘Print’ functionality, users must select one or the other in order to print/generate an FDP Agreement or Modification.

Subaward Cost Type

The Cost Type is accessed by the user in the Subaward > Subaward panel > cost type field. The list provided out of the box in KC is listed below. Creating new types requires adding a code number and a description.

Maintenance > Subawards > Subaward Cost Type.

Code	Description
1	Cost Reimbursement
2	Firm Fixed Price
3	Time and Materials
4	Labor Hours
5	Cost Plus Fixed Fee
6	Billing Agreement

Subaward Copyrights Type

The Subaward Copyrights Type is available to the user in the Subawards document > Template Information tab > Template panel > Copyrights / Data Rights field. The out of the box types are specific for the FDP subaward generation tool and not additional types can be added locally.

Maintenance > Subawards > Subaward Copyrights Type: out of the box types.

Code	Description
1	Subrecipient Grants
2	Subrecipient Shall Grant

Subaward Report Type

The Report types appear to the user in the Subaward document > Template Information > Reports panel and are required for the FDP Agreement/Modification generation tool as a list of reports in Attachment 4 (Reporting Requirements). The out of the box types are specific for the FDP subaward generation tool and not additional types can be added locally.

Maintenance > Subawards > Subaward Report Type: out of the box types.

Code	Description
1	Final Technical Report
2	Final Patent Report
3	Final Property Report

Subaward Attachments Type

The Attachment types appear to the user in the Subaward document > Template Information > Attachments panel and are required for the FDP Agreement/Modification generation. The out of the box types are specific for the FDP subaward generation tool and not additional types can be added locally.

Refer to Subaward Print Attachment Type Inclusion parameter for description of related functionality.

Maintenance > Subawards > Subaward Report Type: out of the box types.

Code	Description
1	Scope of Work
2	Budget
3	Transmittal Letter
4	Subaward
5	Attachment 4A
6	Attachment 5
7	Attachment 6

Shared Maintenance Documents

Contact Type

Contact Types are utilized in both Award and Subaward modules for Internal and External persons. These Contact Types are presented in the drop-down selection lists on the Contacts tab in both modules. Many types are provided out-of-the-box, but you may wish to add or alter types to suit your local business practices.

Certain types are utilized in the new FDP Subaward Agreement Template Attachments 3A and 3B. If the types are not already defined, they should be added.

• For 3A: Prime Administrative Contact, Prime Authorized Official, Prime Financial Contact.

• For 3B: Subcontract Administrative Contact, Subcontract Authorized Official, Subcontract Reporting Contact. (The Subcontract PI for this form is mapped to the Site Investigator field on the Subaward tab > Subaward panel.)

Also required, several of these codes must be maintained in the Parameters for printing in the FDP Templates. (See the Parameter maintenance section for specifics.)

Maintenance > Shared > Contact Type (highlighted types have been maintained to contact usage for subawards)

Contact Type Code	Description
1	Technical/Scientific Officer--1
2	Awarding Office Contact--1
3	Payment/Fiscal Reporting Contact
4	Intellectual Property Contact
5	Property Office Contact-1
6	Subcontracting Reporting Contact
7	Final Report Submission Address
8	Other
9	Procurement Reporting Contact-1
10	Close-out Contact
11	Report Submission Address--1
12	Report Submission Address-2
13	Administrative Contact--1
14	Awarding Office Contact--2
15	Technical/Scientific Officer--2
16	Property Office Contact-2
17	Procurement Reporting Contact-2
18	Procurement Reporting Contact-3
19	Procurement Reporting Contact-4
20	Procurement Reporting Contact-5
21	Property Office Contact-3
22	Administrative Contact--2
23	Technical/Scientific Officer--3
24	Report Submission Address-3
-1
30	Internal Contact
31	Subaward Administrative Contact 1	Maps in the FDP Sub Administrative Contact Code parameter to use Address Book data to populate FDP Attachment 3B (Subrecipient Contacts) Administrative Contact section.
32	Subaward Financial Contact 1	Maps in the FDP Sub Financial Contact Code parameter to use Address Book data to populate FDP Attachment 3B (Subrecipient Contacts) Financial Contact section.
33	Subaward Authorized Official	Maps in the FDP Sub Authorized Official Code parameter to use Address Book data to populate FDP Attachment 3B (Subrecipient Contacts) Authorized Official section.
34	Prime Administrative Contact	Maps in the FDP Prime Administrative Contact Code parameter to use Address Book data to populate FDP Attachment 3A (Prime Recipient Contacts) Administrative Contact section.
35	Prime Financial Contact	Maps in the FDP Prime Financial Contact Code parameter to use Address Book data to populate FDP Attachment 3A (Prime Recipient Contacts) Financial Contact section.
36	Prime Authorized Official	Maps in the FDP Prime Authorized Official Code parameter to use Address Book data to populate FDP Attachment 3A (Prime Recipient Contacts) Authorized Official section.
37	Authorizing Official
38	Financial Contact

Contact Usage

The Contact Usage table was added in 5.2.1to filter the list of contact types displayed to be specific to each module. When the Contact Usage table is selected, a maintenance window appears. Select either Award or Subcontracts and then use the Add button to select the types that should appear in that module.

To utilize the FDP Subaward Agreement/Modification attachments, the following types have been maintained for Subaward.

Maintenance > Shared > Contact Usage > Module > Subcontracts

Code	Description
3	Payment/Fiscal Reporting Contact
6	Subaward Reporting Contact
13	Administrative Contact 1
30	Internal Contact
31	Subrecipient Administrative Contact 1
32	Subrecipient Financial Contact 1
33	Subrecipient Authorized Official
34	Prime Administrative Contact
35	Prime Financial Contact
36	Prime Authorized Official
37	Authorizing Official
38	Financial Contact

Parameter Maintenance

The parameters were set as shown below in the KC development and test instances. Refer to your local environment maintenance tables to confirm the codes and values are appropriate to your practices.

System Admin > Configuration > Parameter > Namespace Code: KC-SUBAWARD > Parameter Type Code: Config

Parameter Name	Parameter Description	Parameter Value
FDP_Prime_Administrative_Contact_ Code	FDP Prime Administrative Contact Code	34
FDP_Prime_Authorized_Official_Code	FDP Prime Authorized Official Code	36
FDP_Prime_Financial_Contact_Code	FDP Prime Financial Contact Code	35
FDP_Sub_Administrative_Contact_Code	FDP Sub Administrative Contact Code	31
FDP_Sub_Authorized_Official_Code	FDP Sub Authorized Official Code	33
FDP_Sub_Financial_Contact_Code	FDP Sub Financial Contact Code	32
Subaward_Follow_Up	Determines the length of time that default follow up date is set to on the subaward closeout panel. Valid setting is a number followed by a D or a W. 6W means six weeks, 10D means 10 days.	6W
Subaward_FDP_Attachment_3B_Form_ID	Subaward FDP Attachment 3B Form ID	FDP_ATT_3B
Subaward_FDP_Attachment_4_Form_ID	Subaward FDP Attachment 4 Form ID	FDP_ATT_4
Subaward_FDP_Attachment_5_Form_ID	Subaward FDP Attachment 5 Form ID	0
Subaward_Print_Attachment_Type_ Inclusion	Subaward Print Attachment Type Inclusion	1,2,3,5,6,7

Roles and Responsibilities

• The Modify Subaward role can for create, modify, and view Subaward documents. The subaward document identifies the Organization Name, Site Investigator, Start &End dates, the Amount for a Subaward, and other pertinent details. The selection of an Award document as the Funding Source from within the Subaward record creates the link between the Subaward and Award documents

• The Subaward Requisitioner Review Approver is responsible for reviewing, commenting on, disapproving, and/or approving Subawards

• The Requisitioner is a derived role – this is the KC Person who initiated the request to initiate the subaward; their person record is maintained in the subaward document creating the “derived” role.

• The View Subaward role supports viewing the Subaward documents.

Document Layout

The Subaward document is comprised of a header area, eight tabbed pages (Subaward, Funding Source, Amount Info, Amount Released, Contacts, Closeouts, Subaward Actions, and Custom Data) – each of which contain expandable, tabbed sections/subsections, and an action button area.

Figure 1511 Subaward Document - E-Doc Components

Table 617 Subaward - Major Components Overview

Major Document Component	Summarized Description
Header area	Document identification information at the top, right of the document containing both common and document-specific fields.
Tabbed Pages	Pages that make up the document which are accessible by clicking the folder tab for each. These are groupings of functionally related information for the purpose of display and collection and are generally designed to be completed in left-to-right order.
Panel Sections	Multiple tabbed panels within each page contain data entry/selection/display fields that can expand and collapse via hide/show buttons. Some sections contain subsections – the labels for which are highlighted in a darker shade of grey.
Action Buttons	Buttons that appear at the bottom, center of the document (regardless of page), some of which are common to all e-docs, and some of which are unique to this particular document.

	For more information about e-doc component features that are common to all e-docs, see”E-Doc Topology” Overview > E-Doc Fundamentals.
	For more information about e-doc component features that are unique to the Subaward e-doc, see Subaward, then select the appropriate corresponding subtopics for each page, section, or subsection below.

Header

After populating required information and saving a Subaward document, its document header displays unique fields based upon the entries/selections you made. These provide a quick reference summary of key identifying information about each particular Subaward.

Figure 1512 Subaward Document > Document Header – Unique Fields After Save Example

Pages

The Subaward document is comprised of five (5) tab pages. A minimum number of fields required for saving the document appear on the first (left) page, with some additional requirements on some or all of the remaining pages.

Figure 1513 Subaward Document - Pages Layout

Creating a New Subaward Document

Introduction

You complete the Subaward e-doc when you want to track a subcontract project by a uniquely identified record, where specific information can be referenced, including the funding award, the site investigator, the organization, the amount obligated to the subaward, the amounts invoiced against that subaward, and the funds remaining available.

Scope

This procedure covers:

• Creating a new Subaward document

• Adding an Invoice to a Subaward document

• Updating an existing Subaward document

Before You Begin

Before you begin this procedure, you will first need the following:

• Access: permissions associated with an Modify Subaward role

• Pre-existing Conditions: There must be an existing award to designate as the funding source in the subaward.

• Prerequisite Tasks:

The following tasks must be completed prior to initiating this activity:

• Create an Award e-doc

Prior Procedure Reference: This procedure continues from “Award”.

Navigation Path

Getting started – this quick system reference depicts how to access the start screen for this procedure. The process task steps in the ordered list below assume you will be creating a new Subaward document.

Create New:

> >

For more information on creating a new document, see “Initiating a Document” in Overview > Common E-Doc Procedures.

Access Existing:

> >

Or…

doc search.jpg >> enter/select criteria >>

or…

action list.jpg > >

	For more information on accessing an existing document using the global doc search button, see “Searching for a Document” in Overview > Common E-Doc Procedures.
	For more information on accessing an existing document using the global action list button, see “Using the Action List” in Overview > Common E-Doc Procedures.

Subtopics: