SUBS – Subaward User Business System

SUBS – Subaward User Business System
Provided by: Office of Sponsored Research Services (OSRS) January 2014 SUBS Training

SUBSystem contacts Molly Gaschler, Subcontract Specialist Connie Motoki, Sr. Contracts Manager SUBS Training

Required Items The list of required items necessary for OSRS to issue a subaward is included on every tab in the subaward record except the FFATA tab. These items have always been required for OSRS to process a subaward. Subawards may not be submitted to OSRS UNTIL EVERYTHING ON THE REQUIRED LIST IS INCLUDED. NOA: The NOA is uploaded in the Project Summary tab. This is incorporated into the final subaward document, so please do not include any WU budget information pages. Contact Information: Entered into the Subaward Contacts tab. Collaborator information is uploaded instead of manual input. Also, this may be pre-populated if institution is selected from the existing database. Collaborating Institution Information: System populated if selected from the institution database. Information to be uploaded instead of manual input. Includes FFATA-required data fields. Place of Performance: FFATA required field -in Institutional Information. Scope of Work: Instead of cutting and pasting into the submission, it is separately uploaded by Department Administrator (DA). Uploading eliminates formatting issues with upload functionality. Must be a Word doc. Budget: No change – Total costs amount. SUBS Training

List of Sub Status In Progress Awaiting Collaborator
Institutional Info Uploaded Pending Submission to OSRS Submitted to OSRS Recalled Opened by OSRS Submission Review Returned to DA PO/CO Created PO/CO Approved Pending Approval Sub/Mod Approved Sent to Sub In Negotiations Sub Received Pending FCOI Compliance Sub Distributed Voided You have access to monitor a subaward’s progress. You can search in SUBS for the status of subs at various stages in the process. This screen shows the steps in the process managed by OSRS. As you can see, there are multiple steps in this process. SUBS Training

Sub Status Process Flow
Statuses In Progress Awaiting Collaborator Institutional Info Uploaded Pending Submission to OSRS Submitted to OSRS – system set when submitted Opened by OSRS Submission Review PO/CO Created PO/CO Approved Pending Approval Sub/Mod Approved Sent to Sub In Negotiations Sub Received Sub Distributed Voided The first five status categories are managed at the department level. Once the DA has “Submitted to OSRS”, the status categories become the responsibility of OSRS. The department is no longer able to make edits after submission to OSRS. There is a new status created for the Financial Conflict of Interest management = “Pending FCOI Compliance”. See handout. SUBS Training

Status Query Select one & Search Status Query
You can search any field or combination of fields displayed. This example shows the status choices. Other choices include Principle Investigator, PDS, etc. SUBS Training

Project Summary - Historical views for DA
Select for all subs/mods in current year Project Summary Tab Navigate to Project Summary Tab and select a specific award. The list contains only the most current subs (or amendments). Clicking on “Show History” lists ALL amendments for this award . SUBS Training

SUBS Search– DA Worklist
Research Administration DA Worklist DA Work List DAs can review work at various stages of the subcontracting process in the SUBSystem. Only subs associated with awarded Proposal Documents will display here. If the Proposal Document has not yet been awarded, please navigate to the Subaward Management screen tab. If you have not yet begun the subaward collaborator information you must begin a new entry. Search options include: Selecting a specific PDS to review the subaward’s progress, or checking the status of subawards throughout the process. SUBS Training

SUBSystem New Subaward Subaward Actions
Current Year Modification (Mod) Next Year Amendment Add New Institution Summary SUBS Training

Subaward Management Subaward Management Subaward Search Tab:
This component is used to retrieve an existing subaward or begin a new subaward. Search variables include PDS, Dept., Subaward ID, PO, PI Last Name, and Subrecipient. Search options include: Selecting a specific PD to review the subawards in process, status of subawards. SUBS Training

Add New Value (New Sub) Add New Value Tab:
Select this tab when entering a new PDS into the SUBSystem. Enter a proposal number for an AWARDED proposal and click on the ADD button. SUBS Training

Check this Information
Project Summary Check this Information Dates WU PI The following fields should be pre-populated. Less typing for you! 1--Proposal ID (PDS#) 2--Award Number 3--Award Dept. 4--Stimulus award? 5--Type of sponsor 6--Sponsor name 7--Project Title 8--WU Principal Investigator (name and contact information) Please verify the pre-populated fields are correct. Enter the Award awarded budget period from and thru dates. Enter the WU Dept. Administrator contact information. Under the Notice of Award Files heading, click on the ADD button. Browse your files to select the appropriate NOA. Click on Upload to incorporate NOA into the Project Summary. NOA must be a pdf file. Summary page saves automatically. Click on the View button in the Notice of Award section and verify uploaded PDF is correct file (optional). Select ADD COLLABORATOR at the top of the screen to begin each subaward. WU DA Add NOA (pdf) SUBS Training

Upload: Notice of Award (NOA)
“Browse” dialog box is displayed for you to select and attach the NOA for this project. SUBS Training

Project Summary Select after Project Summary information complete Select “Add Collaborator” to begin the individual Collaborator record. SUBS Training

Subaward Details-Tabs
Additional Documents Audit FFATA Subaward Contacts Comments As you navigate through this subaward record, these tabs are your framework. The Required Items box is a checklist that will be system-updated as the information is completed. Additional Documents include subrecipient F&A rate statement, request letters/ s for subaward changes, detailed budget, etc. SUBS Training

Subaward Details Required Required later
Minimum information required to SAVE this screen is: Issuing Dept. field Select Institution section Issuing Dept. is the department associated with the funding for this subaward. There is a distinction between awarded department and issuing department. Sometimes there is a grant awarded to one department and there are allocations to other WU departments. One of those allocation departments may have collaborators that will have a subaward. The Issuing Dept. section included fields for fund and budget code information. The fund number and the named 38 budget code is required to be created prior to submission of this subaward to OSRS. Budget Code: Enter odd number of the object code established for the named subaward entity. This is required before submission to OSRS. SUBS Training

Selecting the Collaborator (on Subaward Details Tab)
Select Search glass icon Collaborator Information The institution database contains hundreds of institutions with FFATA required information. Select the magnifying glass icon next to “Select Institution” to search for your specific collaborator. You will be navigated to an “advanced lookup” screen. Do not search using an Institution ID #--there are many records of institutions with multiple spellings so the ID# may not be correct. SUBS Training

Advanced Look Up DUNS # is the key driver for Collaborator Institution record. The DUNS # is the key driver and we suggest searching on that if you have that information. Review the institution list. If your collaborator is listed, select the applicable institution. Click “Save”. If your collaborator is not listed, you will need to add it. See page 64 of this Guide. If not found, select Cancel to return to the Subaward Details Tab and the Collaborator Information section. Click on Add Institution button. You are transferred to the Institutional Information screen. Select Institution SUBS Training

Collaborator Information (on Subaward Details Tab)
If you have selected an applicable institution from the institutional database, it will populate this section. NOTE: Please be aware of the two status categories for the institutional record: “Complete” and “In Progress”. If the institution you have selected is not marked Complete, please contact the Subcontract Specialist for assistance. SUBS Training

Subaward Details—(con’t)
Required On the Collaborator Information screen, scroll down to: “Brief Description of Action” This box informs OSRS about the contractual action and also provides a place to address any unusual aspects of the subaward. Please include a comment as to the budget structure if this is fixed fee/per event. Also if wire transfer payments are requested to the subrecipient, please communicate that here . “Collaborator Awarded Budget and Performance Period” If you need information from the collaborating institution to complete this form, you may contact Collaborator (see next slide 23). If clicked, populates data from Project Summary tab Required SUBS Training

Subaward Details—(con’t)
Collaborator Primary Place of Performance (POP) Note: POP is now a required field for FFATA. This may be populated via the Collaborator information upload. If you do not have the required information for the POP, click “Request Collaborator Information”. Click “Save”. THEN click Click “Save” SUBS Training

Subaward Contacts Collaborating Institution Information
The collaborator contact information is required to issue the subaward. You may complete the data fields if known, or request the information from the collaborating institution. To make a request for information from the collaborator, you must complete the collaborating PI name and information, and the collaborating Department Administrative contact name and information. You also must complete the WU PI and WU DA fields for names and address to make a request. You must click on the REQUEST COLLABORATOR INFORMATION button for the SUBSystem to generate an to the collaborator requesting the necessary institutional and contact information. The will include a spreadsheet attachment with instructions on providing the information in the spreadsheet. The Scope of Work will also be requested. The collaborator must return the spreadsheet to the Department Administrator. SUBS Training

Subaward Contacts—(con’t)
Comment: Institutional Official and Financial contacts information will most likely be pre-populated if institution is selected from the Institutional database. The collaborator contact information is required to issue the subaward. You may complete the data fields if known, or request the information from the collaborating institution. To make a request for information from the collaborator, you must complete the collaborating PI name and information, and the collaborating Department Administrative contact name and information. You also must complete the WU PI and WU DA fields for names and address to make a request. You must click on the REQUEST COLLABORATOR INFORMATION button for the SUBSystem to generate an to the collaborator requesting the necessary institutional and contact information. The will include a spreadsheet attachment with instructions on providing the information in the spreadsheet. The Scope of Work will also be requested. The collaborator must return the spreadsheet to the Department Administrator. SUBS Training

The collaborator contact information is required to issue the subaward. You may complete the data fields if known, or request the information from the collaborating institution. To make a request for information from the collaborator, you must complete the collaborating PI name and information, and the collaborating Department Administrative contact name and information. You also must complete the WU PI and WU DA fields for names and address to make a request. You must click on the REQUEST COLLABORATOR INFORMATION button for the SUBSystem to generate an to the collaborator requesting the necessary institutional and contact information. The will include a spreadsheet attachment with instructions on providing the information in the spreadsheet. The Scope of Work will also be requested. The collaborator must return the spreadsheet to the Department Administrator. SUBS Training

Select the Request Information from Collaborator here. Click Here SUBS Training

Collaborator System generated goes to collaborator PI and DA, with a cc to WU DA. Note-status of this subaward record will change to “B. Awaiting Collaborator”. The completed spreadsheet must be returned to the WU DA. SUBS Training

Collaborator Spreadsheet
The completed spreadsheet must be returned to the WU DA. Please use this-it allows for upload into SUBS with less manual input, and allows for most current institutional information into the subaward. SUBS Training

Collaborator Spreadsheet—(con’t)
The completed spreadsheet must be returned to the WU DA. See SUBS Training

Upload Collaborator Information
Click Here Once you have received the from the collaborator with their information, you should save the attachment to your desktop and then upload that information into the SUBSystem. Log in to the SUBSystem, select Subaward Management, then the specific PDS, then retrieve the SUB entry currently in progress. SUBS Training

Upload Collaborator Information
#1-Select file from your PC #2-‘Upload’ after selecting file The returned spreadsheet is an Excel file. A File Attachment Dialog Box will display. Browse to the Institution Information file previously saved, Select and Upload it. The filename will be listed. Note-The subaward status will now be changed to “C. Institutional Info Uploaded”. The Required Items box will now be checked for Institutional information if all the information is complete. If the checkbox is not checked as complete, navigate to the Subaward Details tab and click on Edit Institution. The system will transfer to the Institutional Information page. The cursor will be placed in the status field displaying In Progress. Change the status to Complete. SAVE. The system will prompt you for the missing or incomplete data fields. Manually enter the required information and SAVE. Once all data fields are completed, the SAVE as Complete will occur and this information will become READ ONLY. If you do not have all the necessary Collaborating Institution information, you may contact the collaborator again and request it. Click on Save and Return to Subaward Details. SUBS Training

Place of Performance (on the Subaward Details Tab)
Required Dept. - Please validate reasonable information entered here by collaborator. POP is required information. Scroll to Place of Performance section. Information is populated during the upload of Collaborator Information spreadsheet. Verify information is completed. If complete, the Required Items box will be checked. SUBS Training

Upload SOW & Budget (on the Subaward Details Tab)
Scroll to the Collaborator Scope of Work section. Remember, the Scope of Work must be a .doc or .docx Word file. The SOW should include action verbs describing the research activities to be performed. Not a CV and not the WU project. Click on the Add button. Scope of Work may be provided by Collaborator or may be generated by WU PI. If provided by Collaborator, must be reviewed and approved by WU PI. Add SOW (word doc) SUBS Training

SOW Upload (File Attachment box)
#1 Browse #2 Upload A file Attachment Dialog Box will display. Browse to the Scope of Work file previously saved. Select and upload it. The filename will be listed. Note: The Required Items box will now be checked for Scope of Work. SUBS Training

Budget & Performance Period (on Subaward Details tab)
Budget dollars & Performance Period Scroll to the Budget and Performance Period section. Performance period may be selected as Same as Grant Period. OR Enter appropriate dates for the subaward. Enter Total Funded This Period dollar amount. Total should include direct and indirect costs. Use 0 (zero) for Fixed Fee payment schedule. SAVE. The Required Items box will be checked for Budget. SUBS Training

Subaward Submission (Subaward Details Tab)
Check ‘Required Items’ Box at top of this tab -all items must be checked First opportunity to submit to OSRS. If all items in the Required Items box are checked and you have no additional documents to include in the subaward, select the Submit to OSRS button at the bottom of the Subaward Details Tab. Click Here, if ready SUBS Training

Additional Documents Everything must be checked Click Here
The “Submit to OSRS” button is available on every tab except the Audit tab. This space is available to include any additional documents or attachments. May include Detailed Budget, Reporting forms, Protocol, Letter of Intent, F&A Rate Agreement. Click Here Click Here SUBS Training

Everything must be ’Checked’
Comments Tab Everything must be ’Checked’ There is editable space available for communications between OSRS and Department Administrator. This tab allows you to communicate in your own words any issue or concern you have to the contract manager without the SUBS system edits/restrictions. Click Here SUBS Training

Audit Tab Non-editable space recording key actions during subcontracting process. SUBS Training

FFATA Tab FFATA description may have been uploaded from the Collaborator information if it was provided. It is not mandatory at the time of subaward preparation, but will be required for FFATA reporting. There is editable space to retain FFATA project description for OSRS FFATA reporting. Click Here SUBS Training

SUBSystem Current Year Modification (Mod) Subaward Actions
New Subaward Current Year Modification (Mod) Next Year Amendment Add New Institution Summary SUBS Training

Current Year Mod Must be ‘checked’ Select One Current Year Mod
Enter the PDS from a previous issued subagreement, and check to include the OSRS status. As long as the PDS was awarded, a list of the subagreements available will display. You can retrieve converted historical records from either Subaward Management or the DA Worklist. The DA Worklist only shows subaward records with an awarded PDS document. The Subaward Management search shows all subawards under your security. Navigate to Research Administration>SUBS>Subaward Management (OR DA Worklist and search for desired PDS). You will determine your preferred search screen as you become more active in the SUBSystem. In the search grid find the existing subaward you are modifying that is in a Sub distributed status and click on the link. You should be transferred to the Project Summary Page. Important-the previous subaward must be executed and distributed before additional changes can be authorized. That’s why we suggest selecting the OSRS status as part of your search criteria. Scroll to the bottom and select the specific subaward from one of the links to the subaward in the grid at the bottom. You should be transferred to the Subaward Details screen. Select One SUBS Training

Current Year Mod—(con’t)
Check for missing items, e.g., NOA, Collaborator Inst. Info, etc. Select Note Current Year Mod – 2 See status field: The subaward you are modifying must have been Distributed prior to making changes to the current year. Please discuss with OSRS the options that may be appropriate for the situation; the original agreement that is not yet executed by collaborator may be voided, revised and re-issued if necessary. At the top of the page, click on the “Changes to Current Year” button. You will be on the Subaward Details page. SUBS Training

Current Year Mod—(con’t) (after “Change to Current Year” button selected)
Not Active Current Year Mod -3 The Amendment field should be incremented. The status will now be “A. In Progress” to reflect a new contractual action has begun. Incremented by 1 SUBS Training

Current year modifications are not annual renewals or continuations. They are changes to the project during the existing collaboration subaward. The only editable or enabled fields are: The Description of Action Field—MANDATORY. Note reduction, termination, additional funding, change of PI, etc. Required SUBS Training

As Needed Current Year Mod - 5 The Add and View buttons for the Collaborator Institutional information upload are available in the event the collaborator information would need updating. The “Has the scope of work changed?” question is MANDATORY. Required SUBS Training

Current Year Mod—(con’t) (on Subaward Details tab)
REQUIRED- Budget dollars & Performance Period Current Year Mod – 6 The file for the Collaborator Scope of Work should have copied forward. If the SOW is changing in this current year modification, delete the previously existing SOW and ADD the revised Scope of Work. The budget date fields, and Total costs this action field are required. SUBS Training

Click “Save”. Select “Submit to OSRS”. You will be transferred back to the Project Summary Screen. An will be sent to OSRS, and the status will be changed to “Submitted to OSRS”. SAVE THEN Submit SUBS Training

SUBSystem Next Year Amendment Subaward Actions New Subaward

Next Year Amendment-Search
“Sub Distributed” Next Year Amendment – Search Search functionality: At pre-award, use Subaward Management. At post-award, use DA Worklist OR Subaward Management. Navigate to Research Administration > SUBS > Subaward Management. Search for the existing distributed subaward to which you want to modify and add another year. Click on the link. You will be navigated to the Project Summary page. Select One SUBS Training

Next Year Amendment—(con’t)
Navigate between years Select Ensure that you are on the latest award year. (“Add Additional Year” button will only be active on the latest award year.) Remember-you have the ability to review the history to select the appropriate most recent action. At the top of the page, click on the “Add Additional Year” button. SUBS Training

Confirmation message box will display. Click on Yes. SUBS Training

Navigation between years Incremented by 1 The Award year should have incremented by 1. The Proposal Id, Award Number, Stimulus Awarded, Type of Sponsor, Sponsor Name, Project Title, Budget Dates, WU Principal Investigator Employee ID , and PI Administrator Employee ID fields should all be open for edit. SUBS Training

If applicable, change ID & Save Change the proposal ID if applicable and “Save”. The Award Number, Stimulus Awarded?, Type of Sponsor, Sponsor Name, Project Title, and PI should have been auto populated from the new proposal document (PDS). Make sure NOA has appropriate prefix and suffix. SUBS Training

Next Year Amendment—(con’t) (on Project Summary Tab)
Select one for add'l Year Select a specific subaward record. Note: All NOA files from the prior year should be associated with this year, but the select NoA checkbox should not be checked, and the action by field should be blank. You may either upload a new NOA for the new performance period or mark the existing one as active if it a multi-year NOA. In the grid at the bottom of the page, there should be one record for each of the subawards that was associated with the prior year, the amendment numbers should have incremented by 1, the agreement number should be the same as the prior year except with a –MOD-# with the # being the amendment number associated with the sub appended to the end. The tracking number should be the same as the prior year. The statuses should all be “A. In Progress”. Click on the link to one of the subawards in the subaward selection grid to begin the amendment process for the specific collaborator. SUBS Training

Next Year Amendment—(con’t) (on Subaward Details Tab)
Change fund # if needed The system will transfer to the Subaward Details screen. If appropriate, change the fund number to a fund number that has an existing budget 38 that is the same as the one associated with this sub. The object code will not be allowed to be changed. If there is a need to have the object code changed, please work with OSRS-Grants to get it changed. SUBS Training

Required Enter a Description of Action. Answer the “fund changed?” question. If answer is yes, the fund changed, you must list the new fund above. Required SUBS Training

Required Required Answer the “Has the scope of work changed?” question and enter budget information. Note: If SOW has changed from previous year, you must select DELETE to remove the previous SOW file, and UPLOAD the revised SOW. SUBS Training

Required— Answer ALL these questions. Answer ALL of the Subrecipient Monitoring questions. Update any other information necessary. Click on “Submit to OSRS”. You will be transferred back to the Project Summary screen and the status of the subaward should now be “E. Submitted to OSRS”. Note: “Submit to OSRS” must be selected. Save Then Submit SUBS Training

SUBSystem Add New Institution Subaward Actions New Subaward

Adding a New Institution (on Subaward Details Tab)
Click here Adding a New Institution This collaborator institutional information is required to issue the subaward. You may complete the data fields if known, or request the information from the collaborating institution. If you need information from the collaborating institution to complete this form, Click on Save and Return to Subaward Contacts. The SUBSystem has hundreds of institutions in the database. Before adding a new institution, please search the database using the DUNS # for that institution to verify the institution is not already listed. The system will not allow duplicate DUNS # institutions to be entered. NO SPECIAL CHARACTERS. SUBS Training

Institutional Information
Institution record is ‘controlled’ by the DUNS #. Adding a New Institution NOTE: Institution search is recommended by DUNS # if available. Legal entity names may be different than expected; DUNS # is the primary data point for the database. Before entering institutional information, review what you have. You must have the Collaborator PI and Dept. Administrator name and . The choice is to: Manually enter the data (suggested only if you have ALL the data fields) OR Request the Institutional Information from the Collaborator. SUBS Training

Institution Information—(con’t)
SUBS Training

Institution Information—(con’t)
“Save” and return to the Subaward Contacts tab. If any institutional information is missing, please select Request Collaborator Information. Click Here SUBS Training

System generates four automatic eMails (items 1,3,4,5 shown).
SUBS Summary ACTION FROM TO “Request Collaborator Information” button WU DA SUB DA, PI *Collaborator returns spreadsheet & SOW SUB DA WU DA OSRS ‘Returns’ submitted to DA OSRS WU DA OSRS sends Subagreement to SUB OSRS SUB, cc: WU DA OSRS distributed fully executed subagreement OSRS WU DA, SPA *All s are system generated Except the communication from subrecipient to WU DA. System generates four automatic s (items 1,3,4,5 shown). SUBS Training

SUBSystem contacts Molly Gaschler, Subcontract Specialist Connie Motoki, Sr. Contracts Manager SUBS Training

SUBS – Subaward User Business System

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