ePS_RFP_Attach_2_SRS_Attachment_6_ePS_Grants_Reporting_Rules.pdf

N00039-17-R-0002 electronic Procurement System

Request for Proposal

Attachment 2: System Requirements Specification

SRS Attachment 6: ePS Grants Reporting Rules

ACAT 1

Version 1.2

6 March 2017

Distribution Notice D: Authorized to the Department of Defense (DoD) and DoD Contractors only. This document is for administrative or operational use, as of the date of approval for this document. Refer to the Program Manager (PM), PMW 220 Navy Enterprise Business Solutions (Navy EBS), Program

Executive Office Enterprise Information System (PEO EIS), Washington Navy Yard, 1325 10 th

St. SE, Bldg. 196, Washington, D.C. 20374 for additional document requests.

Handling and Destruction Notice: Comply with distribution statement and destroy by any method that will prevent disclosure of contents or reconstruction of the document.

ePS System Requirements Specification

(SRS)

ePS Grants Reporting Rules

Filename:

ePS SRS Attachment 6-ePS Grants

Reporting Rules.docx

Page:

2/31

Version:

Version 1.2 Date of Creation:

6 Mar 2017

N00032-17-R-0002

1 GRANTS REPORTING OUTPUT

1.1 Data Field Definitions and Logic Business Rules (DoD Assistance Award Data System (DAADS) Report)

DD FORM

( - = N/A)

FIELD NAME DEFINITION ONLINE WEBSITE SUBMISSION BATCH FILE SUBMISSION

A1 Type of Report Definition: The “Type of Report” describes a submitted record as a new record, a correction to an existing record, or deletes an existing record.

Requirement: This value will be derived by the system based on the user’s actions.

Requirement: This is a required value; the batch record will be rejected if this value is not reported.

Instructions & Acceptable Values:

0 - New record

1 - Delete a previously submitted record

2 - Correct a previously submitted record

A2 Report Number Definition: The Report Number is part of the identifier entered by the reporting office to identify this specific assistance award.

Requirement: This is a required free-text field. A new record cannot be saved without it.

Requirement: This is a required value; the batch record will be rejected if this value is not reported.

Instructions & Acceptable Values:

- Alpha-numeric values only. If validation fails, the record is rejected.

A3 Awarding Office Definition: The Awarding Office is the Department of Defense Activity

Address Code (DoDAAC) of the office that created the data record, whether that office submits the record directly to DAADS or to another office within the Component for inclusion in a batch data file to be submitted to DAADS.

Requirement: This is a required drop-down field. A new record cannot be saved without it.

Requirement: This is a required value; the batch record will be rejected if this value is not reported.

Instructions & Acceptable Values:

- Only Awarding Office Codes assigned to the user.

Note: Available Awarding Offices for users will be dependent on the relationship between

Awarding Office DoDAACs and users, as maintained by the DAADS Administrator.

- Fiscal Year Definition: The fiscal year (FY) is when the award is reported to DAADS.

Requirement: This is a required drop-down field. A new record cannot be saved without it.

Requirement: This value is provided via email to support the batch file but is not included in the batch file itself. It is entered by the DAADS Admin when uploading the batch file to

Instructions & Acceptable Values:

- only current and past years should be reported.

Reporting Rules.docx

Page:

3/31

Version:

Version 1.2

DD FORM

( - = N/A)

FIELD NAME DEFINITION ONLINE WEBSITE SUBMISSION BATCH FILE SUBMISSION

- Business Key Definition: The business key used to store assistance awards records in

DAADS is a combination of the

Awarding Office, the Fiscal Year, and the Report Number.

Requirement: This combination of fields is required. Saving a new record, edit an existing record, or deleting an existing record cannot be accomplished without it.

Instructions & Acceptable Values:

- A combination of the report type and the business key will determine if there is a duplicate record and if the record will be accepted or rejected.

- Duplicate business keys are not allowed.

- Business keys on deleted records cannot be re-used.

B1 Recipient

Identification

Number, Data

Universal

Numbering System

(DUNS) Number

Definition: The Dun and Bradstreet

(D&B) DUNS number is the unique identifier that the Office of

Management and Budget directed agencies to use to distinguish recipient organizations. All DUNS

Numbers used in DAADS (both active and inactive) are stored in the

DAADS database for the system to use when pre-populating select fields.

Requirement: This is a required auto-complete field with a drop-down that provides active DUNS Numbers.

Requirement: This is a required value.

Instructions & Acceptable Values:

- Only those values provided in the drop-down are active DUNS Numbers available for selection.

Instructions & Acceptable Values:

- Must be an active DUNS Number.

- Any new DUNS Numbers that are submitted in a record but not already stored in the DAADS database will be marked as errors.

B3 Federal Interagency

Committee on

Education (FICE)

Code

Definition: The FICE code is a unique identifier required for select recipients. In those cases, each recipient can only have a maximum of one FICE Code, which cannot be changed once the relationship has been established.

DAADS receives all FICE Codes from the National Science

Foundation (NSF) and stores them in the DAADS database. FICE

Codes can also be found in the

"Code Book for Compatible

Requirement: The requirement of this system-populated value is dependent on the user submitted "Type of Recipient" value and "Other Recipient

Information" value.

1) This is a required field when the

"Type of Recipient" field value is a "06

- State Controlled Institutions of Higher

Education", "08 - Nonprofit Agency

(Other than Educational)", or "09 –

Private Higher Education Institution".

2) This is a required field when the

"Other Recipient Information" field

Requirement: The requirement of this value is dependent on the user submitted "Type of Recipient" value and "Other Recipient Information" value.

1) This is a required field when the "Type of Recipient" field value is a "06" (which is State Controlled

Institutions of Higher Education), "08" (which is

Nonprofit Agency (Other than Educational)), or "09"

(which is Private Higher Education Institution).

2) This is a required field when the "Other Recipient

Information" field value is a "1" (which is Historically

Black Colleges and Universities), "2" (which is

Minority Institution), "5" (which is Federally Funded

Research & Development Centers (FFRDC)

(Academic)), or "6" (which is FFRDC (Nonprofit)).

Reporting Rules.docx

Page:

4/31

Version:

Version 1.2

( - = N/A)

FIELD NAME DEFINITION ONLINE WEBSITE SUBMISSION BATCH FILE SUBMISSION

Statistical Reporting of Federal

Support to Universities, Colleges, and Selected Non Profit Institutions" as published by NSF.

Note: To ensure a new FICE Code is entered into the DAADS database, please contact the DAADS Admin.

value is a "1 - Historically Black

Colleges and Universities", "2 –

Minority Institution", "5 - FFRDC

(Academic)", or "6 - FFRDC

(Nonprofit)".

Instructions & Acceptable Values:

- This field is not editable by the users.

- The system will pre-populate this field based on the user-selected DUNS

Number.

1) If the DUNS Number has a FICE

Code associated with it, the system will pre-populate that FICE Code; otherwise the system will leave the field blank.

Instructions & Acceptable Values:

- Must be a valid FICE Code (the basic six digits without the checksum) that is already stored in the

DAADS database.

- The previously used value "999999" for FICE Code is no longer accepted and will be marked as an error.

- Any new FICE Codes that are submitted in a record but not already stored in the DAADS database will be marked as errors.

B6A Recipient Name Definition: The name of the recipient entity, as listed in the

Recipient's DUNS Number record as stored in the DAADS database.

Requirement: This is a required system-populated field.

Requirement: This is a required value.

Instructions & Acceptable Values:

- This field is not editable by the users.

- The system will pre-populate this field based on the user-selected DUNS

Number from the DUNS Number record as stored in the DAADS database.

Instructions & Acceptable Values:

- Must be the official Name on the DUNS Number record.

- If this value does not match the value for the same

DUNS Number record already stored in the DAADS database, this value will be discarded and the value from the DUNS Number record in the database will be used.

B6B Division Name Definition: The name of the division of the recipient entity, as listed in the

Recipient's DUNS Number record as stored in the DAADS database.

Requirement: This is an optional system- populated field.

Requirement: This is an optional value.

Instructions & Acceptable Values:

- This field is not editable by the users.

- The system will pre-populate this field based on the user-selected DUNS

Instructions & Acceptable Values:

- Must be the official Division Name on the DUNS

Number record.

- If this value does not match the value for the same

Reporting Rules.docx

Page:

5/31

Version:

Version 1.2

( - = N/A)

FIELD NAME DEFINITION ONLINE WEBSITE SUBMISSION BATCH FILE SUBMISSION

Number from the DUNS Number record as stored in the DAADS database.

DUNS Number record already stored in the DAADS database, this value will be discarded and the value from the DUNS Number record in the database will be used.

B7 Recipient Street

Address

Definition: The address of the recipient entity, as listed in the

Recipient's DUNS Number record as stored in the DAADS database.

Requirement: This is a required system-populated field.

Requirement: This is a required value.

- Instructions & Acceptable Values:

- This field is not editable by the users.

- The system will pre-populate this field based on the user-selected DUNS

Number from the DUNS

Number record as stored in the DAADS database.

Instructions & Acceptable Values:

- Must be the Street address on the DUNS Number record.

- If this value does not match the value for the same

DUNS Number record already stored in the DAADS database, this value will be discarded and the value from the DUNS Number record in the database will be used.

- Recipient City

Name

Definition: The name of the city or place of the recipient entity, as listed in the Recipient's DUNS Number record as stored in the DAADS database. The system will show the name of the city while storing the applicable code in the background.

Requirement: This is a required system-populated field.

Not applicable to the Batch File Submission.

Instructions & Acceptable Values:

- This field is not editable by the users.

- The system will pre-populate this field based on the user-selected DUNS

Number from the DUNS Number record as stored in the DAADS database.

B8 Recipient City

Code

Definition: The code of the city or place of the recipient entity, as listed in the Recipient's DUNS Number record as stored in the DAADS database. The FIPS 55-2 contains the codes for all U.S. and U.S.

Outlying areas.

Not applicable to the Online Website

Submission.

Requirement: This is a required value.

Instructions & Acceptable Values:

- Must be the FIPS 55-2 city code on the DUNS

Number record.

- If the city is Washington D.C., use the city code

"50000".

- If the city code is not listed, find the appropriate

Reporting Rules.docx

Page:

6/31

Version:

Version 1.2

( - = N/A)

FIELD NAME DEFINITION ONLINE WEBSITE SUBMISSION BATCH FILE SUBMISSION

county and use the county code instead.

- If the Recipient is in a foreign country, use "00000" as the city code.

- If this value does not match the value for the same

DUNS Number record already stored in the DAADS database, this value will be discarded and the value from the DUNS Number record in the database will be used.

- Recipient State

Name

Definition: The name of the state of the recipient entity, as listed in the

Recipient's DUNS Number record as stored in the DAADS database. The system will show the name of the state while storing the applicable code in the background.

Requirement: This is a required system-populated field.

Not applicable to the Batch File Submission.

Instructions & Acceptable Values:

- This field is not editable by the users.

- The system will pre-populate this field based on the user-selected DUNS

Number from the DUNS Number record as stored in the DAADS database.

B9 Recipient State

Code

Definition: The code of the state of the recipient entity, as listed in the

Recipient's DUNS Number record as stored in the DAADS database. The

FIPS 55-2 contains the codes for all

U.S. and U.S. Outlying areas.

Not applicable to the Online Website

Submission.

Requirement: This is a required value.

Instructions & Acceptable Values:

- Must be the FIPS 55-2 state code on the DUNS

Number record.

- If the Recipient is in a foreign country, then do not submit a state code but instead submit the foreign country code, see "Recipient Country Code" field below.

- If this value does not match the value for the same

DUNS Number record already stored in the DAADS database, this value will be discarded and the value from the DUNS Number record in the database will be used.

- Recipient Country

Name

Definition: The name of the country of the recipient entity, as listed in the

Requirement: This is a required system-populated field.

Not applicable to the Batch File Submission.

Reporting Rules.docx

Page:

7/31

Version:

Version 1.2

( - = N/A)

FIELD NAME DEFINITION ONLINE WEBSITE SUBMISSION BATCH FILE SUBMISSION

Recipient's DUNS Number record as stored in the DAADS database. The system will show the name of the country while storing the applicable code in the background.

Instructions & Acceptable Values:

- This field is not editable by the users.

- The system will pre-populate this field based on the user-selected DUNS

Number from the DUNS Number record as stored in the DAADS database.

- This value must be a foreign country if the "Type of Recipient" field value is

"13 - All Others" and the "Other

Recipient Information" field value is "3

- Foreign University" or "4 - Foreign

Non-Profit Organization".

B9 Recipient Country

Code

Definition: The code of the country of the recipient entity, as listed in the

Recipient's DUNS Number record as stored in the DAADS database. The

FIPS 55-2 contains the codes for all

U.S. and U.S. Outlying areas and

FIPS 10-3 for Foreign Country

Codes.

Not applicable to the Online Website

Submission.

Requirement: This is a required value.

Instructions & Acceptable Values:

- Must be the FIPS 55-2 or FIPS 10-3 country code on the DUNS Number record.

- If the Recipient is the United States, then do not submit a country code but instead submit the state code, see "Recipient State Code" field above.

- This value must be a foreign country if the "Type of

Recipient" field value is "13" (which means All Others) and the "Other Recipient Information" field value are

"3" (which means Foreign University) or "4" (which means Foreign Non- Profit Organization).

- If this value does not match the value for the same

DUNS Number record already stored in the DAADS database, this value will be discarded and the value from the DUNS Number record in the database will be used.

B10 Recipient Zip

Code

Definition: The U.S. Postal

Service’s nine digit zip code of the

Requirement: This is a required system-populated field for all United States and

Requirement: This is a required value for all United

States and U.S. Outlying area addresses, but optional

Reporting Rules.docx

Page:

8/31

Version:

Version 1.2

( - = N/A)

FIELD NAME DEFINITION ONLINE WEBSITE SUBMISSION BATCH FILE SUBMISSION

recipient entity, as listed in the

Recipient's DUNS Number record as stored in the DAADS database.

U.S. Outlying area addresses, but optional system- populated field for foreign country addresses.

for foreign country addresses.

Instructions & Acceptable Values:

- This field is not editable by the users.

- The system will pre-populate this field based on the user-selected DUNS

Number from the DUNS Number record as stored in the DAADS database.

Instructions & Acceptable Values:

- Must be the nine-digit zip code for all United States and U.S. Outlying area addresses or the foreign country zip code on the DUNS Number record.

- If the foreign country zip code (or equivalent) does not exist or is not known, then submit all zeroes.

- If this value does not match the value for the same

DUNS Number record already stored in the DAADS database, this value will be discarded and the value from the DUNS Number record in the database will be used.

B11 Type of

Recipient

Definition: The type of recipient entity that received the award.

Requirement: This is a required drop-down field.

Requirement: This is a required value.

Instructions & Acceptable Values:

- Only those values provided in the drop-down are available for selection.

- This field value must be "13 - All

Other" if the

Recipient is in a foreign country.

- This field value must be "03 -

Municipal or

Township Government", "06 - State

Controlled Institutions of Higher

Education", "08 - Nonprofit Agency

(Other than Educational)", or "09 -

Private Higher Education Institution" if there is a valid FICE Code associated to the submitted DUNS Number.

- This field value must be "06 - State

Instructions & Acceptable Values:

- Must be one of the acceptable values listed below:

01 - State Government

02 - County Government

03 - Municipal or Township Government

04 - Special District Government

05 - Independent School District

06 - State Controlled Institutions of Higher Education

07 - Indian Tribe

08 - Nonprofit Agency (Other than Educational)

09 – Private Higher Education Institution

10 - Individual

11 – Profit Organization (Not a small business)

12 - Small Business

13 - All Other (Including foreign academic and foreign nonprofit)

Reporting Rules.docx

Page:

9/31

Version:

Version 1.2

( - = N/A)

FIELD NAME DEFINITION ONLINE WEBSITE SUBMISSION BATCH FILE SUBMISSION

Controlled Institutions of Higher

Education" or "09 – Private Higher

Education Institution" if the "Other

Recipient Information" field value is "5

- FFRDC (Academic)".

- If this field value is either “06 – State

Controlled

Institutions of Higher Education” or “09

– Private

Higher Education Institution” AND the

Extent Competed value selection is “4 -

Competitive Procedures were NOT used", then users will be required to contact the DAADS Administrator.

- This field value must be "13" if the Recipient is in a foreign county.

- This field value must be "06", "08", or "09" if there is a valid

FICE Code associated to the submitted DUNS Number.

- This field value must be "06" or "09" if the "Other

Recipient

Information" field value is "5".

- If this field value is either “06” or “09” AND the

Extent

Competed value selection is “4" (which means competitive procedures were NOT used), then users will be required to contact the DAADS Administrator.

B12 Other Recipient

Information

Definition: Additional information about the type of entity that received the award, to supplement the “Type of Recipient” information.

Requirement: This is a required drop-down field.

Requirement: This is a required value.

Instructions & Acceptable Values:

- Only those values provided in the drop-down are available for selection.

- This field value must be "1 -

Historically Black Colleges and

Universities", "2 - Minority Institution", "5 - FFRDC (Academic)", or "7 – Not

Applicable" if the "Type of Recipient" field value is "06 - State Controlled

Institutions of Higher Education" or "09

– Private Higher Education Institution".

- This field value must be "6 - FFRDC

(Nonprofit)" or "7 - Not Applicable" if the "Type of Recipient" field value is

"08 - Nonprofit Agency (Other than

Educational)".

Instructions & Acceptable Values:

- Must be one of the acceptable values listed below:

1 - Historically Black Colleges and Universities

2 - Minority Institution

3 - Foreign University

4 - Foreign Nonprofit Organization

5 - Federally Funded Research and Development

Center

(Academic)

6 - Federally Funded Research and Development

Center(Nonprofit)

7 - Not Applicable

- This field value must be "1", "2", "5", or "7" if the

"Type of Recipient" field value is "06" (which is State

Controlled Institutions of Higher Education) or "09"

(which is Private

Reporting Rules.docx

Page:

10/31

Version:

Version 1.2

( - = N/A)

FIELD NAME DEFINITION ONLINE WEBSITE SUBMISSION BATCH FILE SUBMISSION

- This field value must be "3 - Foreign

University", "4 - Foreign Nonprofit

Organization", or "7 - Not Applicable" if the "Type of Recipient" field value is

"13 - All Other".

- This field value must be "3 - Foreign

University", "4 - Foreign Nonprofit

Organization", or "7 - Not Applicable" if the Recipient Country is a foreign country.

Higher Education Institution).

- This field value must be "6" or "7" if the "Type of

Recipient" field value is "08" (which is Nonprofit

Agency (Other than Educational)).

- This field value must be "3", "4", or "7" if the "Type of Recipient" field value is "13" (which means All

Other).

- This field value must be "3", "4", or "7" if the

Recipient Country is a foreign country.

C1 Award Number DEFINITION: One of the unique identifiers for each assistance award within an Awarding Office. This

Award Number must follow the uniform numbering convention identified in DoDGARS 21.520, as listed to the right.

REQUIREMENT: This is a required free-text field.

REQUIREMENT: This is a required value.

INSTRUCTIONS & ACCEPTABLE

VALUES:

- The Award Number should be 13 characters long, but can not exceed 15 characters.

- The first six positions must be alpha-numeric with no special characters or spaces, and represent the appropriate code (DoDAAC) of the

Department/Agency issuing the assistance instrument.

- The 7th and 8th positions can have any numeric value from 0-9, which represents the last two digits of the fiscal year of the award.

- The ninth position must be numeric values of 1, 2 or 3, representing the award classification:

-- "1" for grants.

-- "2" for cooperative agreements, INSTRUCTIONS & ACCEPTABLE VALUES:

- The Award Number should be 13 characters long, but can not exceed 15 characters.

- The first six positions must be alpha-numeric with no special characters or spaces, and represent the appropriate code (DoDAAC) of the

Department/Agency issuing the assistance instrument.

- The 7th and 8th positions can have any numeric value from 0-9, which represents the last two digits of the fiscal year of the award.

- The ninth position must be numeric values of 1, 2 or

3, representing the award classification:

-- "1" for grants.

-- "2" for cooperative agreements, including technology investment agreements that are cooperative agreements

(see Appendix B to DoDGARs part 37).

-- "3" for other non-procurement instruments, including technology investment agreements that are not cooperative agreements.

- The 10th through 13th positions must be numeric

Reporting Rules.docx

Page:

11/31

Version:

Version 1.2

( - = N/A)

FIELD NAME DEFINITION ONLINE WEBSITE SUBMISSION BATCH FILE SUBMISSION

including technology investment agreements that are cooperative agreements (see Appendix B to

DoDGARs part 37).

-- "3" for other non-procurement instruments, including technology investment agreements that are not cooperative agreements.

- The 10th through 13th positions must be numeric values representing the serial number of the award.

- The 14th and 15th positions are optional (but not recommended) and need be alpha-numeric with no special characters or spaces if they are used.

values representing the serial number of the award.

- The 14th and 15th positions are optional (but not recommended) and need be alpha-numeric with no special characters or spaces if they are used.

- The 16th position should be left blank.

C2 Mod Number DEFINITION: An optional identifier for a modification of an assistance award.

REQUIREMENT: This is an optional free-text field.

REQUIREMENT: This is optional value.

INSTRUCTIONS & ACCEPTABLE

VALUES:

- Must be alpha-numeric with no special characters.

INSTRUCTIONS & ACCEPTABLE VALUES:

- Must be alpha-numeric with no special characters.

C3 Obligation Date DEFINITION: The date on which the grants or agreements officer signed the agreement or modification being reported. For a bilateral transaction, this is either the date on which the grants or agreement officer signed or the date on which the recipient signed, whichever is later.

REQUIREMENT: This is a required system- populated field based on the user's date selection from the calendar icon pop-up.

REQUIREMENT: This is a required value.

INSTRUCTIONS & ACCEPTABLE

VALUES:

- The user must select a date from the calendar icon pop-up; typing in a date value is not allowed.

- Date must be between Jan 1, 1990 to the current date.

INSTRUCTIONS & ACCEPTABLE VALUES:

- Date must be between Jan 1, 1990 to the current date.

- Numeric values only in YYYYMMDD format:

--- YYYY is the four-digit year.

--- MM is the two digit month, 01 through 12.

--- DD is the two digit day, which may not be greater than the last day of the month that was identified.

Reporting Rules.docx

Page:

12/31

Version:

Version 1.2

( - = N/A)

FIELD NAME DEFINITION ONLINE WEBSITE SUBMISSION BATCH FILE SUBMISSION

C4 Project Starting

Date

DEFINITION: The date on which the project period began or will begin. If the action being reported is a modification of an existing award, this usually is the original effective date of the existing award, rather than the obligation date or effective date of the modification.

REQUIREMENT: This is a required system- populated field based on the user's date selection from the calendar icon pop-up.

REQUIREMENT: This is a required value.

INSTRUCTIONS & ACCEPTABLE

VALUES:

- The user must select a date from the calendar icon pop-up; typing in a date value is not allowed.

- Date must be between Jan 1, 1990 and a future date.

- The Project Start Date must be equal to or later then the Obligation Date.

INSTRUCTIONS & ACCEPTABLE VALUES:

- Date must be between Jan 1, 1990 and a future date.

- The Project Start Date must be equal to or later than the

Obligation Date.

- Numeric values only in YYYYMMDD format:

--- YYYY is the four-digit year.

--- MM is the two digit month, 01 through 12.

--- DD is the two digit day, which may not be greater than the last day of the month that was identified.

C5 Project Ending

Date

DEFINITION: The end of the project period as specified by the initial agreement and any modifications to it (which would include any options that have been exercised).

REQUIREMENT: This is a required system- populated field based on the user's date selection from the calendar icon pop-up.

REQUIREMENT: This is a required value.

INSTRUCTIONS & ACCEPTABLE

VALUES:

- The user must select a date from the calendar icon pop-up; typing in a date value is not allowed.

- Date must be greater than Jan 1, 1990.

- If the award is an obligation (vice de-obligation), then this field value must be equal to or later than the Obligation

Date.

- This field value must be equal to or later than the

Project Start Date.

INSTRUCTIONS & ACCEPTABLE VALUES:

- Date must be greater than Jan 1, 1990.

- If the award is an obligation, then this field value must be equal to or later than the Obligation Date.

- This field value must be equal to or later than the

Project Start Date.

- Numeric values only in YYYYMMDD format:

--- YYYY is the four-digit year.

--- MM is the two-digit month, 01 through 12.

--- DD is the two-digit day, which may not be greater than the last day of the month that was identified.

Reporting Rules.docx

Page:

13/31

Version:

Version 1.2

( - = N/A)

FIELD NAME DEFINITION ONLINE WEBSITE SUBMISSION BATCH FILE SUBMISSION

C6 Type of Action DEFINITION: The nature of the action being taken.

REQUIREMENT: This is a required drop-down field.

REQUIREMENT: This is a required value.

INSTRUCTIONS & ACCEPTABLE

VALUES:

- Only those values provided in the drop-down are available for selection.

- The Type of Action field value must be a "3 - Revision" or "4 - Funding

Adjustment" if the Federal Obligation field value is a "Deobligation”.

INSTRUCTIONS & ACCEPTABLE VALUES:

- Must be one of the acceptable values listed below:

1 - New Award

2 - Subsequent Incremental Funding Action

3 - Exercise of Option, Additional Research, or

Revision of

Research Proposal

4 - Funding Adjustment to Completed Project

- The Type of Action field value must be a "3" or "4" if the

Federal Obligation field value is a "2” for a de-obligation.

C7A Federal Obligation

Amount

DEFINITION: The amount of

Federal funding that is obligated or de-obligated by this action.

REQUIREMENT: This is a required system- populated field based on the summation of all seven of the

Categories of Support fields.

REQUIREMENT: This is a required value.

INSTRUCTIONS & ACCEPTABLE

VALUES:

- The user must enter in a value in the

Categories of Support field in order for this field to be populated.

- This summation value must be equal to or less than the "Total Federal Value of Award" value.

- This field value must be less than $25 million if CFDA program number is not

12.401, otherwise users must contact the

DAADS Admin.

- This field value must be less than $40

INSTRUCTIONS & ACCEPTABLE VALUES:

- This value must be the summation of all seven of the

Categories of Support field values.

- This value must be positive, whole dollar amounts;

decimals are not allowed.

- This value must be equal to or less than the "Total

Federal Value of Award" field value.

- This field value must be less than $25 million if

CFDA

program number is not 12.401, otherwise users must contact the DAADS Admin.

- This field value must be less than $40 million if

CFDA program number is 12.401, otherwise users must contact the

Reporting Rules.docx

Page:

14/31

Version:

Version 1.2

( - = N/A)

FIELD NAME DEFINITION ONLINE WEBSITE SUBMISSION BATCH FILE SUBMISSION

million if CFDA program number is

12.401, otherwise users must contact the

DAADS Admin.

DAADS Admin.

C7B Federal Obligation

Sign

DEFINITION: To delineate a positive or negative Federal

Obligation Value.

REQUIREMENT: Field is required if a

Federal Obligation value greater than zero is reported.

REQUIREMENT: Field is required if a Federal

Obligation value greater than zero is reported.

INSTRUCTIONS & ACCEPTABLE

VALUES:

- Only those values provided in the drop-down are available for selection.

INSTRUCTIONS & ACCEPTABLE VALUES:

- Must be one of the acceptable values listed below:

1 - Obligation (positive value)

2- De-obligation (negative value)

C8A Non-Federal

Obligation Amount

DEFINITION: The change due to this action in the amount of non-

Federal cost sharing that the recipient is required to expend under the award.

REQUIREMENT: This is a required free-text field when a there is a change in the amount of the recipient's required cost sharing.

REQUIREMENT: This is a required value when a there is a change in the amount of the recipient's required cost sharing.

INSTRUCTIONS & ACCEPTABLE

VALUES:

- This value must be positive, whole dollar amounts; decimals are not allowed.

- This field value must be less than $25 million if CFDA program number is not

12.401, otherwise users must contact the

DAADS Admin.

- This field value must be less than $40 million if CFDA program number is

12.401, otherwise users must contact the

DAADS Admin.

INSTRUCTIONS & ACCEPTABLE VALUES:

- This value must be positive, whole dollar amounts;

decimals are not allowed.

- This field value must be less than $25 million if

CFDA program number is not 12.401, otherwise users must contact the DAADS Admin.

- This field value must be less than $40 million if

CFDA program number is 12.401, otherwise users must contact the DAADS Admin.

C8B Non-Federal

Obligation Sign

DEFINITION: To delineate a positive or negative Non-Federal

Obligation Value.

REQUIREMENT: This is a required drop-down field when the Non-Federal

Obligation Amount value is populated.

REQUIREMENT: This is a required value when the

Non- Federal Obligation Amount value is reported.

INSTRUCTIONS & ACCEPTABLE INSTRUCTIONS & ACCEPTABLE VALUES:

Reporting Rules.docx

Page:

15/31

Version:

Version 1.2

( - = N/A)

FIELD NAME DEFINITION ONLINE WEBSITE SUBMISSION BATCH FILE SUBMISSION

VALUES:

- Only those values provided in the drop-down are available for selection.

- Must be one of the acceptable values listed below:

1 - Obligation (positive value)

2 – De-obligation (negative value)

C9 Total Federal Value of Award

DEFINITION: The total amount of federal funding expected to be obligated over the life of the award, which includes:

- The initial obligation when the award was made;

- Incremental funding obligations that have been made, as well as those anticipated during the project period currently specified in the award (including any options that have been exercised); and

- Amounts of options that have not been exercised.

REQUIREMENT: This is a required free-text field.

REQUIREMENT: This is a required value.

INSTRUCTIONS & ACCEPTABLE

VALUES:

- This value must be positive, whole dollar amounts; decimals are not allowed.

- This field value must be equal to or greater than the "Federal Obligation

Amount" field value.

INSTRUCTIONS & ACCEPTABLE VALUES:

- This value must be positive, whole dollar amounts;

decimals are not allowed.

- This field value must be equal to or greater than the

"Federal Obligation Amount" field value.

C10 Type of Award DEFINITION: The type of assistance transaction being awarded or modified by the reported action.

REQUIREMENT: This is a required drop-down field.

REQUIREMENT: This is a required value.

INSTRUCTIONS & ACCEPTABLE

VALUES:

- Only those values provided in the drop-down are available for selection.

- The values available for selection are based on the value of the ninth position of the Award Number, as described below:

-- If the ninth position of the Award

Number has a value of "1" for Grants, then the following values will be available for selection:

02 - Block Grant

INSTRUCTIONS & ACCEPTABLE VALUES:

- Must be one of the acceptable values listed below:

02 - Block Grant

03 - Formula Grant

04 - Project Grant

5A - Technology Investment Agreement that is a

Cooperative Agreement

5B – Any Other Cooperative Agreement

06 - Direct Payment (Specific Use)

07 - Direct Loan

08 - Guaranteed/Insured Loan

09 - Insurance

10 - Direct Payment (Unrestricted Use)

Reporting Rules.docx

Page:

16/31

Version:

Version 1.2

( - = N/A)

FIELD NAME DEFINITION ONLINE WEBSITE SUBMISSION BATCH FILE SUBMISSION

03 - Formula Grant

04 - Project Grant

-- If the ninth position of the Award

Number has a value of "2" for

Cooperative Agreements, then the following values will be available for selection:

5A - Technology Investment Agreement that is a Cooperative Agreement

5B – Any Other Cooperative Agreement

-- If the ninth position of the Award

Number has a value of "3" for Other, then the following values will be available for selection:

06 - Direct Payment (Specific Use)

07 - Direct Loan

08 - Guaranteed/Insured Loan

09 - Insurance

10 - Direct Payment (Unrestricted Use)

12 - Technology Investment Agreement that is not a Cooperative Agreement

13 - All other reimbursable, contingent, intangible, indirect

12 - Technology Investment Agreement that is not a

Cooperative Agreement

13 - All other reimbursable, contingent, intangible, indirect

- If the ninth position of the Award Number has a value of "1" for Grants, then this field must be "02", "03", or "04".

- If the ninth position of the Award Number has a value of "2" for Cooperative Agreements, then this field must be "5A or "5B".

- If the ninth position of the Award Number has a value of "3" for Others, then this field must be "06", "07", "08", "09", "10", "11", "12", or "13".

C11 Catalog of Federal

Domestic

Assistance (CFDA)

Program Number

DEFINITION: The Catalog of

Federal Domestic Assistance

(CFDA) Program Number for the

DoD or other agency program providing the funds that are being obligated or de- obligated.

IMPORTANT: An awarding office

REQUIREMENT: This is a required drop-down field.

REQUIREMENT: This is a required value.

INSTRUCTIONS & ACCEPTABLE

VALUES:

- Only those values provided in the drop-down are available for selection.

INSTRUCTIONS & ACCEPTABLE VALUES:

- This value must match one of the approved CFDA

Program Numbers as maintained by CFDA on their website.

Reporting Rules.docx

Page:

17/31

Version:

Version 1.2

( - = N/A)

FIELD NAME DEFINITION ONLINE WEBSITE SUBMISSION BATCH FILE SUBMISSION

that obligates funds it receives from another DoD agency or a non-DoD agency must use the CFDA Program

Number for the program of the other agency from which the funds originated, and not a CFDA Program

Number for any of its own programs.

C12 Project

Description

DEFINITION: A brief title describing the project or program supported by the funding action.

IMPORTANT: The entry in this field is the “award title” that the

Transparency Act (P.L. 109 282) requires to be:

- Descriptive of the purpose of the funding action

- Reported to USAspending.gov, where it is to be available to and searchable by the public

REQUIREMENT: This is a required free-text field.

REQUIREMENT: This is a required value.

INSTRUCTIONS & ACCEPTABLE

VALUES:

- The title must be descriptive of the programmatic purpose of the funding action.

- Do not use a vague description such as

“follow-on funding” or “in accordance with the statement of work.”

- Use plain language that the public can understand. Do not use internal DoD jargon or acronyms that will not mean anything to the public.

- This field may contain alpha-numeric values, printable characters (available on the keyboard), and acute characters

(such as á, é, í, ó, ú, or ý).

- Do not include the printable character tilde "~" or nine numerical digits (either consecutive or separated by spaces or special characters) since this may be seen as a social security number (SSN) which is considered PII.

Reporting Rules.docx

Page:

18/31

Version:

Version 1.2

( - = N/A)

FIELD NAME DEFINITION ONLINE WEBSITE SUBMISSION BATCH FILE SUBMISSION

C13 Primary

Administering

Agency

DEFINITION: If the responsibility was delegated, this is the agency that was delegated the responsibility for post award administration of the award made or modified by the reported action.

IMPORTANT: As of October 2012, the available valid values for this field have been truncated to only three options: 1714 (which is ONR), 9763 (which is DCMA), and the

Awarding Agency. All awards previously entered into DAADS will be translated to using these new 3 values. Incoming Batch File records should try to adhere to these new rules, see more information to the right.

drop-down field.

REQUIREMENT: This is a required value.

INSTRUCTIONS & ACCEPTABLE

VALUES:

- Only those new values provided in the drop-down are available for selection.

INSTRUCTIONS & ACCEPTABLE VALUES:

- Should be one of the acceptable values listed below:

1714 (which is ONR)

9763 (which is DCMA)

Agency Code of the Awarding Agency

- The batch process will accept any valid agency code for this field and will not error the award on this basis.

However, if a user choses to edit the batch record via the new DAADS online website, the online website rules will apply and the user will be asked to correct the award and select one of the three available options.

- Principal Place of

Performance City

Name

DEFINITION: The name of the city where the effort under the award will be performed.

REQUIREMENT: This is a required system- populated field if the Place of

Performance location Country is United

States or any U.S. Outlying

Area.

Not applicable to the Batch File Submission.

INSTRUCTIONS & ACCEPTABLE

VALUES:

- This field is not editable by the users.

- The system will pre-populate this field based on the user-selected Place of

Performance Location

C14A Principal Place of DEFINITION: The FIPS code of the Not applicable to the Online Website REQUIREMENT: This is a required value if the Place

Reporting Rules.docx

Page:

19/31

Version:

Version 1.2

( - = N/A)

FIELD NAME DEFINITION ONLINE WEBSITE SUBMISSION BATCH FILE SUBMISSION

Performance City, or Place Code city or place where the effort under the award will be performed.

Submission. of Performance location Country is United States or any U.S. Outlying Area.

INSTRUCTIONS & ACCEPTABLE VALUES:

- Must be the FIPS 55-2 city code.

- If the city is Washington D.C., use the city code

"50000".

- If the city code is not listed, find the appropriate county and use the county code instead.

- If the Place of Performance is in a foreign

- Principal Place of

Performance State

Name

DEFINITION: The name of the

State where the effort under the award will be performed.

REQUIREMENT: This is a required system- populated field if the Place of

Performance location Country is United

States or any U.S. Outlying Area.

Not applicable to the Batch File Submission.

INSTRUCTIONS & ACCEPTABLE

VALUES:

- This field is not editable by the users.

- The system will pre-populate this field based on the user-selected Place of

Performance Location

Search.

C14B Principal Place of

Performance State

Code

DEFINITION: The code of the State where the effort under the award will be performed.

Not applicable to the Online Website

Submission.

REQUIREMENT: This is a required value if the Place of Performance location Country is United States or any U.S. Outlying Area.

INSTRUCTIONS & ACCEPTABLE VALUES:

- Must be the FIPS 55-2 state code.

- If the Place of Performance is in a foreign country, then do not submit a state code but instead submit the foreign country code, see "Place of Performance

Country Code" field below.

Reporting Rules.docx

Page:

20/31

Version:

Version 1.2

( - = N/A)

FIELD NAME DEFINITION ONLINE WEBSITE SUBMISSION BATCH FILE SUBMISSION

- Principal Place of

Performance

Country Name

DEFINITION: The name of the

Country where the effort under the award will be performed.

REQUIREMENT: This is a required system- populated field if the Place of

Performance location Country is United

States or any U.S. Outlying

Area.

Not applicable to the Batch File Submission.

INSTRUCTIONS & ACCEPTABLE

VALUES:

- This field is not editable by the users.

- The system will pre-populate this field based on the user-selected Place of

Performance Location Search.

C14B Principal Place of

Performance

Country Code

DEFINITION: The code of the country of the recipient entity, as listed in the Recipient's DUNS

Number record as stored in the

DAADS database. The FIPS 55-2 contains the codes for all U.S. and

U.S. Outlying areas and FIPS 10-3 for Foreign Country Codes.

Not applicable to the Online Website

Submission.

REQUIREMENT: This is a required value if the Place of Performance location Country is United States or any U.S. Outlying Area.

INSTRUCTIONS & ACCEPTABLE VALUES:

- Must be the FIPS 55-2 or FIPS 10-3 country code.

- If the Place of Performance is the United States, then do not submit a country code but instead submit the state code, see the "Place of Performance State Code" field above.

C14B Principal Place of

Performance

Country Code

DEFINITION: The code of the country of the recipient entity, as listed in the Recipient's DUNS

Number record as stored in the

DAADS database. The FIPS 55-2 contains the codes for all U.S. and

U.S. Outlying areas and FIPS 10-3 for Foreign Country Codes.

Not applicable to the Online Website

Submission.

REQUIREMENT: This is a required value if the Place of Performance location Country is United States or any U.S. Outlying Area.

INSTRUCTIONS & ACCEPTABLE VALUES:

- Must be the FIPS 55-2 or FIPS 10-3 country code.

- If the Place of Performance is the United States, then do not submit a country code but instead submit the state code, see the "Place of Performance State Code" field above.

- Principal Place of

Performance ZIP

DEFINITION: The U.S. Postal

Service’s standard 5-digit zip code

REQUIREMENT: This is a required system- populated field if the Place of

Not applicable to the Batch File Submission.

Reporting Rules.docx

Page:

21/31

Version:

Version 1.2

( - = N/A)

FIELD NAME DEFINITION ONLINE WEBSITE SUBMISSION BATCH FILE SUBMISSION

Code where the effort under the award will be performed.

Performance location Country is United

States or any U.S. Outlying

Area.

VALUES:

- This field is not editable by the users.

- The system will pre-populate this field based on the user-selected Place of

Performance Location Search.

- Principal Place of

Performance ZIP

Code Extension

DEFINITION: The U.S. Postal

Service’s 4- digit zip code extension where the effort under the award will be performed.

REQUIREMENT: This is a required free-text field if the Place of

Performance location Country is United

States or any U.S. Outlying Area.

Not applicable to the Batch File Submission.

INSTRUCTIONS & ACCEPTABLE

VALUES:

- This value must be four numeric digits.

- This value cannot be all zeros, "0000".

C14C Principal Place of

Performance 9-digit

ZIP Code

DEFINITION: The U.S. Postal

Service’s nine-digit zip code where the effort under the award will be performed.

Not applicable to the Online Website

Submission.

REQUIREMENT: This is a required value for all

United States and U.S. Outlying area addresses, but optional for foreign country addresses.

Reporting Rules.docx

Page:

22/31

Version:

Version 1.2

( - = N/A)

FIELD NAME DEFINITION ONLINE WEBSITE SUBMISSION BATCH FILE SUBMISSION

INSTRUCTIONS & ACCEPTABLE VALUES:

- Must be the nine-digit zip code for all United States and U.S.

Outlying area addresses or the foreign country zip code on the DUNS Number record.

- If the foreign country zip code (or equivalent) does not exist or is not known, then submit the following"

"000000001".

- The last four digits of this value cannot be all zeros, "0000".

C15 Type of Funds DEFINITION: The budget category of the type of funds being obligated or de-obligated by the reported action. The first seven Type of

Funds code are specifically for funds of specific DoD appropriations described in section I below. while the eighth code is for all other funding sources, as described in section II.

I. SPECIFIC TO FUNDS OF THE

FOLLOWING DoD RDT&E

APPROPRIATIONS:

(i) RDT&E, Army

(ii) RDT&E, Army, Recovery Act

(iii) RDT&E, Navy;

(iv) RDT&E, Navy, Recovery Act

(v) RDT&E, Air Force;

(vi) RDT&E, Air Force, Recovery

Act; (vii) RDT&E, Defense Wide;

REQUIREMENT: This is a required drop-down field.

REQUIREMENT: This is a required value.

INSTRUCTIONS & ACCEPTABLE

VALUES:

- Only those new values provided in the drop-down are available for selection.

- If this field value is "8 - Other", then cannot be any reported dollars obligated in the Research & Development field in the Categories of Support section.

INSTRUCTIONS & ACCEPTABLE VALUES:

- Must be one of the acceptable values listed below:

1 - Basic Research (6.1)

2 - Exploratory Development (6.2)

3 - Advanced Development (6.3A)

4 - Demonstration/Validation (6.3B)

5 - Engineering and Manufacturing Development

(6.4)

6 - Management Support (6.5)

7 - Operational Systems Development (6.6)

8 - Other (not Program 6 funding)

- If this field value is "8", then cannot be any reported dollars obligated in the Research & Development field in the Categories of Support section.

Reporting Rules.docx

Page:

23/31

Version:

Version 1.2

( - = N/A)

FIELD NAME DEFINITION ONLINE WEBSITE SUBMISSION BATCH FILE SUBMISSION

and (viii) RDT&E, Defense Wide, Recovery Act.

- Use the code that corresponds to the RDT&E Budget Activity (BA) of the program element that is the predominant source of the funding.

Note that the program element can be derived from the line of accounting of the funds. When necessary, the local financial management office that certified the availability of the funds for obligation can assist in identifying the program element.

II. FOR FUNDS OF ALL OTHER

DoD APPROPRIATIONS AND

ALL NON-DoD FUNDING

- For funding from another agency, from a DoD appropriation other than one of the RDT&E appropriations identified above in section I of the instructions (e.g., O&M and Defense

Health Program), or from non DoD funding - use the value "8 - Other".

C16A Agency

Appropriation

DEFINITION: The Agency

Appropriation field value will be derived based on the Agency

Funding Code with the following exceptions.

REQUIREMENT: This is a required drop-down field than may be system-populated depending on the user selection of the Agency Funding value.

REQUIREMENT: This is a required value.

INSTRUCTIONS & ACCEPTABLE

VALUES:

INSTRUCTIONS & ACCEPTABLE VALUES:

- Must be one of the acceptable values listed below:

Reporting Rules.docx

Page:

24/31

Version:

Version 1.2

( - = N/A)

FIELD NAME DEFINITION ONLINE WEBSITE SUBMISSION BATCH FILE SUBMISSION

- The system will pre-populate this field with options that require the user to select the final value in the following situations:

-- When Agency funding Code is 1700 the Agency Appropriation Value can be

11 or 12.

-- When Agency funding Code starts with 97 and there is no other one-to-one relationship then Agency Appropriation

Value can be 04 or 17.

- The system will pre-populate this field and not allow the user to edit it in the following situations:

-- When the selected Agency Funding value is

2100, the Agency Appropriation value will be 01.

-- When Agency funding Code does not start with 17, 21, 57, 96 or 97 then

Appropriation Value will be 15.

-- When the following one-to-one relationship exists between the Agency Funding

Code and the

Agency Appropriation Code:

2100 = 01

97AB = 02

97JC = 03

97AE = 05

5700 = 06

97CG = 07

01 - United States Army

02 - National Geospatial Intelligence Agency

03 - Missile Defense Agency

04 - Office of the Secretary of Defense

05 - Defense Advanced Research Projects Agency

06 - United States Air Force

07 – National Security Agency

08 - Defense Threat Reduction Agency

09 - Defense Information Systems Agency

10 - Defense Intelligence Agency

11 - United States Marine Corps

12 - United States Navy

13 - Defense Logistics Agency

14 - Uniformed Services University of Health Sciences

15 - Non Department of Defense

16 - Office of the Chief of Engineers

17 - Other Department of Defense

- When Agency funding Code is 1700 the Agency

Appropriation Value must be 11 or 12.

- When the selected Agency Funding value is 2100, the

Agency Appropriation value must be 01.

- When Agency funding Code does not start with 17, 21, 57, 96 or 97 then Appropriation Value must be 15.

- When Agency funding Code starts with 97 and there is no other one-to-one relationship then Agency

Appropriation Value must be 04 or 17.

- When the following one-to-one relationship exists, the correct Agency Appropriation value must be reported for the applicable Agency Funding code:

2100 = 01 97AB = 02

97JC = 03 97AE = 05

Reporting Rules.docx

Page:

25/31

Version:

Version 1.2

( - = N/A)

FIELD NAME DEFINITION ONLINE WEBSITE SUBMISSION BATCH FILE SUBMISSION

9761 = 08

97AH = 08

97AK = 09

97DL = 10

97AS = 13

97HW = 14

96CE = 16

5700 = 06 97CG = 07

9761 = 08 97AH = 08

97AK = 09 97DL = 10

97AS = 13 97HW = 14

96CE = 16

C16B Agency Funding

Code

DEFINITION: The FIPS-95…