Subaward - FDP Forms

Overview

The Subaward module in Kuali Research has the ability to pull entered information and populate FDP boilerplate forms directly pulled from FDP to print and use when issuing outgoing Subawards.  This saves valuable data entry time and allows users the ability to instantly generate the necessary FDP form sets they require for the given subaward.  The FDP forms will also generate in an editable format so although it will pull data from the completed subaward it can still be edited as desired.

The general data is pulled from a variety of areas in the Subaward module; including the award that is linked in the Funding Source panel of the Subaward panel.   But the specific FDP form question information is completed in the Template Information tab of Subawards.  You can access the print options via the Print panel in the Subaward Actions tab.  Below gives more information about the Template Information and Print options.

Also, we have a feature flag surrounding the template information, validation, and print options on Subaward FDP forms.  When the parameter Enable_Form_Printing is enabled it will turn on the validations in the Template Information tab requiring certain information for FDP form mapping and also makes the print button available in the Print panel on the Subaward Actions tab.  

The FDP Subaward forms utilize the Kuali PDF tool that makes the process more streamline; more information on this tool can be found here.

Configuration

The Subaward FDP forms have some configuration required before the functionality can be utilized; specifically the below parameters need to be set before using.  The Contact Code parameters will dictate which specific contact type will map to that type in the FDP forms.

• Enable_Form_Printing
• FDP_Prime_Administrative_Contact_Code
• FDP_Prime_Authorized_Official_Code
• FDP_Prime_Financial_Contact_Code
• FDP_Sub_Administrative_Contact_Code
• FDP_Sub_Authorized_Official_Code
• FDP_Sub_Financial_Contact_Code

Be aware that the Subaward Modification Type table entries will also drive logic in these forms so it is recommended to not change the out of the box values.

Also, the 'Federal Awarding Agency' dropdown field in both the FDP Agreement and FDP Modification forms has logic tied to Sponsor Hierarchies (NIH Multiple PI and KCOI PHS) and the sponsor acronyms.  More is explained in the form mapping for this field in each form below.

FDP Agreement

The FDP Agreement will print the main agreement form along with the FDP Attachment forms 1-6 listed below; in addition any included PDF attachments from the Template Information tab.  Be aware, although we generate Attachment 4 and 5 for completion no information is mapped to these forms currently other than the default selections provided in the forms from FDP.

• FDP Cost Reimbursement Subaward (or FDP Fixed Price)
• Attachment 1:  Certifications and Assurances
• Attachment 2:  Federal Award Terms and Conditions
• Attachment 3A:  Pass-Through Entity (PTE) Contacts
• Attachment 3B:  Subrecipient Contacts
• Attachment 3B-2:  Highest Compensated Officers
• Attachment 4:  Reporting and Prior Approval Terms
• Attachment 5:  Statement of Work, Cost Sharing, Indirects & Budget
• Attachment 6:  Notice of Award (NOA) and any additional documents

Below outlines the mapping logic for each form which can pull from the linked award in the Funding Source, info on the Subaward tab, and Template Information.  Again, once generated the fillable forms can be altered as desired.

FDP Cost Reimbursement Subaward

• Federal Awarding Agency: This dropdown selection is based on the Sponsor from the linked Award in the Funding Source panel of the Subaward panel.  First the logic will look to see if this sponsor is part of the NIH Multiple PI sponsor hierarchy; if so it will select the 'National Institutes of Health (NIH)' in the dropdown.  If not in that sponsor hierarchy it will then look to see if it's part of the KCOI PHS sponsor hierarchy; if so it will select 'Other PHS' and type in the agency from the Sponsor name.  If not in either of these hierarchies it will then at the acronym of the sponsor from the linked award; if the acronym matches one of the dropdown selections it will select that from the dropdown.  So if the linked Funded Award has a sponsor of National Science Foundation, and that sponsor acronym is NSF in the Sponsor table then it will select National Science Foundation (NSF) from the dropdown.  If the sponsor is none of the above it will chose 'Other' and enter the Agency name.
• Pass-Through Entity (PTE): This information will pull from the linked Award in the Funded Source panel of the Subaward panel; including the PI from that award.  It will always pull information from the first subaward listed if multiple exists.
• PTE Federal Award No:  This will pull the Sponsor Award ID from the linked Award in the Funded Source panel of the Subaward panel.  It will always pull information from the first subaward listed if multiple exists.
• Subrecipient:  This is the Subrecipient and Site Investigator entered on the Subaward tab.
• Subaward No: This will pull from the FSRS Subaward Number field on the Subaward tab.
• Project Title:  This will pull from the linked Award in the Funded Source panel of the Subaward panel.  It will always pull information from the first subaward listed if multiple exists.
• Subaward Budget Period: The Start Date will pull from the Start Date entered on the Subaward tab.  The End Date will be the date entered in the Period of Performance End Date field from the last transaction entered in the Financial tab.
• Amount Funded This Action:  Will pull the total Obligated amount from the Financial tab.
• Estimated Period of Performance: The Start Date and End Date will pull from the Start/End Date entered on the Subaward tab.
• Incrementally Estimated Total:  Will pull the total Anticipated amount from the Financial tab.

The contact types selected in each term is determined by the selections made in the Template Information tab as follows:

• 2:  Will pull from the 'Invoice / Payment Contact' question in the Contacts panel of the Template Information tab.
• 3:  The first will pull from the 'Final Statement of Costs Contact' question in the Contacts panel and the second will pull from the 'Final Statement Due' question from the Template Information tab.
• 6: The first will pull from the 'PTE Change Requests Contact' question and the second will pull from the 'Sub Change Requests Contact' question in the Contacts panel of the Template Information tab.
• 7:  The first entry will map the prefilled entry from the FDP form and not pulled from anywhere in Kuali Research.  The second field will pull from the 'Sub Change Requests Contact' question in the Contacts panel of the Template Information tab.
• 9:  This PTE Termination Contact  The first will pull from the 'PTE Termination Contact' question and the second will pull from the 'Sub Termination Contact' question in the Contacts panel of the Template Information tab.
  
  
• Authorized Official Information (PTE and Subrecipient):  The signature block sections the Authorized Official populates from the Prime Authorized Official listed in the Contacts panel of the Subaward tab.
• The signature block for the Authorized Official of the Subrecipient populates from the Subaward Authorized Official listed in the Contacts panel of the Subaward tab

Attachment 1:  Certifications and Assurances

Nothing is mapped except the Subaward Number in the top righthand corner which pulls from the FSRS Subaward Number from the Subaward tab.

Attachment 2:  Federal Award Terms and Conditions

• Subaward Number:  This will pull from the FSRS Subaward Number field on the Subaward tab.
• Guidance are incorporated:  Not mapped from Kuali Research; will map by default 'in the attached Federal Award'.
• Research & Development:  This will pull from the 'Is R&D' question in the Template panel of the Template Information tab.
• Subject to FFATA:  This will pull from the 'FFATA Required' checkbox in the Subaward tab.
• Awarding Agency Institute:  This will pull the acronym of the sponsor from the linked award in Funding Source panel.
• Federal Award Issue Date/FAIN/Assistance Listing No./Assistance Listing Program Title (ALPT):  This will pull from present information in the linked award in the Funding Source panel; Assistance Listing No was formerly CFDA.
• Key Personnel Per NOA:  This is not mapped from Kuali Research; it must be entered manually.

All website references in sections 1, 3, and 4 is mapped from the FDP by default based on the Federal Awarding Agency mapped in the overall Federal Agreement mentioned above.

• 4a: This will pull from the 'No Cost Extension Contact' question in the Contacts panel of the Template Information tab.
• 5:  This will pull from the 'Treatment of Program Income Additive' question in the Terms and Conditions panel of the Template Information tab.  If marked yes, it will map as Additive.  If marked no, it will by mapped as Other and the text entered in the 'Treatment of Income' field will map to the required field.

• Data Sharing and Access:  This will pull from the 'Data Sharing' question in the Compliance panel of the Template Information tab.
• Copyrights:  This will pull from the 'Copyrights' question in the Terms and Conditions panel of the Template Information tab.
• Financial Conflicts of Interest policy (COI): This will pull from the 'Applicable FCOI policy for subrecipient' question in the Compliance panel of the Template Information tab. 
• If applying its own COI policy...:  This will prepopulate the associated reference based on the Awarding Agency mapped above.

• No Human or Vertebrate Animals:  This will be checked both the 'Subjects Included' question is marked No in the Animal and Human panels of the Template Information tab. 
• Human Subjects:  This will be checked if the 'Subjects Included' question is marked Yes in the Human panel of the Template Information tab.  If checked, then 'PTE requires verification to be sent' question and 'Not Required Reason' fields in the same panel.
• Human Subjects Exempt: This will be checked if the 'Subjects Included' question is marked Human Subjects Exempt in the Human panel of the Template Information tab.  If checked, then the information is pulled from the 'Exempt Documentation' field in the same panel.
• Vertebrate Animals:  This will be checked if the 'Subjects Included' question is marked Yes in the Animal panel of the Template Information tab.
• IRB and/or IACUC approval be sent to the:  This will pull from the 'IRB / IACUC Contact' question in the Contacts panel of the Template Information tab.
• Human Subjects Data:  This will pull from the 'Data will be exchanged under this agreement' field in the Human panel of the Template Information tab.

(only applicable if NIH is the Federal Awarding Agency)

• Clinical Trial:  This will pull from the 'Includes clinical trials?' field in the Humans panel of the Template Information tab.
• Multiple PIs:  This will pull from the 'Is an MPI award' field in the Terms and Conditions panel of the Template Information tab.
• Additional Terms:  This will pull from the 'Additional Terms' field in the Terms and Conditions panel of the Template Information tab.

Attachment 3A:  Pass-Through Entity (PTE) Contacts

• Subaward Number:  This will pull from the FSRS Subaward Number field on the Subaward tab.
• Entity Name:  This information will pull the Organization name from the highest level of the unit hierarchy.  Must be manually updated in form if needed.
• Legal Address:  Will pull the Address associated with the Organization name from the highest level of the unit hierarchy.  Must be manually updated in form if needed.
• Website:  Not mapped from Kuali Research; must be manually entered in the generated form.

• Central Email:  Not mapped from Kuali Research; must be manually entered in the generated form.
• Principal Investigator:  It will pull the PI from the linked award in the Funding Sources panel of the Subaward tab; email and telephone number from the associated Person record.
• Administrative Contact:  Pulled from the Prime Administrative Contact listed in the Contacts panel of the Subaward tab; email/phone will pull from the associated Address Book entry.
• COI Contact Email (if different from above):  Not mapped from Kuali Research; must be manually entered in the generated form if desired.
• Financial Contact Name:  Pulled from the Prime Financial Contact listed in the Contacts panel of the Subaward tab; email/phone will pull from the associated Address Book entry.
• Email Invoices:  This will pull from the 'Invoices emailed' field in the Contacts panel of the Template Information tab.  If set to no, you will have to enter the invoice email (if different) manually.
• Authorized Official Name:  Pulled from the Prime Authorized Official listed in the Contacts panel of the Subaward tab; email/phone will pull from the associated Address Book entry.
• PI Address:  It will pull the address from the Person record of the PI from the linked award in the Funding Sources panel.
• Administrative Address:  It will pull the address from the Address Book record of the Prime Administrative Contact listed in the Contacts panel of the Subaward tab. 
• Invoice Address: It will pull the address from the Address Book record of the Prime Financial Contact listed in the Contacts panel of the Subaward tab. 

Attachment 3B:  Subrecipient Contacts

• Subaward Number:  This will pull from the FSRS Subaward Number field on the Subaward tab.
• Entity's UEI/DUNS Name:  This is the Subrecipient entered on the Subaward tab.
• EIN No.:  If an EIN is present in the Organization record for the Subrecipient entered on the Subaward tab it will map here.
• UEI/DUNS:  If a DUNS is present in the Organization record for the Subrecipient entered on the Subaward tab it will map here.
• Parent UEI/DUNS:  This will pull from the 'Parent DUNS (if applicable)' field in the Template panel of the Template Information tab.
• Place of Performance Address for FFATA reporting:  Not mapped from Kuali Research; will have to be entered manually.
• Institution Type:   The first Organization Type entered on the Organization record for the Subrecipient entered on the Subaward tab will map here.
• Currently registered in SAM.gov:  This will pull from the 'Sub Registered in SAM?' field in the Template panel of the Template Information tab.
• Exempt from reporting executive compensation:  This will pull from the 'Exempt from reporting exec compensation' field in the Template panel of the Template Information tab.
• Congressional District:  This will pull from the 'Parent Congressional District' field in the Template panel of the Template Information tab.
• Zip Code +4:  Not mapped from Kuali Research; will have to be entered manually.

• Central Email:  Not mapped from Kuali Research; must be manually entered in the generated form.
• Website:  Not mapped from Kuali Research; must be manually entered in the generated form.
• Principal Investigator:  Pulled from the Site Investigator from the Subaward tab; email/phone will pull from the associated Address Book entry.
• Administrative Contact:  Pulled from the Subaward Administrative Contact listed in the Contacts panel of the Subaward tab; email/phone will pull from the associated Address Book entry.
• Financial Contact:  Pulled from the Subaward Financial Contact listed in the Contacts panel of the Subaward tab; email/phone will pull from the associated Address Book entry.
• Invoice/Payment Email: Not mapped from Kuali Research; must be manually entered in the generated form.
• Authorized Official: Pulled from the Subaward Authorized Official listed in the Contacts panel of the Subaward tab; email/phone will pull from the associated Address Book entry.
• Legal Address:  This will pull from the official address listed in the organization record of the subrecipient organization.
• Administrative Address:  It will pull the address from the Address Book record of the Subaward Administrative Contact listed in the Contacts panel of the Subaward tab. 
• Payment Address:  It will pull the address from the Address Book record of the Subaward Financial Contact listed in the Contacts panel of the Subaward tab. 

Attachment 3B-2:  Highest Compensated Officers

The Subaward Number in the top righthand corner will pull from the FSRS Subaward Number from the Subaward tab.  And the Subrecipient and Site Investigator will map from the Subaward tab to the Subrecipient section.  The Highest Compensated Officers is not mapped and must be manually entered. 

Attachment 4:  Reporting and Prior Approval Terms

No Information mapped from Kuali Research other than the default selections provided in the form from FDP - must be completed within generated form.

Attachment 5:  Statement of Work, Cost Sharing, Indirects & Budget

The Indirect cost Rate (IDC) Applied will pull from the Indirect Rate on the Subaward tab - the rest of the information must be completed within generated form.

Attachment 6:  Notice of Award (NOA) and any additional documents

No Information mapped from Kuali Research - must be completed within generated form.

FDP Amendment

The FDP Amendment will print just the Amendment.  This information pulls from the linked award in the Funding Source, info on the Subaward tab, and Template Information.  Again, once generated the fillable forms can be altered as desired.  Below goes over the mapping logic for each form field.

• FDP Amendment Number: This will pull the Modification ID: field from the last transaction added in the Financial tab of the Subaward.
• Subaward No: This will pull from the FSRS Subaward Number field on the Subaward tab.
• Pass-Through Entity (PTE): This information will pull from the linked Award in the Funded Source panel of the Subaward panel.  It will always pull information from the first subaward listed if multiple exists.
• Subrecipient:  This is the Subrecipient entered on the Subaward tab.
• Project Title:  This will pull from the linked Award in the Funded Source panel of the Subaward panel.  It will always pull information from the first subaward listed if multiple exists.
• PTE/Prime Award No:  This will pull the Sponsor Award ID from the linked Award in the Funded Source panel of the Subaward panel.  It will always pull information from the first subaward listed if multiple exists.
• Awarding Agency: This dropdown selection is based on the Sponsor from the linked Award in the Funding Source panel of the Subaward panel.  First the logic will look to see if this sponsor is part of the NIH Multiple PI sponsor hierarchy; if so it will select the 'National Institutes of Health (NIH)' in the dropdown.  If not in that sponsor hierarchy it will then look to see if it's part of the KCOI PHS sponsor hierarchy; if so it will select 'Other PHS' and type in the agency from the Sponsor name.  If not in either of these hierarchies it will then at the acronym of the sponsor from the linked award; if the acronym matches one of the dropdown selections it will select that from the dropdown.  So if the linked Funded Award has a sponsor of National Science Foundation, and that sponsor acronym is NSF in the Sponsor table then it will select National Science Foundation (NSF) from the dropdown.  If the sponsor is none of the above it will chose 'Other' and enter the Agency name.
• Cumulative Budget Period:  The Start Date will always pull from the Start Date field of the Subaward field.  The End Date will pull the Period of Performance End Date field from the last transaction added in the Financial tab; if none entered it will be blank.
• Amount Funded this Action:  This amount will pull the Obligated Change field from the last transaction added in the Financial tab; if none entered it will be blank.
• Total Amount of Federal Funds Obligated to Date:  This will pull the total Obligated Amount from the Financial tab which is a sum of all obligated transactions.
• Subrecipient Cost Share:  This is pulled from the Includes Cost Sharing question on the Template Information tab.
• Subject to FFATA:  This is pulled from the FFATA Required field on the Subaward tab.
• Subrecipient UEI: This is pulled from the UEI field in the associated Organization record for the subrecipient.
• Amendments to Original Terms and Conditions: This area has logic from the Transaction Type selected in the last transaction added of the Financial tab.  Below goes over when these areas get mapped:
  
  * Additional Budget Period: If the Transaction Type of 'Continuation' is selected in the last Financial transaction this will be checked and the dates entered in the Period of Performance Start/End Date fields will be mapped.
  
  * No Cost Extension. This is a No Cost Extension. The Subaward end date is hereby extended through: ________
  If the Transaction Type of 'No Cost Extension' is selected in the last Financial transaction this will be checked and the date entered in the Period of Performance End Date field will be mapped.
  
  * Additional Funding. Additional funds in the amount of ________ are hereby authorized for the current period.
  If the Transaction Type of 'Increment' is selected in the last Financial transaction this will be checked and the amount filled in for Obligated Change field will be mapped.
  
  *Deobligation:  not currently mapped by information in Kuali Research and will have to be manually input in the form directly.  Only available on Bilateral Amendment form.
  
  *Carryover is: This is pulled from the Automatic Carry Forward question on the Template Information tab.
  
  *Carryover Authorized.  Carryover of unobligated balances in the amount of ________ from period ________ - ________ to period ________ - ________ is hereby authorized as shown below.
  If the Transaction Type of 'Carryover' is selected in the last Financial transaction this will be checked.  The amount is not populated and has to be manually entered directly in the form.  Only the 'to period' dates will be populated from Financials tab Period of Performance Start/End Date; the from period is not populated and will need to be manually entered. 
  
  *Detailed Budget/Scope of Work/Notice of Award Attached - not currently mapped from Kuali Research; must be manually entered directly in the form.
  
  * Other (see below) - 
  If the Transaction Type of 'Other' is selected in the last Financial transaction this will be checked.   Only available Bilateral Amendment form.
  
  * The text added to the Comments field will map to the text box below; regardless of the Transaction Type selected.
• Authorized Official Information (PTE and Subrecipient):  The signature block sections for both PTE and Subrecipient don't map anything from Kuali Research and must be completed manually.  FYI, Unilateral Amendment option you will see only signature block; if you select Bilateral you will see both signature blocks.

Additional Notes on Use

• Using the 'Run Template' in the generated PDF form will clear out some info from record; specifically data pulled from linked award.
• Any added attachments in the Template Info tab will be included automatically in the attachments section of the generated PDF of the FDP Agreement. None will print with the FDP Amendment form.
• If nothing is completed in the Subaward and you print the FDP forms it will print as they are provided from FDP with associated default selections/entires included.