DOE O 1332.1A Chg 1, Uniform Reporting System

DOE 1332.1A 3 10-15-85 j. k. l. m. n. o. p. q. DOE 5700.7A, FIELD WORK PACKAGE PROPOSAL AND AUTHORIZATION SYSTEMS, of 6-9-83, which provides a formal process for budget development, author- ization, and monitoring DOE-funded research and development work per- formed by designated contractors at designated facilities, including multiprogram national laboratories. DOE 6410.1, MANAGEMENT OF INSTRUCTION PROJECTS, of 5-26-83, which establishes policy and procedures for planning and executing DOE construction programs and projects. Title 44 U.S.C., "Public Printing and Documents,” of 10-22-68, which establishes legal requirements related to public printing and documents, including Government Printing Office and other agency efforts, for both in-house and contract efforts. Department of Energy Acquisition Regulations, Section 917.7109, ‘Reporting Requirements for Special Research Contracts With Educational Institutions,” of 3-28-84. Department of Energy Acquisition Regulations, Section 917.7113, “Format for Special Research Contracts With Educational or Other Non-Profit Institutions,” of 3-28-84. Title 5 CFR 1320, “Controlling Paperwork Burdens on the Public,” which directs the identification and clearance of information collections levied on the public, including contractors, state and local government units, and persons who perform services for the Department on an individual basis. Title 10 CFR Part 1004.11, “DOE Freedom of Information Regulations,” of 1-8-79, which establishes procedures concerning handling of documents containing information which may, by law, be exempt from disclosures, and establishes the methods used by the Department to respond toFree- dom of Information requests. Title 41 CFR 101-11.11, “Interagency Reports Management Program,” of 7-1-82, revised, which establishes an interagency reports management program, describes policies, and promulgates standards, procedures, and techniques for the economical and efficient management of records of Federal agencies. 6. DEFINITIONS. a. Borrower is an inclusive term for all agencies, governments, other organizations, and individuals receiving financial assistance in the form of a loan from, or a loan guarantee by, DOE. b. Contract is a mutually binding legal relationship obligating the seller to furnish property or nonpersonal services (including construction) and the buyer to pay for them. 4 c. d. e. f. g. h. DOE 1332.1A 10-15-85 Contractor is any organizational entity or individual bound by a contract with DOE. Contractual Agreement is an inclusive term for all contracts, inter- agency agreements, loan agreements, and loan guarantee agreements. Interagency Agreement is a binding agreement with a Federal Government agency to provide funds, property, or services to DOE in exchange for funds, property, or services. Loan is a disbursement for goods or services) interest; for example, loan agreement or loan of funds by DOE or other lender (not in exchange that is contracted to be repaid with or without a drawdown against a loan made under either a guarantee agreement. Loan Guarantee is an agreement by which DOE pledges to pay part or all of the loan principal and interest to a lender or holder of a security in the event of a default by a third party borrower. The term also includes loans DOE has sold under guarantee or repurchase agreements. Participant is a DOE contractor, borrower, or party to an interagency agreement. 7. BACKGROUND.

a. Acquisition management through contracts, interagency agreements, or financial incentives requires an active DOE role during execution and generally requires that DOE participate in directing progress. This role requires review of participant plans and surveillance of partici- pant progress. Participant reporting is a requisite to that surveil- lance. b. DOE 1332.1, UNIFORM REPORTING SYSTEM FOR CONTRACTORS, of 10-31-83, super- seded DOE 1330.2, of 3-1-79, which established a reporting system to be used throughout the Department for new contracts issued after 2-1-79. c. This Order incorporates modifications based on knowledge and experience gained in using the above system, and integrates the uniform reporting system for contractors with financial incentives reporting while re- ducing reporting burden. 8. POLICY AND OBJECTIVES. a. It is the Department’s policy to: (1) Acquire uniform, timely, and valid information on schedule, labor, cost, and technical performance on contracts and financial incentives. (2) Acquire information on a borrower’s financial condition. DOE 1332.1A 10-15-85 5 b. The objectives of this Order are to: (1) (2) (3) (4) (5) (6) (7) Provide the tools for obtaining essential management information. Establish uniform procedures, forms, and terminology for collecting and integrating the minimum data required to manage and monitor contractual agreements. Ensure that only those plans and reports that are essential to monitoring and managing the contractual agreement are required from participants. Meet the information needs of several organizations with minimum reporting requirements. Enable the detection of possible delays or excess costs early enough to resolve difficulties. Support reporting to higher management levels. Support approvals which may be required for periodic disbursement of funds pursuant to provisions of contractual agreements. 9. RESPONSIBILITIES AND AUTHORITIES. a. b. c. Program Senior Officials and Heads of Field Elements. (1) Implement the provisions of this Order in their individual areas of responsibility. (2) Provide for the review and evaluation of proposed and selected reporting requirements to ensure that neither excessive nor inadequate reporting requirements are being levied on participants. (3) Appoint an individual as a focal point to coordinate the require- ments of this Order and furnish the appointee’s name to the Direc- tor of Project and Facilities Management (MA-22). program Managers, for purposes of this Order, act as project manager when there is no project manager. Project Managers. (1) Become familiar with the intent and processes of this Order and of the references in paragraph 5, and ensure participant compliance with their intent. (2) Determine the reporting requirements for each contractual agreement and choose only those plans and reports essential to effective management and satisfaction of technical and financial reporting requirements. 5 d. DOE 1332.1A 10-15-85 (3) Review,analyze, evaluate, and act on information obtained through the required PlanS and reports. Director of Administration. (1) Director of Project and Facilities Managemnt (MA-22). (a) (b) (c) (d) Coordinates the implementation of this Order. Reviews all unique ment reporting requirements inmanage coordnation with the major organization identifying such requirements. Authorizes data element definition revisions requested by the project manager.

Implements the information collection and clearance ents containedrequirem in Title 5 CFR 1320 as they apply to participants, their employees and other members of the public from whom information is collected under the Provisions of this directive. (2) Director of personnel (MA-20) provides for the inclusion of unifom reporting system training in Departmentwide training programs, as appropriate. (3) Manager of Scientific and T tion (MA-28)echnical Informa ensures this Order contains the reporting requirements neces- sary to meet technical“inforlmtion needs. e. Director of Procurement and Assistance Management (MA-4) . (1) Ensures that all solicitations contain applicable- uniform reporting system requirements either directly or by refer- ence . (2) Ensures that, where applicable, the contractual agreement includes the clause for incorporating the uniform reporting system requirements (page IV-4 ) and the agreement package includes the “Reporting Requirement Checklist. ” DOE 1332.1A 7 (and 8) 10-15-85 . BY ORDER General Counsel (GC-1) through the Office of Assistant General Counsel for Patents (GC-42), on request of the project manager or contracting officer’s technical representative, reviews scientific and technical re- ports to prevent premature disclosure of inventions before reports are released to the public. OF THE SECRETARY OF ENERGY: DOE 1332.1A 10-15-85 i TABLE OF CONTENTS CHAPTER I - INTRODUCTION 1. 2. 3. General Description . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . a. System Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . FigureI-l- Uniform Reporting System Process . . . . . . . . . . . . . b. Reporting Categories . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Figure I-2 - Plan and Status Components . . . . . . . . . . . . . . . . . . . c. System Features ........ ....... ....... .... . . . . . . . . . . . . If the Cost and Schedule Control Systems Criteria Apply . . . . . . . . . . . . . a. Specification of Reporting Requirements . . . . . . . . . . . . . . . . . . . . . b. Borrowers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . c. Application to Second Tier Participants . . . . . . . . . . . . . . . . . . . . . . . . Notices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . a. Confidentiality Statement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . b. Government Printing Regulations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Applicability to Other Government Agencies . . . . . . . . . . . . . . . . . . . . . d. Authority . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . e. Compliance. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . f. Office of Management and Budget Clearance . . . . . . . . . . . . . . . . . . . . . . CHAPTER II - DESCRIPTION OF PLANS AND STATUS REPORTS 1. General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . a. Format . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . b. Structure of Reporting Elements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Figure II-1 FigureII-2 FigureII-3 FigureII-4 FigureII-5 FigureII-6 FigureII-7 FigureII-8 Forms Included in Uniform Reporting System. Example Work Breakdown Structure . . . . . . . . . . . Reporting by Detail Level Work Breakdown Structure Element. . . . . . . . . . . . . . . . . . . . . . Reporting By Summary Level Work Breakdown Structure Element. . . . . . Reporting By Contract Line Item. . . . . . . . . . . . Reporting By Cost Element. . . . . . . . . . . . Reporting By Organization/Labor Element.... Reporting By Construction Element . . . . . . . . . c. Depth of Detail - -. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . d. Standardization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . e. Reporting by Budget and Reporting (B&R) Number... . . . . . . . . . . . . . . 2. General Management Plans and Status Reports . . . . . . . . . . . . . . . . . . . . . . . . . a. General. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . b. The c. The d. The Management Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Figure II-9 Management Plan Outline . . . . . . . . . . . . . . . . . . . . Figure 11-10 -Example Managment Control Systems Description Outline. . . . . . . . . . . . . . . . . . . Status Report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Summary Report (DOE F 1332.2) . . . . . . . . . . . . . . . . . . . . . . . . Figure 11-11 - Example “Status Report’’. . . . . . . . . . . . . . . . . . . . Page I-1 I-1 I-2 I-3 I-4 I - 4 I-5 I-5 I-6 I-6 I-6 I-6 I-6 I-6 1-6 I-6 1-6 II-1 II-1 II-1 II-2 II-4 II-5 II-5 II-6 II-6 11-7 II-7 II-7 II-8 II-8 II-8 II-8 II-8 II-9 II-10 II-11 II-11 II-12 DOE 1332.1A 10-15-85ii 3. 4. 5. 6. 7. Schedule, Labor and Cost Plans and Status Reports . . . . . . . . . . . . . . . . . . . a. General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . b. Plans . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Figure 11-12 - Example Funding Status . . . . . . . . . . . . . . . . . . . . . Figure 11-13 - Funding Status by Time Period . . . . . . . . . . . . Figure 11-14 - Example Cost Change Reconciliation . . . . . . . . . c. Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Exception Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . a. General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . b. The Conference Record . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Figure 11-15 - Example Conference Record . . . . . . . . . . . . . . . . . . c. The Hot Line Report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Performance Measurement Plans and Status Reports . . . . . . . . . . . . . . . . . . . . a. General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Figure 11-16 - Example Hot Line Report . . . . . . . . . . . . . . . . . . . . b. Plans . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . c. Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Financial Incentives Plans (Pro Formas) and Status Reports . . . . . . . . . . a. General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . b. Description of Plans and Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . c. General Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . d. Specific Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Technical Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . a. Genera . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . b. Description of Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . General Content . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . d. Specific Contents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Attachment II-1 - Contract Example . . . . . . . . . . . . . . . . . . . . . . . . CHAPTERIII- SELECTING REQUIRED PLANS AND REPORTS 1. General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2. Reporting Requirement Considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . a. b. c. d. e. f. 9* n. i. k: l. m. n. o. General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Program Legislation, Federal Regulations, and DOE Guidance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Type of Contractual Agreement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Cost and Schedule Control Systems Criteria Application . . . . . . . . . Nature and Scope of Activity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Value of the Effort . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Duration and Complexity of the Effort . . . . . . . . . . . . . . . . . . . . . . . . . Nature and Extent of the Risks Involved . . . . . . . . . . . . . . . . . . . . . . . . Significance of the Effort . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Information Requirements of Other DOE Offices . . . . . . . . . . . . . . . . . . Reporting Burden . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Performan ce Measurement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Field Work Package Proposal and Authorization System Considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Personal Knowledge of Technical Work . . . . . . . . . . . . . . . . . . . . . . . . . Publication Practicability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II-13 II-13 II-13 II-13 II-14 II-15 II-16 II-17 11-17 II-17 II-18 II-19 II-19 II-19 II-20 II-20 II-20 II-21 II-21 II-21 II-22 II-23 II-24 II-24 II-25 II-25 II-26 II-27

III-1 III-1 III-1 III-i III-1 III-2 III-2 III-2 III-2 III-2 III-2 III-2 III-2 III-2 III-3 III-3 III-3 DOE 1332.1A 10-15-85 3. 4. 5. Report and Frequency Selection Tables . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . a. General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . b. Contracts . . . . . . . . . . . . . . ... . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . c. Financial Incentives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Due Dates for Plans and Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . a. General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . b. Contracts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . c. Financial Incentives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Special Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . a. General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . b. Multiparticipant Projects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . c. Second Tier Participants . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . d. Unique Reporting Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Figure III-1 - Selection Table for General Management, Schedule/Labor/Cost, and Exception Reports for Firm Fixed Price Contracts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Figure III-2 - Selection Table for General Management, Schedule/Labor/Cost, and Exception Reports for Cost Type Contracts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Figure III-3 - Selection Table for General Management, Schedule/Labor/Cost, and Exception Reports for Interagency Agreements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Figure III-4 - Selection Table for Performance Measurement “ Reports for Cost Type Contracts and Financial Incentives with CSCSC . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . e. Shared Participation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Figure III-5 - Selection Table for Technical Information Reports for All Contractual Agreements . . . . . . . . . . . .. . . . . Figure III-6 - Selection Table for General Management, Schedule/Labor/Cost, and Exception Reports for Financial Incentives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . f. Substitution of Alternative Reporting . . . . . . . . . . . . . . . . . . . . . . . . . g. Consulting Services Contracts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Figure III-7 - Selection Table for Financial Reports for Financial Incentives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Figure III-8 - Frequency Codes and Due Dates for All Contractual Agreements . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . CHAPTER IV - SPECIFICATION OF PLAN AND STATUS REPORT REQUIREMENTS 1. General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2. Preparation of the Reporting Requirements Checklist . . . . . . . . . . . . . . . . .

Content . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . b. Instructions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Approvals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . d. Example . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I. III III-3 III-4 III-4 III-4 III-4 III-4 III-4 III-4 III-4 III-4 III-5 III-6 III-7 III-8 III-8 III-9 III-10 III-11 III-11 III-11 111-12 IV-1 IV-1 IV-1 IV-1 IV-1 IV-1 Duration of Report Distribution List and List of General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . DOE 1332.1A 10-15-85 Addresses . . . . . . . IV-1 .......... . . . . FigureIV-1 IV-1 - Technical Report Distribution Guide (No. of Copies) for All Contractual Agreements b. . . . . . . . . IV-2 Contracts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Financ IV-3 c. ial Incentives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . d. IV-3 Technical Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4. IV-3 Inclusion of Reporting Requirements in the Solicitation and Contractual Agreement . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . IV-3 Figure IV-2 - Sample Clause for Incorporating Uniform Reporting System Requirements . . . . . . . . . . . . . . . . . . . . . . . . . IV-4 Attachment IV-1 - Example Reporting Requirements Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . V-5 DOE 1332.1A I-1 10-15-85 CHAPTER I 1. INTRODUCTION GENERAL DESCRIPTION. The uniform reporting system addresses the reporting requirements for contracts and financial incentives (loans and loan agree- ments) and changes thereto. Also see DOE 5700.7A, FIELD WORK PACKAGE PROPOSAL AND AUTHORIZATION SYSTEM, which covers reporting requirments for management and reporting contractors. The plans and reports provide the data essential to project management and for reporting to higher level management. In general, there is a basic process by which reporting re- quirements are identifid by DOE, requirements are Specified in the contrac- tual agreement, and reports are provided by the participant. Although the system is built around a common process, and some procedures are common to all contractual agreement typess, some remain unique to a specific type. Because of the commonalities, integration of the reporting systems into a single system provides significant advantages both to DOE and to reporting participants. This chapter describes the process, the reporting categories, and the features of the system and their relationship to the Cost and Schedule Control Systems Criteria, and provides various administrative noti- fications. a. System Process. Figure 1-1 illustrates the major steps in the uniform reporting system. They are: (1) Identify Reportinq Requirements. Before issuing a procurement request for a solicitation and after considering the information needs of other offices, the project manager identifies the reports that will be required from the participant in order to monitor the proposed work and manage proposed acquisitions.

(2) Prepare “Reporting Requirements Checklist” (DOE F 1332.1). The applicant/proposer must include reporting costs in the applica- tion/proposal. To do so, the required plans and status reports, and the distribution to be made by the participant subsequent to award, must be identified in the solicitation. The project mana- ger prepares the “Reporting Requirements Checklist” for this pur- pose (see Chapter IV of this Order). This checklist identifies which baseline plans and status reports should be submitted and their frequency of submission. (3) Prepare Detailed Guidance. The project office prepares detailed guidance for participant compliance with the reporting require- ments. In attachments to the ‘Reporting Requirements Checklist,” the project manager specifies when and to whom plans and reports should be submitted, the reporting elements to be used, the work breakdown structure if applicable, analysis thresholds to be used, and other special instructions. Any special reporting require- ments specified in the program legislation or regulations will also be identified in an attachment to the checklist. I-2 DOE 1332.1A 1O-15-85 (4) Issue Solicitation. The contracting officer issues the announce ment/request for proposal(s) containing the reporting requirements. 1 , 2 , 3 I I Figure I-1 Uniform Reporting System Process (5) Applicant/Proposer Submits Proposal, Including Plans. The applicant/proposer submits the application/proposal containing the required uniform reporting system plans in accordance with the solicitation. (6) Revise Checklist. The project manager revises the "Reporting Requirements Checklist” to reflect the negotiated reporting requirements. (7) Let Contractual Agreement. The DOE contracting officer lets the contractual agreement containing the “Reporting Requirements Checklist” and attachments, and the related clause specifying the reporting requirement. (8) Participant Performs Work and Submits Reports. The Participant periodically distributes the uniform reporting system reports in compliance with the contractual agreement. (9) DOE Assesses Reported Status. The project manager,the con- tracting officer, and the contracting officer’s technical DOE 1332.1A 10-15-85 I-3 (10) (11) b. representative review submitted reports rejecting any used im- properly, analyze status relative to plan, and evaluate alterna- tive problem solutions. DOE Determines and Directs Required Action. The project manager determines any management required redirection and implements any changes through the contracting officer. DOE Redirects Participant As Required. The contracting officer redirects participants as required by DOE management. RepOrting Categories. Participants report two basic types of information, baseline plan and status. Plans establish baselines for the life of the contractual agreement against which progress can be measured. The "Management Plan” is the participant’s plan for executing the proposed work and, if applicable, for the repayment of the loan. It contains the appropriate detail baseline plans. Status reports relate directly to given baseline plans and show participant progress as well as variances from plans. The narrative “Status Report” will address such variances. Performance measurement reports will be used for selected contracts. A number of reports are unique to financial incentives awards. Plans and reports have therefore been subdivided into sets of categories according to their purpose. Figure I-2 illustrates the relationship of the plan and status components of the reporting categories which are briefly described below:

(1) (2) (3) (4) (5) General Management Reports summarize schedule, labor, and cost plans and status for rapid overview by senior managers, and provide appropriate narrative explanation of status variance from plan. ScheduleLabor/Cost Reports provide information on schedule, labor, and cost plans and status to support appropriate analysis at the level of detail required by the contractual agreement. Exception Reports inform DOE of any unusually significant events and document the participant’s understanding of DOE/participant discussions. Performance Measurement Reports provide information regarding the budget~ cost for work performed relative to the budgeted cost for work scheduled and the actual cost of work performed and provide for reporting data on performance measurement baseline maintenance and estimates at completion. Financial Incentives Reports, including related forecasts submitted by a borrower on a regular basis, will be of the type ordinarily acceptable to independent auditors. Submission of these reports is essential for determining the soundness of the borrower’s financial condition and protecting the Department’s interest in any asset that serves as security for repayment of a loan for which DOE is either the lender or guarantor. I-4 DOE 1332.1A 10-5-85 (6) Technical Reports, submitted on both a regular and as-required basis, are the primary means by which DOE disseminates scientific, technical, and engineering information acquired in the performance of DOE-supported efforts to the Department’s researchers and program managers, and, when appropriate, the general public. Figure I-2 Plan and status Components C. System Features. Primary features of the uniform reporting system are: (1) (2) (3) Standard Terminology. The use of uniform terminology and data elements minimizes ambiguity of meaning and intent. Standard Spacification of Reporting Requirements. A formal check- list is used to identify all uniform reporting system requirements at the time of award. DOE should discuss the requirements with the participant before the time of award to ensure that they are appropriate. Standard Forms. This Order relies heavily on forms and procedures from DOE 1332.1, and simultaneously incorporates requirements associated with financial incentives awards. The use of standard forms encourages consistency in reporting to DOE. DOE 1332.1A 10-15-85 (4) (5) (6) (7) (8) (9) (10) (11) I-5 Single Forms Source. All uniform reporting system forms are available at DOE self-service supply stores and warehouses. Standard Preparation and Submission. A participant in more than one contractual agreement will not be required to use different forms and formats to submit data for each agreement. A single DOE publication can provide preparation and submission guidance to all participants. Standard Analysis. DOE and participant personnel will not have to analyze different reports serving the same purpose. A single DOE publication can provide analytical guidance to all. Planning Baselines. The planning technique described in this Order is based on the concept of prescribing specific, quantifi- able, and measurable baseline information. The information pre- sented in the baseline plans is incorporated into the “Management Plann included in applications and proposals, and subsequently provides a means for evaluating performance. This Order identi- fies planning forms which can be included in the application or proposal to present the planned results. .

Flexible Report ing Methods and Applications. Flexibility has been built into the system to ensure that the information requested is relevant to the activity performed. The reporting system can accommdate a variety of programs and awards by allowing the project manager to tailor the reporting requirements to fit the activity. Participa nt May Propose Alternatives. DOE prefers that the forms, formats, data elements, and procedures identified in this Order be used for reporting. However, the project manager may consider proposals for alternatives. The proposal should include a discussion of any proposed substitutions or changes in the reporting requirement, and how they satisfy the report content requirement. The DOE con- tracting officer should coordinate such proposed substitutions with the project manager prior to finalizing the contractual agreement. Single Reporting for Multiple Users. A participant submits infor- mation only once in each reporting period to serve all DOE needs. Formal Problem Identification. The uniform reporting system provides participants with a formal method for identifying and communicating problems. 2. IF THE COST AND SCHEDULE CONTROL ’SYSTEMS CRITERIA APPLY. a. sPacification of Reporting Requirements. Performance measurement reports are normally required when the Cost and Schedule Control Systems Criteria of DOE 2250.lA are applied. However, the inclusion of the criteria in a solicitation or contractual agreement is not a I-6 b. c. DOE1332.1A 10-15-85 requirement for submission of reports, which are specified only by the “Reporting Requirements Checklist.” Borrowers. The DOE performance measurement reports applicable to contractors may also be required from Selected borrowers. Borrowers, accordingly, will generally be regarded as contractors for purposes of performance measurement reporting. Application to Second Tier Participants. Contractors to a participant may be selected for application of the criteria and/or for performance measurement reporting-by the DOE project manager, pant’s contractor to the 3. NOTICES. a . b. c. d. e. f. mutual agreement between the participant and according to the criticality of the partici- project. Confidentiality Statement. Information required to be submitted under the various provisions of the uniform reporting system may be exempt from public disclosure pursuant to the provision of the Freedom of Information Act (FOIA) 5 U.S.C. 552, and the Trade Secret Act, 18 U.S.C. 1905. The DOE will determine whether any of the information submitted may be withheld from disclosure in accordance with the FOIA and the provisions of 10 CFR 1004, and protect the information to the maximum extent permitted by law. By statutory authority, the dOE must provide this information upon the request of Congress, a Committee of Congress, or the General Accounting Office. Government Printing Regulations. All reports described herein are subject to Title 44 of the U.S. Code and the Government Printing and Binding Regulations of the Joint Committee of the Congress of the United States. Additionally, all reports are subject to DOE 1340.lA. Applicability to Other Government Agencies. The reports herein have been cleared in accordance with 41 CFR 101-11.11. . Authority. Reports listed herein are required in accordance with 42 U.S.C. 7256 and 40 U.S.C. 471 et seq. Failure to report as stated in contractual agreements may result in termination of the contractual agreement or other penalties as provided by law.

Compliance. No reporting requirements may be levied by DOE on contrac- tors or other elments of the “public” as defined in 5 CFR 1320 unless they have prior clearance under the provisions of 5 CFR 1320 and the Office of Management and Budget (OMB) clearance number (or exemption statment) is shown on the reporting requirement document and related forms. Office of Management and Budget Clearance. The collection of information requirements contained herein have been approved by the Office of Management and Budget (OMB No. 1901-1400). Action is underway within the Department to obtain the necessary subsequent DOE 1332.1A 10-15-85 clearances 3504(h) of procedures I-7 (and I-8) for this information collection in accordance with section the Paperwork Reduction Act, 44 U.S.C. 3501, et seq., and implementing that act, 5 CFR 1320.1, et seq. II-1 1. CHAPTER II DESCRIPTION OF PLANS AND STATUS REPORTS GENERAL. This chapter describes plan and status report formats, alternative methods of structuring objectively measured reporting elements, and depth of planning and reporting detail. It then provides a brief discussion of the Purpose and description of each of the plans and reports in the following categories in the order shown below: General Management Performance Measurement Schedule/Labor/Cost Financial Incentives Exception Technical Figure 11-1 identifies plans and status reports included in the uniform reporting system by name and number within each category, and identifies the type of contractual agreement for which each may be used. Financial incentives plans and status reports are unique to their respective types of contractual agreements. Interagency agreements do not utilize performance measurement reports or financial incentives reports. Examples of plans and status reports completed on standard forms are included in Attachment II-1. a. Format. Except for financial incentives reports, this Order provides standard forms and narrative formats for presentation of baseline plans and status reports. A suggested outline is provided for narrative plans and status reports. Detailed instructions for the preparation of plan and report forms appear on the reverse of each form. This chapter includes a set of reports used for an example contract. Financial incentive reports should follow the standard formats described in para- graph 6 on page 11-21. b. Structure of Reporting Elements. There are five basic structures for reporting data: work breakdown; line item; cost element; organization/ labor element; and construction element. Reporting by work breakdown structure is the preferred method for management reporting.. (1) Work Breakdown Structure. (a) The participant work breakdown structure organizes the pro- ducts of the work efforts into a hierarchy of elements starting from the overall objective(s) or end product(s) in the statement of work, and proceeding through successive levels to elements at the lowest level of detail required for effective management. “This establishes a framework for assigning responsibilities, delineating subobjectives, and monitoring progress. It also provides a basis for the uni- form planning and status visibility required to accomplish the contractual agreement objectives. The project manager may require some participants to describe a complete work breakdown structure in the the proposal. Participant "Managenent Plan" submitted with reporting to DOE, however, is DOE 1332.1A 10-15-85

II-2 DOE 1332.1A 10-15-85 T Y P E Figure II-1 Forms Included in Uniform Reporting System DOE 1332.1A II-3 10-15-85 , I I TYPE OF CONTRACTUAL AGREEMENT DOE 1332.1A 10-15-85 usually required for only the top three levels of the work breakdown structure applicable to the contractual agreement, but may be required at lower levels for critical elements. Figure II-2 presents an example work breakdown structure for a contract. Additional guidance on the work breakdown structure technique is found in DOE/MA-0040, "Work Breakdown Structure Guide.” (b) The scope and complexity of the contractual agreement influ- ences the number of levels required. Each descending level represents an increasingly detailed definition of the work elements. Level 1 is the goal or objective of the contrac- tual agreement in its entirety. Level 2 consists of the major work products necessary for achieving the goals of the contractual agreement. Level 3 outlines the major element segments (subsystems) necessary for completing level 2 ele- ments. Work breakdown structure elements are identified by name and number from a progressive, alphanumeric System. , Figure II-2 Example Work Breakdown Structure II-4 DOE 1332.1A 10-15-85 (2) (3) II-5 (c) Figure II-3 shows reporting by detail level work breakdown structure elements. Figure 114 is structured by major elaments used in summary level plans and reports. Line Item reporting is ’based on the items required by the state- ment of work, such as an item or product to be delivered or a major milestone. Line item reporting is an appropriate substi- tute for work breakdown structure reporting where the product of the contractual agreements is simple or straightforward. Figure II-5 shows the structure of an example line item report. Cost Element reporting is based on subdivisions of direct and indirect costs including, for example, direct labor, materials, subcontracts, and overhead. Figure II-6 shows the structure of an example cost element report. 8. I Level Figure II-3 Reporting by Detail work Breakdown structure Element Level Figure II-4 Reporting Summary Work Breakdown Structure Element I -6 DOE 1332.1A 1 0 - 1 5 - 8 5 Figure II-5 Reporting by Contract Line Item . 8. 9. Figure II-6 Reporting by Cost Element (4) Organization/Labor Category reporting is based on reporting by corporate structure or organization element such as office or division starting from the highest level of detail to the lowest necessary management level or by labor category such as scientist, engineer, or technical editor. Figure II-7 shows the structure of an example organization/labor category report. (5) Construction Element Reporting provides a set of reporting ele- ments for budget planning and for monitoring construction con- tracts. The elements are: conceptual design; preliminary design (Title I); definitive design (Title II); inspection (Title III); construction (by major activity); procurement (value of purchase orders placed and received); and management reserve (as a separate . DOE 1332.1A 10-15-85 II-7 Figure II-7 Reporting by Organization/ Labor Element 8. 9. I Figure II-8 Reporting by Construction Element reporting data element) . (see DOE 6410.1 and DOE/MA-0087.) Figure II-8 shows an example structure for a construction element report.

c. Depth of Detail. The more distant the time period covered by planning data, the more difficult it is to plan details realistically, and the less will be the present value of any resulting management decision. relating to that data. In addition because of the amount of certainty in an activity it is possible to plan near term work in greater detail than far term effort. DOE has, therefore, adopted an approach to planning that presents greater detail in the current time frame and less in later time frames (the “rolling wave” effect). The project manager should also carefully consider the level of detail required II-8 DOE 1332.1A 10-15-85 in status reporting. Some reports may require greater detail than others. In general, the savings which DOE management expects to pro- duce from one additional item of information required must exceed the expected cost of obtaining, analyzing, and retaining that item of information. There is, for example, a significant cost involved in investigating and reporting a large number of variances at a low level. d. Standardization. Each plan and report must have the same element codes and reporting elements. For each reporting element, the participant shall provide an element code and descriptive name. There should be only one element per report line. Elements of work reported as sub- totals shall be listed under the related subelements. The total or subtotal for the element shall be specified as shown in Figure II-3. The project manager should coordinate with the participant and the cognizant finance office to ensure that all parties are using the same time frames and data definitions for cost and financial data. e. Reporting by Budget and Reporting Number. In each plan and report, the costs should also be reported by budget and reporting (B&R) number. If multiple budget and reporting numbers are associated with a contractual agreement, the project manager will ensure that the correct procedure is enployed for allocating planned and actual accrued costs among them. 2. GENERAL MANAGEMENT PLANS AND STATUS REPORTS. a. General. One plan and two reports are directed to overall management planning and summary reporting. The overall “Management Plan” provides both the participant and the project manager with a baseline against which status can be measured. One of the reports provides narrative discussion of schedule, labor, cost, and technical status relative to the plan, with emphasis on those events and actions which have resulted, or may in the future result , in variances from the plan. All contractual agreements may require one or more of the general manage- ment plans and reports briefly described in the following sections. b. The “Management Plan” describes the participant’s approach to per- forming the effort and producing the products identified in the con- tractual agrement, and the technical, schedule, cost, and financial management control systems to be used to manage that performance. The “Management Plan” is commonly required as part of the proposal and becomes a binding part of the contractual agreement. The content and level of detail in the “Management Plan” vary with the types of con- tractual agreement and the nature of the work involved; however, they must be sufficiently comprehensive to describe the planned execution, management, and results of the work. The participant may attach existing materials (e.g., company personnel management procedures) as appropriate. Figure II-9 shows an example "Managenent Plan” outline which should be modified and applied as appropriate to specific appli- cations. The plan should include:

11-9 (1) A brief consolidated executive summary permitting general manage- ment to quickly comprehend the most significant components of the plan. This summary should be sufficient to present a comprehen- sive overview of the project and should stress the logical inter- relationships among the significant planned components. MANAGEMENT PLAN I. EXECUTIVE SUMMARY II. INTRODUCTION/BACKGROUND III. PLANNED ACCOMPLISHMENTS A. Technical c. cost B. Schedule D. Financial IV. MANAGEMENT SYSTEMS AND CONTROLS DESCRIPTION A. General D. Accounting B. Organization E. Analysis c. Planning and Budgeting F. Revisions and Data Access V. TECHNICAL SYSTEMS AND COTROLS DESCRIPTION A. System Engineering E. Environmental Engineering B. Configuration Management F. Data Processing c. Quality Assurance G. Other D. Safety Engineering VI. ADMINISTRATIVE SYSTEMS AND CONTROLS DESCRIPTION A. Security F. Data Processing B. Health and Safety G. Property Management c. Personnel H. Subcontractor Controls D. Legal I. Other E. Procurement VII. FINANCIAL SYSTEMS AND CONTROLS DESCRIPTION (For Financial Incentives) A. Income G. Payables B. Expense H. Other Current Liabilities C. Cash I. Long-Term Liabilities D. Inventory J. Equity E. Receivables K. Other F. Fixed Assets Figure II-9 Management Plan Outline (2) A brief introduction including a background (e.g., legislative, scientific, sociological, and historical) that demonstrates the participant’s understanding of the problems, both management and technical, associated with the proposed effort. DOE 1332.1A 10-15-85 I I - 1 0 DOE 1332.1A 1 0 - 1 5 - 8 5 (3) An overall description of planned accomplishments, including technical, schedule, cost, and financial results, and how they interrelate. When required, the “Work Breakdown Structure Dictionary" and the “Management Control Systems Description" nor- mally required under CSCSC will be included in this section. (For an example of the "Work Breakdown Structure Dictionary,” see pages II-47 and II-49.) (4) A description of the management systems employed to control cost and schedule performance, including a discussion of the organiza- tional components responsible for cost and schedule management, and an explanation of planning, budgeting, accounting, and analy- tical procedures and systems. A detailed outline which may be used is shown in Figure II-M. A. GENERAL D. ACCOUNTING . 1. Company Policy for Cost/Schedule 1. Procedures Performance 2. Elements of Cost 2. Administration of Policy 3. Material Cost Control 3. system Summary 4. Purchase Order System 5. Data Base Description B. ORGANIZATION 6. Recurring/Nonrecurring costs 1. Contract Work Breakdown Structure 7. Overhead Procedures Development Procedures 8. Data Reconciliation 2. Project Organizational Structure and Responsibility E. ANALYSIS 3. Integration of Contract Work Breakdown Structure With 1. Earned Value Meaning, Organizational Structure Calculation, and Use 4. Integration of Planning, Scheduling, 2. Comparison of Actual Versus Budgeting, Work Authorization, Planned Performance and Data Accumulation System 3. Variance Analysis 5. Subcontract Identification and Procedures Control 4. Estimate at Completion Derivation.C. PLANNING AND BUDGETING F. REVISIONS AND ACCESS TO DATA 1. Work Authorization 2. Schedule Development and Control 1. Baseline Maintenance 3. Cost Account/Work Package 2. Change Incorporation Development and Planning 3. Internal Replanning 4. Establishment of Performance 4. Formal Reprogramming

Measurement Baseline 5. Internal and External 5. Overhead Planning and Budgeting Reporting Procedures 6. Management Reserve Control 6. Systems Surveillance Procedures 7. Access to Data 7. Undistributed Budget Control Procedures Figure 11-10 Management Control Systems Description Outline DOE 1332.1A 10-15-85 II-11 (5) (6 (7) A description of the technical support systems and controls em- ployed to enable and control the planned technical results, including systems engineering, configuration management, quality assurance, safety engineering, environmental engineering, data processing, and any other systems, as applicable. A description of the administrative support systems and controls employed to facilitate execution of the contract. The description should include an overview of those systems that support general corporate efforts but which are not dedicated to specific project activities. For loans and loan guarantees, a description of the financial support systems and controls employed to ensure accomplishment of planned financial results, including income, expenses, cash, inventory, receivables, fixed assets, payables, current and long- term liabilities, equity, and any other applicable items. c. The “Status Report” is the participant project manager's concise narra- tive assessment of the status of the work being performed under the contractual agreement. DOE management uses the report to monitor status and to provide early recognition of potential problem areas. The report highlights changes to objectives, changes to technical approach, task variances from baselines in excess of stipulated thres- holds by reporting element, causative factors, and actions taken or proposal to resolve them, as well as factors with potential for causing significant variances in the future. Task progress may also be high- lighted. The report next identifies open items requiring action by DOE “or the participant. The report also provides a summary assessment of the current situation, including a forecast of the near future and the expected impact on project accomplishment. The report may be accom- panied by attachments. For contracts, the report includes, as attach- ments, funding status, funding by time period, and a cost change recon- ciliation. Figure 11-11 shows an example of the narrative section of a completed "Status Report" in standard format. Figures 11-12, 11-13, and 11-14 show completed examples of the attachments. d. The “Summary Report” (DOE F 1332.2) provides a concise, top level summary of schedule, labor, and cost performance against the baseline plans. Most data are presented graphically. The format permits rapid visual comparison of schedule, labor, and cost data. There are three segments: a cost status graph, a labor status graph, and a milestone chart. The cost and labor graphs are cumulative presentations. Planned and actual numerical data presented are for the periods speci- fied. Labor and cost basis. An example of shown on page II-28. variances are shown on a monthly and a cumulative a completed “Summary Report” for a contract is I I - 1 2 DOE 1332.1A 10-15-85 Figure 11-11 Example Status Report DOE 1332.1A IO-15-85 II-13 i 3. SCHEDULE, LABOR, AND COST PLANS AND STATUS REPORTS. a. General. There are five formats for schedule, labor, and cost plans, and three for schedule, labor, and cost reports. Detailed preparation instructions appear on the reverse side of the forms.

b. Plans. Schedule, labor, and cost plans provide milestone, labor, and cost data for the time frame of the contractual agreement. They are incorporated in the “Management plan” and serve as the basis for assessment of progress. (1) The “Milestone Schedule Plan/Status RepOrt” (DOE F 1332.3) is a dual purpose form to be used first as a baseline plan and then as a status report. When used as the “Milestone Schedule Plan, ” it establishes the contractors time schedule for accomplishing the planned events and milestones for each reporting category Figure II-12 Example Funding Status II-14 DOE 1332.1A 10-15-85 (A) (B) (c) ACTUAL TO SELECTED PERIOD (MO, FY) AT ITEM DATE Fiscal Year 1983 COMPLETION Balance Nov. 82 FY 8 3 FY 84 FY 85 1 . Accrued 108,670 15,641 110,941 53,901 15,011 304,164 cost 2. Outstanding 0 0 0 0 0 0 Commitments 3. Total 108,670 15,641 110,941 53,901 15,011 304,164 4. Termination — — — — — — costs 5. Forecast of 1/ Billing 108,678 15,641 110,941 53,901 15,011 304,164 to the Government 1/ Final figures do not include unscheduled management reserve funds of $2,040. All dollars in thousands. INSTRUCTIONS. Data entered in column (A) will be actual to date. Remaining columns are estimates. Columns in (B) represent monthly, quarterly, or fiscal year estimated costs as presented by the contractor. Row (1) shows actual or estimated accrued costs as appropriate for each column. Row (2) contains actual or estimated outstanding commitments at end of period, as appropriate for each column. Row (3) is the total of rows (1) and (2). Row (5) contains the actual or estimated billings to the Government at end of period, as appropriate for each column. All data items include fee. The row (3), column (C) entry should be identical with the row (5), column (C) entry, and with item (7) in the Funding Status report. Row (4), “Termination Costs" should be completed in the event of contract cancellation. Figure 11-13 Funding Status by Time Period DOE 1332,1A II-15 1O-15-85 Report Date: 11-20-82 CONTRACT NUMBER: DE-ACOl-82HQ21347 ORIGINAL CONTRACT VALUE: $239,244,000 SUPPLEMENTAL AGREEMENTS: Nos. 1-12 No. 13 No. 14 No. 15 No. 16 No. 17 SUBTOTAL $ 65,430,000 PRESENT CONTRACT VALUE $304,674,00g Changes Authorized but Not Finalized Anticipated (Over) or Underrun SUBTOTAL l,530,000 CONTRACTOR ESTIMATE $306,204,000 Changes Under Consideration but Not Authorized Changes To Be Proposed SUBTOTAL 0 TOTAL FUNDS REQUIRED $306,204,000 $ 37,750.000 $ l,280,000 $ 640,000 $ 14,200,000 $ 7,670,000 $ 3,890,000 0 (1,530,000) 0 0 Figure 11-14 Example Cost Change Reconciliation identified in the contract. It encompasses each line item, task, or work breakdown structure element required by the contractual agreement for inclusion in the plan. Standard symbols and charting conventions described on the reverse side of the form are used to chart the intermediate events and milestones of each reporting category. A “Milestone Log,” which is included as an attachment to the ‘Milestone Schedule Plan/Status Report,” lists intermediate events and critical milestones with the element code (such as 1.2.lA), II-6 (2) (3) (4) (5) c. DOE 1332.1A 10-15-85 descriptive name of the event or milestone, and the scheduled date of completion. An example baseline “Milestone Schedule Plan" and a companion “Milestone Log” for a contract are shown on pages II-30 and II-32, respectively.

The “Labor Plan” (DOE F 1332.4) establishes the planned utili- zation of labor for the term of the contract and addresses the total labor to be utilized to perform the agreed work. It item- izes labor requirements for prior fiscal years, the current fiscal year by month, and future fiscal years until contract completion. A completed example of a “Labor Plan” - Detail By Work Breakdown Structure Element - is shown on page II-33. The “Facilities Capital Cost of Money Factors Computation” (DOE F 1332.5) is used by the contractor to accumulate total facilities capital net book values allocated to each business unit for the cost accounting period and convert those values to facilities capital most of money factors applicable to each overhead or gen- eral and administrative expense allocation base employed within a business unit. This report identifies the applicable cost of money rate and displays the accumulation and direct distribution of net book value, the allocation of undistributed net book value, their total, the cost of facilities capital money for the accounting period, the allocation base for the period, and the calculated facilities capital cost of money factors. A completed example is included on page II-35. The “Contract Facilities Capital and Cost of Money" (DOE F 1332.6) facilitates computation of the estimated facilities capital to be used for a specific contract proposal, using the data developed on the “Facilities Capital Cost of Money Factors” form. This form provides for the evaluation of the cost of money computation employed in the overhead pools allocated to the contract. The Federal Aquisition Regulations, subpart 31.205-10, addresses applicability and provides further explanation. A completed example is shown on page II-37. The “Cost Plan” (DOE F 1332.7) establishes the plan for accruing total costs for the life of the contractual agreement. The time- phased baseline plan establishes the basis for the measurement of actual cost accumulation and provides basic information for updating and forecasting budget requirements. The “Cost Plan” itemizes accrued costs for prior fiscal years, the current fiscal year by month, and future fiscal years until completion of the contractual agreement. A completed "Cost Plan” - Detail by Work Breakdown Structure Element - is shown on page II-39. Schedule, labor, and cost status reports provide milestone, labor, and cost data to date as well as projections of future progress. Variances from plan in excess of predetermined thresholds are discussed in the “Status Report.” R e p o r t s . DOE 1332.1A 10-15-85 II-17 (1) (2) (3) The “Milestone Schedule Plan/Status Report” (DOE F 1332.3) is a dual purpose form. As the “Milestone Schedule Status Report” it measures the completion status of activities and events shown on the baseline “Milestone Schedule Plan” and shows planned and accomplished events and milestones, and changes in schedule. It addresses each item, task, or work breakdown structure element required by the contractual agreement at the same level of detail as the baseline plan. A completed example of the “Milestone Schedule Status Report," accompanied by a ‘Milestone Log,W is shown on pages II-41 and II-42.

The “Labor Management Report” (DOE F 1332.8) is a periodic report of the status of labor resource utilization to be compared with the “Labor Plan." Both DOE and participant management use it for monitoring, controlling, and replanning allocation of labor resources. This form contains actual labor expended for the reporting and prior periods and estimates of labor usage for the remainder of the fiscal year and the balance of the effort. A canpleted example of a “Labor Management Report” - Detail by Work Breakdown Structure Element - is shown on page II-43. The “Cost Management Report” (DOE F 1332.9) is a periodic report of the cost status of the contractual agreement to be compared with the “Cost Plan.” Both DOE and participant management use it for monitoring, controlling, and planning allocation of dollar resources. This form contains actual cost status for the reporting and prior periods, and estimates of dollar costs for the remainder of the fiscal year and the balance of the effort. A completd example of a “Cost Management Report” -Detail by Work “ Breakdown Structure Element - is shown on page II-45. 4. EXCEPTION REPORTS. a . General. There are two types of exception reports, the content of which normally relates to plans discussed elsewhere. All contractual agree- ments may require both of these reports, which are described briefly in paragraphs 4b and 4c. b. The "Conference Record” documents for the DOE project manager, DOE contracting officer, and the participant an understanding of significant decisions-direction or redirection,-or required actions resulting from meetings with DOE representatives. It is required for any meeting, conference, or phone conversation in which a decision is made that may change the schedule, labor, cost, or technical aspects of the contrac- tual agreement or the approved baseline plans. Figure 11-15 shows a completed example of a “Conference Record.” The report shall contain the-following information as applicable: (1) (2) Report title ("Conference Record"), number, and the date prepared. Contractual agreement identification and number, and the participant’s name and address. II-18 DOE 1332.1A 10-15-85 I I I Figure 11-15 Example Conference Record DOE 1332.M 10-15-85 II-19 (3) (4) {5) (6) (7) (8) Date of meeting or telephone conversation, with a list of those involved and their titles. Subject(s) discussed, decisions reached, and directions given. Variances from previous directions and inclusions. Required actions. Distribution. Signature of Preparer. c. The “Hot Line Report” is essentially an expedited “Conference Record.” Identification as a “Hot Line Report” serves notice at each link in the delivery chain that speed in handling is required. Unless otherwise agreed by the parties involved, DOE is expected to take action and respond in a similarly speedy manner. These reports may be used to report a major breakthrough in research, development, or design; an event causing a significant schedule slippage or cost overrun; achieve- ment or failure to achieve an important technical objective; or any t for quickly requiremen documented direction or redirection. The report is submitted by the most rapid means available, usually elec- tronic, and should confirm telephone conversations with DOE represen- tatives. An example “Hot Line Report” is shown in Figure 11-16. The report should include: (1) Participant’s name and address; (2) Contractual agreement identification and number;

(3) Date; (4) Brief statement of problem (5) Anticipated impacts; and (6) Corrective action taken or or event; recommended. 5. PERFORMANCE PLANS AND STATUS REPORTS. a. General. The importance and complexity of major system acquisitions and projects require assurance that the participant employs effective management control on contracted work. On selected contracts supporting such projects, the project manager contractually applys the cost and schedule control systems criteria in compliance with DOE 2250.lA. Other contracts may similarly benefit from criteria application. The performance measurement plans and reports are normally required of a contractor when the criteria are applied to a contract. They may also be required on other contracts. MEASUREMENT DOE 1332.1A 10-15-85 October 5, 1982 TO: Department of Energy Mr. M. A. Walsh Office of Special Projects (MA-22.2) Washington, DC 20585 FROM: C. M. Doo BKVS Inc. 3000 Construction Blvd. Anyplace, VA 22299 SUBJECT: Hot Line Report, No. EPU 82-7, Labor Negotiations REF: Energistic Pilot Unit, DE-ACOl-82HQ21347 AS discussed in our conversation of this morning, October 5, 1982, nego- tiations have been completed with various subcontractors resulting in successful contract and ratification thus averting a strike. We antici- pate that use of management reserve funds will required to compensate for added costs resulting from increase in direct labor costs. Figure II-16 Example Hot Line Report b. Plans. A Work Breakdown Structure Dictionary and a Management Control Systems Description are normally required of a contractor as part of “The Management Plan” when the cost and schedule control systems cri- teria are applied to a contract. See paragraphs II.b. (3) and II.b. (4), respectively, and referenced figures. c “ The “Cost Performance Report” consists of three formats (DOE F 1332.12, DOE F 1332.13, and DOE F 1332.14) that contain integrated cost/schedule data for measuring contractor performance. The “Cost Performance Report” compares the budgeted cost for work performed with the budgeted cost for work scheduled and with the actual cost of work performed to determine schedule and cost variances, both expressed in dollars. It is important to establish reasonable thresholds for vari- ances that require contractor explanation in the “Status Report” (Figure 11-10) . (1) “Cost Performance Report” - Work Breakdown Structure (Format 1) (DOE F 1332.12) is used to report cost and schedule performance by work breakdown structure element. The level of detail to be reported is left to the discretion of the project manager and is subject to negotiation. Usually this is limited to level 3 of the contractor work breakdown structure. Reporting at lower levels of the work breakdown structure may be required for critical activi- ties. A comlpleted copy of this format is shown on page II-51. II-20 Reports. DOE 1332.1A 10-15-85 II-21 (2) (3) “Cost Performance Report” - Functional Categories (Format 2) (DOE F 1332.13) is used to report cost and schedule performance in accor- dance with the contractor’s internal organizational structure. The totals on this report are consistent with the totals in Format 1. Format 2, in conjunction with Format 1, provides a two-dimen- sional view of the contractor’s cost and schedule performance. A completed copy of this format is shown on page II-53. “Cost Performance Reportm - Baseline (Format 3) (DOE F 1332.14)

is intended to assist project managers in monitoring baseline changes which result from contract changes or internal replanning (including the use of management reserve budget). The format provides a monthly update of the performance measurement baseline to reflect the overall effects of changes made during the month. It also provides a summary track from the original contract nego- tiated cost to current rests (negotiated and unpriced). A com- pleted copy of Format 3 is shown on page II-55. 6. FINANCIAL INSENTIVES PLANS (PRO FORMAS) AND STATUS REPORTS. a. General. There are six financial incentives plans and status reports each to be accmpanied by supplementary information as appropriate. The financial incentives plans and reports briefly described in paragraphs 6b and 6C are required from recipients of financial incentives only. b. Description of Plans and Reports. Financial incentives plans and status reports requirements are described below. Formats are identical for plans and reports except that plans are labeled “Pro Forma.” (1) (2) (3) (4) (5) (6) Statement of Income and Expense is a statement of the increase or decrease in the owner’s equity of an entity arising from profit- seeking operations (as distinct from owner investments or withdrawals) during a given period of time. Balance Sheet is a statement of the assets, liabilities, and owner’s equity of an entity at a given time. Cash Flow Statement is a statement of the sources and uses of funds, with funds defined as working capital. Statement of Changes in Financial Position is a statement of the sources and uses of funds with funds defined as total assets. Loan Drawdown Report is a statment of the total funds made available to the borrower by DOE action and of the portion that has been received to date. Operating Budget covers the total period budget for operating the entity, structured by Departmental or functional organization element, and itrmizrf by cost element. II-22 (7) Supplementary Information is the full disclosure required DOE 1332.1A 10-15-85 other material necessary to provide for credit management. c. General Requirements. The borrower may prepare such reports as are most useful for its own purposes, provided that information useful to DOE is clearly communicated. The project manager should ensure that the following guidelines are followed by borrowers in the preparation of their financial reports. (1) (2) (3) (4) (5) (6) (7) (8) (9) (10) Format. Balance sheets should be submitted in report format, not account format, and should include only three major sections: assets; liabilities; and owner’s equity. Income statements should be submitted in single-step format. Headings. The heading of each financial report must clearly state the name of the company, the state of incorporation, the name of the report, the period or date represented by the reported date, and whether or not the statements are consolidated. Data Precision. Numeric data may be rounded as appropriate but must be mathematically correct. Clarity. Wording must be concise and clearly descriptive. Classification. The reporting classifications in financial statements must be designed to assist DOE in its monitoring and decisionmaking; they shall not overlap. Historical Comparison. Reports should compare most recent data with similar data from an appropriate earlier period or periods. summa ries must compare data for each of the most recent 5 years, or for the life of the loan if less than 5 years.

Objectivity. Reported data must be determined in a fair and unbiased manner so that a disinterested party would be expected to verify the result. Full Disclosure. All financial data that are material to evalu- ating managerial ability and credit worthiness must be fully disclosed. Narrative information required for proper interpreta- tion shall be reported, including the accounting methods used and the basis of asset valuations. Uniformity/Consistency. Accounting principles, classifications, and terminology must be consistent within and between accounting periods. The borrower must fully disclose any necessary changes or inconsistencies and their effect. Consolidation. For reporting to DOE, a borrower may not consoli- date reports with those of a controlling entity unless the con- trolling entity is fully responsible for repayment of the bor- rower’s total indebtedness to DOE. DOE 1332.1A IO-I5-85 d. Specific Requirements. II-23 (1) Income Statements. The project manager should ensure that income statements reported to DOE specifically include full disclosure of th e - (2) (a) (b) (c) (d) (e) (f) (g) following: Extraordinary items net of income taxes, including early debt retirement; Allocated income tax expense; Pension costs; Depreciation expense and methods for compensation; Method for determining cost of goods sold; Effect on net income of changes in accounting principles or methods; Effect on operations of any pooling or purchase of interests; and Details of rental and lease agreements.(h) Balance Sheets. The project manager should similarly ensure that balance sheets reported to DOE specifically disclose the following: (a) (b) (c) (d) (e) (f) (9) (h) (i) Methods of valuation of methods of depreciation Details of investments, ties when significantly Changes in depreciating ciation; Liquidation preferences long-term liabilities; assets and liabilities, including for major classifications of assets; including market value of any securi- above cost; assets, and related accumulated depre- of preferred stock and description of Changes in details of. stockholder’s equity items; Any pooling of interests; Stock option plans; Rental and lease commitments; and Unfunded liabilities. II-24 (3) Forecasts. When forecasts are reported, should ensure that the borrower observes guidelines: (a) (b) (c) (d) (e) Standard Format. Forecasts must be DOE 1332.1A 10-15-85 the project manager the following general presented in the same format as comparable financial reports. Single Most Probable Result. A forecast must report what borrower management believes to be the single most probable result of future planned activities. Beause all forecasts are uncertain, a range of results should also be forecast. Assumptions and Their Effects. Assumptions underlying the forecast must be reasonable, appropriate, explicitly stated, and supported in proportion to the potential impact on the forecast if the assumption proves erroneous. Preparation of Forecast. Forecasts must be carefully pre- pared by qualified personnel using the best available tools and data, and following documented procedures. The forecasts must be reviewed and approved by management responsible for execution of the activities being forecast. The process through which the forecasts were developed must be adequately documented, as should the forecasts themselves.

Forecast Error Tracking. Forecast results must be regularly compared to actual results as a basis for improvement and as an indicator of future forecast accuracy. 7 . TECHNICAL REPORTS. a. General. Technical reports provide the DOE project manager and the research community with the scientific and technical information resulting from the work performed by contractors, agencies, laboratories, and other organizations. Scientific and technical information developed during work supported by DOE also shall be reported promptly and fully, in accordance with the policy established in DOE 1430.1, to the Office of Scientific and Technical Information, P.O. Box 62, Oak Ridge, TN 37831. This ensures that the findings are included in DOE’s infor- mation data base and, as security, patent, and other DOE policy con- siderations permit, that they are made available to the scientific, technical, and industrial communities and to the public through approved channels. Because the scientific and technical information program is a basic and integral part of DOE’s research and development program, research and development projects cannot be closed until the scientific and technical information (unlimited, limited, controlled, and classified) is recorded, documented, and provided to the Office of Scientific and Technical Information for processing, control, and dis- semination (when appropriate) . DOE patent counsel reviews such publi- cations prior to release for publication to prevent premature disclo- sure of inventions and other proprietary information. DOE11332.lA II-25 10-15-85 Not all DOE programs produce the full range of technical reports. For example, small loans or loan guarantees that involve research, develop- ment, or demonstration projects may only require a final technical report; small training programs may not require any technical report. b. Description of Reports. Technical reports include the following: (1) (2) (3) (4) (5) (6) Progress Reports which summarize the work performed during a specific reporting period and include the technical and scientific results (both positive and negative) of that period. Topical RepOrts which are comprehensive statements of the technical results of work performed on a specific task or phase of all contractual agreements for research and development efforts. They also can be detailed descriptions of scientific or technolgical advances. Final Reports are required for all contractual agreements for research and development work. These reports are technical accounts of the total work performed under the contractual agreement. They are comprehensive descriptions of the results achieved and of the investigations undertaken, and they include tabulations of data, figures, photographs, and bibliographic citations in support of the investigations undertaken. Where applicable, they summarize all topical and technical progress reports. Other Technical Reports/Publications such as journal articles, conference papers, books, theses, and translations. Software Submittals as required in DOE 1430.2 and DOE 1360.4. Notice of Energy RD&D Project (Form DOE 538) which provides the Office of Scientific and Technical Information with a descriptive summary of the RD&D project for inclusion in its Research-In- Progress data base. A completed example is shown on page II-58. c. General Content. The DOE project manager will ensure that the participant has been informed that:

(1) Each report of a scientific, technical, and engineering infor- mation nature should begin with a statement of the original objectives of the effort and a concise summary of the progress achieved during the reporting period. The body of the report should contain a full account of progress, problems encountered, plans for the next reporting period, and an assessment of the prospects for future progress. The author(s) of the report should clearly identify technical factors which affect, either positively or negatively, plans for achieving the objectives on schedule and within the funds available. II-26 (2) The report should include be reproduced by others. DOE 1332.1A 10-15-85 sufficient detail to allow the work to Each report should include a thorough account of activities directed toward application of the results, such as investigation of user needs, work or collaboration with potential users, and activities to disseminate the results. It should also include a discussion of how these activities have affected the course of the project, and may include utilization activities. They should not include proposals for further support. Such reports should be submitted separately to protect their privacy. (3) Computer programs and routines with scientific, technical, and technology-related applications developed by participants should be discussed in the report and provided to the National Energy Software Center under the policies and procedures of DOE 1360.4, COMPUTER SOFTWARE SHARING. d. Specific Contents. Detailed requirements concerning report content and preparation are specified in DOE 1430.1 and DOE 1430.2, and related Office of Scientific and Technical Information documents. DOE 1332.1A 1 0 - 1 5 - 8 5 Attachment II-1 Page II-27 CONTRACT EXAMPLE LIST OF REPORTS Summary Report Milestone Schedule Plan Milestone Log Labor Plan (Detail by Cost of Money Factors Work Breakdown Computation Contract Facilities Capital and Cost Structure Element) of Money Cost Plan (Detail by Work Breakdown Structure Element) Milestone Schedule Status Report Milestone Log Labor Management Report (Detail by Work Breakdown Structure Element) Cost Management Report (Detail by Work Breakdown Structure Element) Work Breakdown Structure Dictionary, Part I - Index Work Breakdown Structure Dictionary, Part II - Element Definition Cost Performance Report - Work Breakdown Structure (Format 1) Cost Performance Report - Functional Categories (Format 2) Cost Performance Report - Baseline (Format 3) Example Notice of Energy RD&D Project PAGE II-28 II-31 II-33 II-34 II-36 II-38 II-40 II-42 II-43 II-44 II-46 II-48 II-50 II-52 II-54 II-56 II-58 Attachment II-1 page II-28 DOE 1332.1A 10-15-85 . $ v U.S. DEPARTMENT OF ENERGY SUMMARY REPORT DOE 1332.1A 10-15-85 PURPOSE SUMMARY REPORT s . DOE 1332.1A 10-15-85 Attachment II-1 Page II-30 DOE 1332.1A 10-15-85 Attachment II-1 Page II-31 DOE 1332.1A 10-15-85 Attachment Page II-32 PURPOSE II-1 MILESTONE SCHEDULE PLAN/STATUS REPORT v DOE 1332.1A 10-15-85 Attachment II-1 Page II-33 I I U.S. DEPARTMENT OF ENERGY MILESTONE LOG i Attachment II-1 Page II-34 DOE 1332.1A 10-15-85 L A B O R P L A N DOE 1332.1A 10-15-85 Attachment Page II-35 LABOR PLAN . I II-1 Attachment II-1 Page II-36 DOE 1332.1A 10-15-85 . DOE 1332.1A 10-15-85 Attachment Page II-37 FACILITIES CAPITAL COST OF MONEY FACTORS COMPUTATION II-1 Attachment II-1 Page II-38 DOE 1332.1A 10-15-85

U.S. DEPARTMENT OF ENERGY CONTRACT FACILITIES CAPITAL AND COST OF MONEY 5 DOE 1332.1A 10-15-85 Attachment II-1 Page II-39 CONTRACT FACILITIES CAPITAL AND COST OF MONEY PURPOSE Attachment II-1 Page II-40 DOE 1332.1A 10-15-85 C O S T P L A N . 4 0 Attachment II-1 Page II-41 PURPOSE COST PLAN . DOE 1332.1A 10-15-85 Attachment II-1 DOE 1332.1A , 1i1 l 1’ ; i ,. i ‘i - - - - - — i-- , Page II-42 10-15-85 DOE 1332.1A 10-15-85 U.S. DEPARTMENT OF ENERGY MILESTONE LOG Attachment II-1 Page 11-43 I Attachment II-1 Page II-44 L A B O R M A N A G E M E N T R E P O R T I . . DOE 1332.1A 10-15-85 DOE 1332.1A 10-15-85 Attachment II-1 Page II-45 LABOR MANAGEMENT REPORT PURPOSE . Attachment II-1 Page II-46 DOE 1332.1A 1O-15-85 C O S T M A N A G E M E N T R E P O R T “ Attachment II-1 Page II-47 COST MANAGEMENT REPORT PURPOSE . DOE 1332.1A 10-15-85 Attachment II-1 Page II-48 DOE 1332.1A 1O-15-85 US DEPARTMENT OF ENERGY WORK BREAKDOWN STRUCTURE DICTIONARY ! t Attachment II-1 Page II-49 WORK BREAKDOWN STRUCTURE DICTIONARY PART I -INDEX PURPOSE . DOE 1332.1A 10-15-85 Attachment II- I Page II-50 DOE 1332.1A 10-15-85 US DEPARTMENT OF ENERGY WORK BREAKDOWN STRUCTURE DICTIONARY PART II - ELEMENT DEFINITION . DOE 13332.1A Attachment II-1 Page II-51 WORK BREAKDOWN STRUCTURE DICTIONARY PART II - ELEMENT DEFINITION PURPOSE 10-15-85 Attachment II-1 Page II-52 C O S T P E R F O R M A N C E R E P O R T - W O R K B R E A K D O W N S T R U C T U R E ( F O R M A T 1 ) . DOE 1332.1A 10-15-85 DOE 1332.1A Attachment II-1 10-15-85 Page II-53 COST PERFORMANCE REPORT -WORK BREAKDOWN STRUCTURE (FORMAT 1) PURPOSE . Attachment II-1 Page II-34 DOE 1332.1A 10-15-85 C O S T P E R F O R M A N C E R E P O R T - F U N C T I O N A L C A T E G O R I E S ( F O R M A T 2 ) DOE 1332.1A Attachment II-1 10-15-85 Page II-55 COST PERFORMANCE REPORT - FUNCTIONAL CATEGORIES (FORMAT 2) . Attachment I I - 1 Page II-56 DOE 1332.1A 10-15-85 Attachment II-3 Page II-57 COST PER PERFORMANCE REPORT - BASELINE (FORMAT 3) PURPOSE . DOE 1332.1A 10-15-85 Attachment II-1 Page II-58 DOE 1332.1A 10-15-85 Attachment II-1 Page II-59 INSTRUCTIONS NOTICE OF ENERGY RD&D PROJECT - ! DOE 1332.1A 10-15-85 Attachment II Page 11-60 DOE 1332.1A 10-15-85 DOE 1332.1A 10-15-85 Attachment II-1 Page II-61 I I I i CHAPTER III SELECTING REQUIRED PLANS AND REPORTS III-1 1. GENERAL DOE intends that the uniform reporting system satisfy DOE manage- ment requirements, yet not impose extraneous reporting requirements on participants. The project manager should select only those plans and reports essential to the effective management of a contractual agreement including satisfaction of technical information reporting requirements. Reporting requirements reflect the nature of the contractual agreement w h i c h may stipulate, when appropriate, that the participant will manage the activity without DOE collaboration, participation, or intervention. Whatever the nature of the contractual agreement, the principal purpose of reporting is to provide the minimum information required to protect DOE’S interests, to provide a reasonable assurance that the terms of the award are being complied with and will be in the future, and to ensure appropriate dissemination of technical information. This chapter discusses selection of reports, their frequency and due dates, related considerations, and special requirements.

2. REPORTING REQUIREMENTS CONSIDERATIONS. a. General. The DOE project manager will determine and specify the information to be reported concerning plans for and status of work to be performed on the contractual agreement. The project manager will also determine the frequency and due dates of report submissions, the number of copies, and their distribution. All will be specified on the “Reporting Requirements Checklist,” and attachments (see Chapter IV). Other information requirements may be obtained from other interested offices as appropriate for inclusion in the procurementt request. Control over requirement s is achieved by systematically correlating them with statement of work tasks and with programmtic, dissemination, and other end-use requirements. This procedure can provide prospective contractors with a complete picture of tasking, data, and reporting requirements, enabling them to realistically determine costs for data and reporting for inclusion in the proposal or bid. The work breakdown structure is an effective technique that may be employed to assist this procedure on any contractual agreement. b. Program Legislation, Federal Regulations, and DOE Guidance. Some DOE program legislation requires specific reporting, controls, and proce- dures. Project managers and participants must abide by the statutory and regulatory terms pertaining to the program to ensure the collection of essential information. c. of Contractual Agreement Cost-plus contracts generally require closer surveillance than fixed-price contracts and may require “Cost of Money" reports. Loans, which may in the event of default produce unwanted inventory, require financial information not required on contracts. DOE 1332.1A 10-15-85 III-2 DOE 1332.1A 10-15-85 d. Cost and Schedule Control Systems Criteria Application. Compliance with the cost and schedule control systems criteria requires that the contractor employ a “Work Breakdown Structure Dictionary,” utilize performance measurement data for management control, and prepare a “Management Control Systems Description” as a baseline for systems review. e. Nature and Scope of Activity. The project manager should consider the the scope and characteristics of the activity when selecting baseline plans and reports. For example, a facilities lease or rental contract would not normally show milestone progress on a scheduled basis. On the other hand, construction efforts have specific, time-phased, readily measurable schedule performance goals. f. Value of the Effort. The value of the project often influences the amount of reporting necessary. High dollar programs, projects, or contractual agreements generally will require more reporting than low dollar programs, projects, or contractual agreements. g. Duration and Complexity of the Effort. Long-term efforts with many interrelated activities are likely to require more information than shorter term efforts of less complexity. h. Nature and Extent of the Risks Involved. High risk ventures in which, for example, high cost overruns or large schedule slippages may result, demand closer surveillance than ventures or activities with little risk. i. Significance of the Effort. High interest by the public, Congress, or the Administration will require closer surveillance by DOE and, there- fore, the submission of more frequent and/or more detailed reports.

j. Information Requirements of Other DOE Offices. The project manager should ensure that the data requirements of DOE finance, procurement, and program offices, and the Office of Scientific and Technical infor- mation are identified and satisfied. Any other DOE organizations that may be involved should identify and justify their data requirements for the project manager preparing the checklist. k. Reporting Burden. The number of required reports, their level of detail, and the frequency of their submission should be proportionate to the resources used on the contractual agreement. Project managers should consider the resources spent on report preparation and retention in relation to the resources required to accomplish the overall objec- tive. l. Performance Measurement. Performance measurement reporting techniques which include work breakdown structure utilization, cost performance reporting, and control of baselines and management systems are not restricted to cost and schedule control systems criteria applications. DOE 1332.1A III-3 10-15-85 m. Field Work Package Proposal and Authorization System Considerations. A “Technical Progress Report” and DOE Form 538, “Notice of Energy RD&D Project, W at the field work package proposal and authorization-system task level, must be submitted by the principle investigator to the con- tracting officer at least once each fiscal year. A “Final Technical Report” must be submitted at the termination of all research, develop- ment, and demonstration contractual agreements and field work package proposal and authorization system tasks. n . Personal Knowledge of Technical Work. The project manager may modify s as a result of personal knowledge of the naturereporting requirement and scope of the technical work to be performed and an assessment of the rate at which technical information will be developed, become available, and be disseminated. o. Publication Practicability. The practicability of publishing technical progress reports when submitted to the project office more frequently than quarterly must be considered. 3. REPORT AND FREQUENCY SELECTION TABLES. a. General. Figures III-1 through III-8 identify plans and reports recom- mended for inclusion in contractual agreements, the appropriate due dates, and frequency of submission. Tables are provided for contracts, and financial incentives. Separate tables are provided for performance measurement, technical, and financial reports. However, project managers are expected to apply their specific knowledge of all factors involved before specifying reporting requirements. If, during the course of the project, analysis of the items of reported data and associated variances indicate that the DOE’s interest is or may be jeopardized, the project manager should consider increasing the fre- quency or depth of detail of reporting. Conversely, Some conditions, such as the point in the life cycle, may indicate reduced requirements. b. Contracts. Selection tables for contracts are provided in Figures III-1 and III-2 for fixed-price and cost-type contracts respectively. including those with the cost and schedule control systems criteria applied, and in Figure III-3 for interagency agreements. The columns labelled “Research Support or Technology Development” provide guidance for both basic and applied research contracts and for all other cate- gories of contract not specifically identified in other column headings. “Facilities Capital Cost of Money Factors” and “Contract Facilities Capital and Cost of Money” reports are not shown, since their use is independent of contract value. Figure III-4 provides the selection tables for performance measurement reports when the cost and schedule control systems criteria are applied to cost-type contracts. Figure III-5 provides the selection table for technical information reports.

c. Financial Incentives. Selection tables for general managenent, must and schedule, and exception reports for financial incentives are pro- vided in FigureIII-6. Figure III-6 applies to financial incentives with and without application of the cost and schedule control systems III-4 DOE 1332.1A 10-15-85 criteria. Figure III-4 provides the selection table for performance measurement reports, Figure III-5 for technical reports, and Figure III-7 for financial reports. A yearly report may generally be substi- tuted for the fourth quarter report. 4. DUE DATES FOR PLANS AND REPORTS a. b. c. General. The project manager uses the “Reporting Requirement Check- list" to designate the frequency for submitting reports. The desig- nated frequency may vary with each contractual agreement and may be negotiated during the award phase. Figure III-8 shows the due dates associated with each frequency code. Due dates are stated in terms of calendar days after a specified date or event. Contracts. Quarterly, half-year, and end-of-year due dates for contracts are based on the Government fiscal year calendar. Financial Incentives. Quarterly, half-year, and end-of-year due dates for financial reports should be based on the borrower’s fiscal year. However, new entities formed for the purpose of participating in authorized financial incentive programs of the DOE should be encouraged to adopt the Government fiscal year (October 1 - September 30). 5. SPECIAL REQUIREMENTS. a. b. c. d. General. Although the guidance provided in previous sections is generally adequate for determining reporting requirements, special circumstances will sometimes require adaptation of the requirements identified in the tables. Some of these circumstances are identified below. Multiparticipant Projects. It will occasionally be necessary to summarize information from several contractual agreements into a single report for an overview of the project. A construction project is an example of such an occasion. In this instance, the system will feed report information to a field office of the integrating contractor to meet DOE reporting requirements. The forms in this Order accommodate this requirement, but pagination and title page requirements must be adjusted to reflect the single-document nature of this type of submission. Second Tier Participants. In some instances, DOE may require reporting on work that is subcontracted, in which case the prime contractor may require detailed reporting by the subcontractor. In such instances, the prime contractor should negotiate the use of this Order and the forms and formats with the subcontractors. Unique Reporting Requirements. A major organization within D0E that has a unique reporting requirement may develop its requirement as a supplement to this Order. (See page I-7, paragraph 13, of DOE 1321.lB, DEPARTMENTAL DIRECTIVES SYSTEM, of 4-7-83.) The requirement will be DOE 1332.1A 10-15-85 III-5 Figure III-1 Selection Table for General Management, Schedule/Labor/Cost, and Exception Reports for Firm Fixed Price Contracts Figure III-2 Selection Table for General Management, Schedule/Labor/Cost, and Exception Reports for Cost Type contracts DOE 1331.1A 10-15-85 III-7 FOR DOE Research Support or Construction or Interagency Form Advanced Development Demonstration Aggreements No. Under 200K Over Under 200K Over 200K to 2M 2M 200K to 2M 2M GENERALMANAGEMENT: Management Plan None XO XO XO XO Status Report None Q M Q M SumaryReport Q M Q M

SCHEDULE/LABOR/COST: Plans: Milestone Schedule 1332.3 X0 XO XO XO Plan Labor Plan 1332.4 cost Plan 1332.7 XO XO X O XO Status: Milestone Schedule 1332.3 M M M Report Labor Management 1332.8 Report 1/ Cost Management 1332.9 Q Q M Report 1/ 1/ only if advance funded only if advance funded EXCEPTION REPORTS: Conference Record None A A A A Hot Line Report None A A A A FREQUENCY CODES: A - As required M - Monthly s - Semi-annually c -Agreement change O -Once after award x with application/proposal F - Final Q - Quarterly Y - Yearly Figure III-3 Selection Table for General Managrment, Schedule/Labor/Cost, and Exception Reports for Interagency Agreements DOE 1332.1A 10-15-85 III-8 DOE 1332.1A 10-15-85 I DOE Contracts and Financial Form CONTRACTS FINANCIAL Incentives With CSCSC No. INCENTIVES PERFORMANCE MEASUREMENT: Management Control None XA XA Systems Description Work Breakdown Structure 1332.10 XOC XOC Dictionary - Index Work Breakdown Structure 1332.11 XOC XOC Dictionary - Element Definition Cost Performance Report Format l-Work 1332.12 M Q Breakdown Structure Format 2 - Functional 1332.13 M Q Categories Format 3 - Baseline 1332.14 M Q FREQUENCY CODES: A - As required M - Monthly s - Sami-annually C - Agreement change O- One time (after award) X - With application/proposal F - Final Q - Quarterly Y - Yearly . Figure 111-4 Selection Table for Performance Measurement Reports for cost-Type Contracts and Financial Incentives with CSCSC described in an attachment to special instruction DOE 1332.1, “Report- ing Requirements Checklist.” Under no conditions, however, shall these requirements duplicate the information required in the reports in this Order. The Office of Project and Facilities Management and the originating organization will coordinate any unique requirement prior to publication. Unique reporting requirements must have OMB clearance under Title 5 CFR 1320, Paperwork Reduction Act of 1980. e. Shared Participation. (1) For shared cost contractual agreements, DOE specifies in the contractual agreement the scope of the cost data to be reported. F O R : DOE 1/ Form All Contractual Agreements No. Frequency TECHNICAL: Notice of Energy RD&D Project 538 OY Technical Progress Report None Y Topical Report None A Other Published Works None A Final Technical Report None F FREQUENCY CODES: A -As required M - Monthly s - Semi-annually C - Agreement change O - Once after award x - With application/proposal F - Final Q - Quarterly Y - Yearly 1/ Except human resource development programs and conservation and public service programs. Figure III-5 Selection Table for Technical Information Reports for All Contractual Agreements (2) DOE requires data on the total cost of those items for which the Government contributes a share of the cost. Therefore, the parti- cipant’s reports will show the total cost of each reporting cate- gory and of the total. In addition, each contributor’s share of the cost of the total contract should be shown. (3) In sane cases, the participant’s share of the costs need not be reported. For example, the contractual agreement may provide that the participant will supply certain items of real estate or equipment without cost to the Government or will bear the total cost of one or more discrete tasks. In such cases, these items need not be reported on the cost or labor reports. The participant should address these items in the "Milestone Schedule Status Report" and the “Status Report,” so that the DOE project manager can monitor their progress.

F O R : DOE 1332.1A 10-15-85 III-9 DOE 1332.1A 10-15-85 FOR DOE Research Support or Construction or Financial Incentives Form Technology Development Demonstration No. Under $1 Over $1 Under $1 Over $1 Million Million Million Million GENERAL MANAGEMENT: Management Plan None XO XOA x XOA Participant Status None s Q s Q Report Participant Summary 1332.2 S Q s Q Report SCHEDULE/LABOR/COST: Plans: Milestone Schedule 1332.3 XO XOYC x XOYC Plan Labor Plan 1332.4 Cost Plan 1332.7 cc XOYC OC XOYC Status: Milestone Schedule 1332.3 s Q s Q Report Labor Management 1332.8 Report . . Cost Management 1332.9 Report EXCEPTION REPORTS: Conference Record None A A A A Hot Line Report None A A “ A . A FREQUENCY CODES: A -As required M - Monthly S - Semi-annually C - Agreement change O - Once after award X - With application/proposal F - Final Q - Q uarterly Y - Yearly Figure III-6 Selection Table for General Management, Schedule/Labor/Cost, and Exception Reports for Financial Incentives III-10 , . . . Financial Incentives Form All Loans and Loan Guarantees No. Income and Expense Statement None XOYQC Balance Sheet None XOYQC Cash Flow Statement None XOYC Statement of Changes in None XOYC Financial Position Loan Drawdown Report None QC Operating Budget None XCQ2 Supplementary Information None XOYC FREQUENCY CODES: A -As required M - Monthly s - Semi-annually C - Agreement change O -Once after award X - With application/proposal F - Final Q - Quarterly Y - Yearly Figure III-7 Selection Table for Financial Reports for Financial Incentives f. Substitution of Alternative Reporting. One objective of this Order is the establishment of uniform forms, formats, data elements, frequency, and due dates to be used for participant reporting. However, the project manager may substitute alternatives that are natural products of the participant's internal management systems, or that otherwise are . judged to be most cost effective. A participant’s proposal should include a discussion of any proposed substitutions or changes to the reporting requirements and how the proposed substitutions or changes meet this Order’s reporting requirements. The project manager will prepare the Reporting. Requirements Checklist and an attachment describing any substitutions and secure approval of the next higher level of management. If the alternative will encompass any change to standard data element definitions, the project manager will coordinate the proposed substitution with the Office of Project and Facilities Management prior to finalization of the contractual agreement. 9 . Consulting Services Contracts. All reports containing recommendations to DOE organizations submitted during the performance of a consulting services contract shall contain the following information on the cover of the report: FOR: DOE 1332.1A 10-15-85 III-11 III-12 DOE 1332.1A 10-15-85 FOR: All Contractual Agreements WITHIN X CALENDAR DAYS AFTER EVENT: Code Financial Event Contracts Incentives 1/ 1/ A Precipitating event 5 5 C Change to agreement 15 15 F End of effort 45 90 M End of calendar month 2O 20 0 Award 15 30 Q End of quarter 20 30 s End of half year 20 30 2/ 2/ x Submission of proposal 0 0 application Y End of year or on renewal 2 0 45 of contractual agreement 1/ g/ ’48 hours for hot line reports. Submit with proposal. Figure III-8 Frequency Codes and Due Dates for All Contractual Agreements (1) Name and address of the contractor; (2) Contract number.

IV-1 CHAPTER IV— SPECIFICATION OF PLAN AND STATUS REPORT REQUIREMENTS 1. GENERAL. , Plan and status report requirements must be specified and incor- porated in each solicitation and each contractual agreement. The project manager specifies the requirements in the solicitation using the “Reporting Requirements Checklist” and related attachments which later become a part of the award documentation. The contracting officer incorporates them in each solicitation and contractual agreement by inclusion of the appropriate reporting requirements clause. 2. PREPARATION OPERATION OF “REPORTING REQUIREMENTS CHECKLIST.” a. b. c. d. Content. . The project manager completes the checklist by (1) selecting the required reports, (2) indicating the frequency of their submission, and (3) identifying special instructions attached to the checklist. Instructions. Specific information for preparing a checklist is on the reverse side of the form. Special instructions to the participant, in addition to those noted on the Checklist and including requirement for unique reports, reporting element structures or topical requirements, should be attached. Approvals. The checklist provides two signature blocks. The project manager preparing the checklist should sign item 7. A checklist exceeding the recommendation in the selection tables requires review and approval with signature of at least the next level of management. The reviewer ensures that only information necessary for required surveil- lance of the award appears as a checklist requirement. Example. The Work Breakdown Structure and the list of reporting elements, illustrated in Chapter II, are not included. 3. PREPARATION OF REPORT DISTRIBUTION LIST AND LIST OF ADDRESSES. a. General. The project manager should be aware of the information needs of other DOE organizations and should make arrangements for them to receive the necessary reports in the required quantity. Organizations designated to receive reports should be so advised. For all contrac- tual agreements, a separate copy of the “Status Report,” with attach- ments, should be submitted to the project manager, the contracting officer, and the responsible financial officer. A “Technical Report Distribution Guide for All Contractual Agreements” is provided in Figure IV-1. Each technical report shall be submitted to the DOE Patent Office for patent clearance , unless it is classified, bears a “limited rights” legend, or is accompanied by a DOE F 1332.15 or DOE F 1332.16, precluding either availability to the public or publication. The Office of-Scientific and Technical Information should receive all technical information reports. The project manager identifies distribution of reports to be made by the participant on the “Report Distribution List," DOE 1332.1A 10-15-85 which is attached to the specifies the recipients DOE 1332.1A 10-15-85 “Reporting Requiremnts Checklist.” The list of the reports, their frequency of submission, and the number of copies. It should be accompanied by a “List of Addressees,” giving the names and addresses to which reports should be submitted. Attachment IV-1 provides a contract and a financial incentives example on pages IV-6 and IV-10, respectively. All Contractual Project Contracting Patent TIC Agreements Manager Officer Counsel Number of Copies 1/ Technical Progress Report 4 1 1 1/ Topical Report 4 1 1 1/ Final Technical Report 4 1 1 1/ Journal Article Manuscript 4 1 1 1/ Journal Article Reprint 4 1 1

Conference Paper or 1/ Proceedings 4 1 1 1/ -Translations 4 1 1 1/ Theses 4 1 1 1/ Books 4 1 1 Notice of Energy 1/ RD&D Project 3 1 1 1/ Per DOE 1430.1, DOE 1430.2, and other OSTI guidance. Figure IV-1 Technical Report Distribution Guide (Numbers of Copies) for All Contractual Agreements IV-2 IV-3 (and IV-4) b. Contracts. The DOE finance office must receive a copy of the “Cost Plan” and either the “Cost Management Report,” or the “Cost Performance Report,” as preagreed. The contracting officer and project manager should receive at least one copy of each report. c. Financial Incentives. The designated finance officer should receive copies of the “Cost Plan” and “Cost Management Report.” A separate copy of the “Status Reportn will usually be submitted to the project manager, the contracting officer, and the responsible financial officer. Attachment IV-1 includes an example of a two-page ‘Report Distribution List.W The “Report Distribution ListM for other published works is shown separately due to page space limitations. d. Technical Reports. (1) (2) (3) DOE/TIC-4500 and M-3679 provide standard distribution lists for unclassified and classified technical information reports, respectively. Distribution made outside the standard distribution system shall be coordinated with the Office of Scientific and Technical Infor- mation. Standard distribution and other distribution coordinated with the Office of Scientific and Technical Information are referred to as official distribution. The contractor shall furnish the Office of Scientific and Techni- cal Information with at least two full-size copies of suitable quality for reproduction and microfiching. If performing organi- zations print documents for their own use, they should print a sufficient number of copies for standard distribution. 4. INCLUSION OF REPORTING REQUIREMENTS IN THE SOLICITATION AND CONTRACTUAL AGREEMENT. The contracting officer incorporates the requirements for the selected reports into the solicitation and, subsequently, into the contrac- tual agreement. Blank forms for the required baseline plans should be included in the solicitation for submission as part of the proposal package. Additionally, the solicitation should the proposer in determining the total contain a-copy administrative of this Order to assist - costs. DOE 1332.1A 10-15-85 DOE 1332.1A 10-15-85 Attachment IV-1 PageIV-5 EXAMPLE REPORTING REQUIREMENTS CHECKLIST Example Contract” Example Reporting Requirements Checklist Special Instructions: Report Distribution List/Addresses Due Dates Analysis Thresholds Financial Incentives Example Reporting Requirements Checklist Special Instructions: Report Distribution List/Addresses Page IV-6 IV-8 IV-10 IV-10 IV-11 IV-12 Attachment Page IV-6 IV-1 DOE 1332.1A 10-15-85 U.S. DEPARTMENT OF ENERGY REPORTING REQUIREMENT SCHEDULE CHECKLIST O Y Attachment IV-l Page IV-7DOE 1332.1A 10-15-85 REPORTING REQUIREMENTS CHECKLIST PURPOSE . Attachment IV-1 Page IV-8 DOE 1332.1A 10-15-85 CONTRACT EXAMPLE REPORT DISTRIBUTION LIST Form CONTRACT EXAMPLE LIST OF ADDRESSEES A.. B. c. Mr. Ed Hamm, Project Control Office D. Department of Energy Department of Energy Office of General Counsel Division of Coneervatlon arid Patent Office (OC 42) Renewable Energy (CS-2) Washington, X 20585 Washington, CC 20585 Wr. M. A. Walsh; Project Manager E. Department of Energy Office of Energy Conversion and Utilization Technologies (CE-142) Washington, DC 20585

Mr. Ralph Richards, Contracting Officer F. Department of Emrgy Office of Procurement operations (MA-452.1) Washington, D.C. 2Q585 Department of Energy Office of Sclentific and Technical Information P.O. Box 62 Oak Ridge, TN 37830 Department of Energy office of the Controller (MA-3) P.O. Box 500 Germantown, MD 20767 Attachment IV-1 Page IV-11 FINANCIAL INCENTIVES EXAMPLE REPORT DISTRIBUTION LIST DOE 1332.1A 10-15-85 Attachment IV-1 Page IV-12 DOE 1332.1A 1O-15-85 FINANCIAL INCENTIVES EXAMPLE LIST OF ADDRESSEES U.S.. GOVERNMENT PRINTING OFFICE: 1985--91-17t-20150 Code A c M 0 s x Y CONTRACT EXAMPLE DUE DATES Attachment IV-I Page IV-9 CALENDAR DAYS AFTER EVENT: Event Precipitating event Change End of Award End of to agreement calendar month half year Submission of proposal application End of year or on renewal of contractual agreement. . Contracts 1 / 15 20 15 20 2/ 0 20 2/ ANALYSIS THRESHOLDS The “Status Report” will contain descriptive analyses of below listed WBS elements whenever the corresponding thresholds are breached as reported in the “Cost Management Report” of the same period. Variance Thresholds 1/ 1/ WBS Elements At Cum to Date At Completion Level 1 5% 5% Level 2 7% 7% Level 3 10% 10% 1/ Plan (Col. 10d) - Actual (Col. 10c) Plan (Col. 10d) 2/ Variance (Col. 13) Total Contract Value (Col. 12) DOE 1332.1A 10-15-85 Attachment IV-1 Page IV-10 DOE 1332.1A 10-15-85 U.S. DEPARTMENT OF ENERGY DOE F 1332.1 REPORTING REQUIREMENTS CHECKLIST FORM APPROVED 11-641 OMD NO 1900-1401 U.S. Department of Energy Washington, D.C. SUBJECT: UNIFORM REPORTING SYSTEM PAGE CHANGE DOE 1332.1A Chg 1 6-12-92 1. PURPOSE. To transmit revised pages to DOE 1332. 1A, UNIFORM REPORTING SYSTEM, of 10-15-85. 2. EXPLANATION OF CHANGE. To make organizational title, routing symbol, and other editorial revisions to incorporate changes required by SEN-6. No substantive changes have been made. 3. FILING INSTRUCTIONS. a. Remove Page 1 and 2 3 and 4 5 thru 7 I-2 II-7 II-8 II-23 thru II-26 IV-1 IV-2 Dated 10-15-85 10-15-85 10-15-85 10-15-85 10-15-85 10-15-85 10-15-85 10-15-85 10-15-85 10-15-85 Insert Page 1 and 2 3 4 5 thru 7 (and 8) I-2 II-7 II-8 II-23 II-24 II-25 and II-26 IV-1 IV-2 Dated 6-12-92 6-12-92 10-15-85 6-12-92 6-12-92 10-15-85 6-12-92 10-15-85 10-15-85 6-12-92 6-12-92 10-15-85 6-12-92 b. After filing the attached pages, this transmittal may be discarded. BY ORDER OF THE SECRETARY OF ENERGY: ORDER I U.S. Department of Energy Washington, D.C. DOE 1332.1A 10-15-85 Change 1: 6-12-92 SUBJECT: UNIFORM REPORTING SYSTEM 1. PURPOSE. To establish the Department of Energy (DOE) uniform reporting system for contracts, loans, and loan guarantees, and to provide implementing formats, forms, instructions, and procedures for information that is essential for effective management. 2. CANCELLATION. DOE 1332.1, UNIFORM REPORTING SYSTEM FOR CONTRACTORS, of 10-31-83. 30 SCOPE. The provisions of this Order apply to all Departmental Elements (except the Bonneville Power Administration) and participants performing work for the Department as provided by law and/or contractual agreement and as implemented by the appropriate contracting officer. 4. APPLICABILITY. Reporting, as follows, shall be limited to only that information essential for effective management and satisfaction of technical reporting requirements. This Order provides a compendium of standard forms, outlines, and procedures from which a program or project manager selects those plans and status reports applicable to a specific contractual agreement.

a. Type of Contractual Agreements. This Order applies to all loans and loan guarantees, interagency agreements, and contracts and subcontracts for work for the Department. b. Existing Contractual Agreements. Revision of reporting requirements of existing contractual agreements to incorporate the provisions of this Order is not required. Revision of existing contractual agreements shall be at the discretion of cognizant program and project managers in concert with the contracting officer at time of renewal. c. Management and Operatina Contractors. DOE 5700.7C, WORK AUTHORIZATION SYSTEM, of 5-18-92, provides specific guidance with respect to the applicability of the uniform reporting system to management and operating contracts. DOE 5700.7C provides that the uniform reporting system plans and reports be used by operating and management contractors whenever management reports on work packages or tasks are required. The specific plans and reports to be used and their frequency are negotiated between the program manager, through the responsible DOE Field Office, and the contractor. DISTRIBUTION: INITIATED BY: All Departmental Elements Office of Procurement, Assistance and Program Management 5. I I I 2 DOE 1332.1A Chg 1 6-12-92 - d. Duration. A contractor shall continue to furnish all required forms and reports to the project manager on a timely basis through contract close-out or, for loans and loan guarantees, until full repayment of the loan. e. Exclusion. Reporting requirements for special research contracts are prescribed in Department of Energy Acquisition Regulations (DEAR) 917.7109 and 917.7113, appendix B, article B-XXI. REFERENCES. a. b. c. d. e. f. 9“ h. DOE 1340. 1A, MANAGEMENT OF PUBLIC COMMUNICATIONS PUBLICATIONS, AND SCIENTIFIC, TECHNICAL, AND ENGINEERING PUBLICATIONS, of 8-25-82, which prescribes policies, standards, and procedures for effective management of DOE publications. DOE 1360.4B, SCIENTIFIC AND TECHNICAL COMPUTER SOFTWARE, of 12-31-91, which establishes policies and procedures for the effective sharing of computer software developed by DOE for scientific, technical, and technology-related applications. DOE 1430.lC, MANAGEMENT OF SCIENTIFIC AND TECHNICAL INFORMATION, of 2-29-92, which defines DOE’s responsibility for managing scientific and technical information developed in the Department’s research and development programs. DOE 1430.2A, SCIENTIFIC AND TECHNICAL INFORMATION MANAGEMENT PROGRAM, of 12-14-87, which provides detailed guidance on scientific and technical information management. DOE 2200.4, ACCOUNTING OVERVIEW, of 3-31-88, which establishes DOE accounting policy, principles, and standards, and to explain the administrative control of funds, financial and cost accounting, and the financial reporting system in accordance with Government regulations and generally accepted accounting principles. DOE 2250.lD, COST AND SCHEDULE CONTROL SYSTEMS CRITERIA, of 6-12-92, which delineates the requirements and procedures for implementing uniform standards for assessing contractor cost and schedule control systems. DOE 4700.1, PROJECT MANAGEMENT SYSTEM, of 3-6-87, which establishes DOE’s project management system and provides implementing instructions, formats, and procedures, and sets forth the principles and requirements which govern the development, approval, and execution of DOE’s outlay program acquisitions as embodied in the Project Management System (PMS).

DOE 5700.5, POLICY AND MANAGEMENT PROCEDURES FOR FINANCIAL INCENTIVES PROGRAMS, of 1-12-81, which establishes general policy guidelines for all authorized financial incentive programs. Vertical line denotes change. DOE 1332.1A Chg 1 3 6-12-92 I I I I I I I 6. i. j. k. 1. m. n. o. P“ DOE 5700.7C, WORK AUTHORIZATION SYSTEM, of 5-18-92, which provides a formal process for budget development, authorization, and monitoring DOE-funded research and development work performed by designated contractors at designated facilities, including multiprogram national laboratories. DOE 6430.lA, GENERAL DESIGN CRITERIA, of 4-6-89, which provides general design criteria (GDC) for use in the acquisition of the Department’s facilities and to establish responsibilities and authorities for the development and maintenance of these criteria. Title 44 U. S. C., “Public Printing establishes legal requirements rel including Government Printing Off in-house and contract efforts. Department of Energy Acquisition and Documents,” of 10-22-68, which ated to public printing and documents, ice and other agency efforts, for both Regulations, Section 917.7109, “Reporting Requirements for Special-Research Contracts With Educational Institutions,” of 3-28-84. Department of Energy Acquisition Regulations, Section 917.7113, “Format for Special Research Contracts With Educational or Other Non-Profit Institutions,” of 3-28-84. Title 5 CFR 1320, “Controlling Paperwork Burdens on the Public,” which directs the identification and clearance of information collections levied on the public, including contractors, state and local government units, and persons who perform services for the Department on an individual basis. Title 10 CFR Part 1004.11, “DOE Freedom of Information Regulations,” of 1-8-79, which establishes procedures concerning handling of documents containing information which may, by law, be exempt from disclosures, and establishes the methods used by the Department to respond to Freedom of Information requests. Title 41 CFR 101-11.11, “Interagency Reports Management Program,” of 7-1-82, revised, which establishes an interagency; reports management program, describes policies, and promulgates standards, procedures, and techniques for the economical and efficient management of records of Federal agencies. DEFINITIONS. a. Borrower is an inclusive term for all agencies, governments, other organizations, and individuals receiving financial assistance in the form of a loan from, or a loan guarantee by, DOE. b. Contract is a mutually binding legal relationship obligating the seller to furnish property or nonpersonal services (including construction) and the buyer to pay for them. Vertical line denotes change. 4 c. d. e. f. g. h. DOE 1332.1A 10-15-85 contractor is any organizational entity or individual bound by a contract with DOE. Contractua l Agreement is an inclusive term for all contracts, interagency agreements, loan agreements, and loan Ingeragency Agreement is a binding agreement with agency to provide funds, property, or services to funds, property or services. guarantee agreements. a Federal Government DOE in exchange for Loan is a disbursement of funds by DOE or other lender for goods or services) that is contracted to be repaid interest; for example, a draw down against a loan made loan agreement or loan guarantee agreement. (not in exchange with or without under either a

an Guarantee is an agreement by which DOE pledges to pay part or all of the loan principal and interest to a lender or holder of a security in the event of a default by a third party borrower. The term also includes loans DOE has sold under guarantee or repurchase agreements. Participant is a DOE contractor, borrower, or party to an interagency agreement. 7. BACKGROUND. a. Acquisition management through contracts, interagency agreements, or financial incentives requires an active DOE role during execution and generally requires that DOE participate in directing progress. This role requires review of participant plans and surveillance of participant progress. Participant reporting is a requisite to that surveillance. b. DOE 1332.1, UNIFORM REPORTING SYSTEM FOR CONTRACTORS, of 10-31-83, superseded DOE 1330.2, of 3-1-79, which established a reporting system to be used throughout the Department for new contracts issued after 2-1-79. c. This Order incorporates modifications based on knowledge and experience gained in using the above system, and integrates the uniform reporting system for contractors with financial incentives reporting while reducing reporting burden. 8. POLICY AND OBJECTIVES. a. It is the Department’s policy to: (1) Acquire uniform, timely, and valid information on schedule, labor, cost, and technical performance on contracts and financial incentives. (2) Acquire information on a borrower’s financial condition. DOE 1332.1A Chg 1 6-12-92 5 b. The objectives of this Order are to: (1) (2) (3) (4) (5) (6) (7) Provide the tools for obtaining essential management information. Establish uniform procedures, forms, and terminology for collecting and integrating the minimum data required to manage and monitor contractual agreements. Ensure that only those plans and reports that are essential to monitoring and managing the contractual agreement are required from participants. Meet the information needs of several organizations with minimum reporting requirements. Enable the detection of possible delays or excess costs early enough to resolve difficult Support reporting to higher Support approvals which may of funds pursuant to provisions 9. RESPONSIBILITIES AND AUTHORITIES. es. management levels. be required for periodic disbursement of contractual agreements. I a, Program Secretarial Officers and Heads of Field Elements. (1) Implement the provisions of this Order in their individual areas of responsibility. (2) Provide for the review and evaluation of proposed and selected reporting requirements to ensure that neither excessive nor inadequate reporting requirements are being levied on participants. (3) Appoint an individual as a focal point to coordinate the requirements of this Order and furnish the appointee’s name to the Office of Program/Project Management and Control (PR-20). b. Program Managers, for purposes of this Order, act as project manager when there is no project manager. c. Project Managers. (1) Become familiar with the intent and processes of this Order and of the references in paragraph 5, and ensure participant compliance with their intent. (2) Determine the reporting requirements for each contractual agreement and choose only those plans and reports essential to effective management and satisfaction of technical and financial reporting requirements. Vertical line denotes change. I I I I I 6 DOE 1332.1A Chg 1 6-12-92 (3) Review, analyze, evaluate, and act on information obtained through the required plans and reports.

d. Director of Procurement. Assistance and Program Management (PR-1), shall, through the: (1) Associate Director for Program/Project Management and Control . (a) Coordinates the implementation of this Order. (b) Reviews all unique management reporting requirements in coordination with the major organization identifying such requirements. (c) Authorizes data element definition revisions requested by the project manager. (d) Implements the information collection and clearance requirements contained in Title 5 CFR 1320 as they apply to participants, their employees, and other members of the public from whom information is collected under the provisions of this directive. (2) Associate Director for Procurement, Assistance and Property (PR-10). (a) Ensures that all solicitations contain applicable uniform reporting system requirements either directly or by reference. (b) Ensures that, where applicable, the contractual agreement includes the clause for incorporating the uniform reporting system requirements (page IV-4) and the agreement package includes the “Reporting Requirements Checklist.” e. Director of Professional and Technical Training and Development (AR-70) provides for the inclusion of uniform reporting system training in Departmentwide training programs, as appropriate. f. Director of Information Resources Management (AD-20). through the Director of Scientific and Technical Information (AD-21)., ensures this Order contains the reporting requirements necessary to meet technical information needs. Vertical line denotes change. DOE 1332. 1A Chg 1 7 (and 8) 6-12-92 I g. al Counsel (GC-1), on request of the project manager or contracting of er's technical representative, reviews scientific and technical reports to prevent premature disclosure of inventions before reports are released to the public. BY ORDER OF THE SECRETARY OF ENERGY: DONALD W. PEARMAN, JR. Acting Director Administration and Human Resource Management Vertical line denotes change. I-1DOE 1332. 1A Chg 1 6-12-92 I CHAPTER I INTRODUCTION 1. GENERAL DESCRIPTION. The uniform reporting system addresses the reporting requirements for contracts and financial incentives (loans and loan agreements) and changes thereto. Also see DOE 5700.7C, WORK AUTHORIZATION SYSTEM, which covers reporting requirements for management and reporting contractors. The plans and reports provide the data essential to project management and for reporting to higher level management. In general, there is a basic process by which reporting requirements are identified by DOE, requirements are specified in the contractual agreement, and reports are provided by the participant. Although the system is built around common process, and some procedures are common to all contractual agreement types, some remain unique to a specific type. Because of the commonalities, integration of the reporting systems into a single system provides significant advantages both to DOE and to reporting participants. This chapter describes the process, the reporting categories, and the features of the their relationship to the Cost and Schedule Control Systems Cri “provides various administrative notifications. a. System Process. Figure I-1 illustrates the major steps in reporting system. They are: system and teria, and the uniform (1) (2) (3) Identify Reporting Requirements. Before issuing a procurement request for a solicitation and after considering the information needs of other offices, the project manager identifies the reports that will be required from the participant in order to monitor the proposed work and manage proposed acquisitions.

Prepare “Reporting Requirements Checklist” (DOE F 1332.1). The applicant/proposer must include reporting costs in the application/proposal. To do so, the required plans and status reports, and the distribution to be made by the participant subsequent to award, must be identified in the solicitation. The project manager prepares the “Reporting Requirements Checklist” for this purpose (see Chapter IV of this Order). This checklist identifies which baseline plans and status reports should be submitted and their frequency of submission. Prepare Detailed Guidance. The project office prepares detailed guidance for participant compliance with the reporting requirements. In attachments to the “Reporting Requirements Checklist,” the project manager specifies when and to whom plans and reports should be submitted, the reporting elements to be used, and other special instructions. Any special reporting requirements specified in the program legislation or regulations will also be identified in an attachment to the checklist. Vertical line denotes change. I-2 DOE 1332.1A 10-15-85 (4) Issue Solicitation. The contracting officer issues the announcement/request for proposal(s) containing the reporting requirements. I Figure I-1 Uniform Reporting System Process (5) Applicant/Proper Submits Proposal, Including Plans. The applicant/proposer submits the application/proposal containing the required uniform reporting system plans in accordance with the solicitation. (6) Revise Checklist. The project manager revises the “Reporting Requirements Checklist” to reflect the negotiated reporting requirements. (7) Let Contractual Agreement. The DOE contracting officer lets the contractual agreement containing the “Reporting Requirements Checklist” and attachments, and the related clause specifying the reporting requirement. (8) Participant Performs Work and Submits Reports. The participant periodically distributes the uniform reporting system reports in compliance with the contractual agreement. (9) DOE Assesses Reported Status. The project manager, the contracting officer, and the contracting officer’s technical DOE 1322. 1A Chg 1 II-7 6-12-92 Figure II-7 Figure II-8 Reporting by Organization/ Reporting by Construction c. Vertical Labor Element Element reporting data element). (See DOE 6430.lA and DOE/MA-0087. ) Figure II-8 shows an example structure for a construction element report. Depth of Detail-. The more distant the time period covered by planning data, the more difficult it is to plan details realistically, and the less will be the present value of any resulting management decision relating to that data. In addition because of the amount of certainty in an activity it is possible to plan near term work in greater detail than far term effort. DOE has, therefore, adopted an approach to planning that presents greater detail in the current time frame and less in later time frames (the “rolling wave” effect). The project manager should also carefully consider the level of detail required line denotes change. II-8 DOE 1332. 1A 10-15-85 in status reporting. Some reports may require greater detail than others. In general, the savings which DOE management expects to produce from one additional item of information required must exceed the expected cost of obtaining, analyzing, and retaining that item of information. There is, for example, a significant cost involved in investigating and reporting a large number of variances at a low level.

d. . rdizat ion. Each plan and report must have the same element codes and reporting elements. For each reporting element, the participant shall provide an element code and descriptive name. There should be only one element per report line. Elements of work reported as subtotals shall be listed under the related subelements. The total or subtotal for the element shall be specified as shown in Figure II-3. The project manager should coordinate with the participant and the cognizant finance office to ensure that all parties are using the same time frames and data definitions for cost and financial data. e. Reporting by Budget and Reporting Number. In each plan and report, the costs should also be reported by budget and reporting (B&R) number. If multiple budget and reporting numbers are associated with a contractual agreement, the project manager will ensure that the correct procedure is employed for allocating planned and actual accrued costs among them. 2. ERAL MANAGEMENT PLANS AND STATUS REPORTS. a. General. One plan and two reports are directed to overall management planning and summary reporting. The overall “Management Plan” provides both the participant and the project manager with a baseline against which status can be measured. One of the reports provides narrative discussion of schedule, labor, cost, and technical status relative to the plan, with emphasis on those events and actions which have resulted, or may in the future result, in variances from the plan. All contractual agreements may require one or more of the general management plans and reports briefly described in the following sections. b. The II Management Plan” describes the participant’s approach to performing the effort and producing the products identified in the contractual agreement, and the technical, schedule, cost, and financial management control systems to be used to manage that performance. The “Management Plan” is commonly required as part of the proposal and becomes a binding part of the contractual agreement. The content and level of detail in the “Management Plan" vary with the types of contractual agreement and the nature of the work involved; however, they must be sufficiently comprehensive to describe the planned execution, management, and results of the work. The participant may attach existing materials (e.g., company personnel management procedures) as appropriate. Figure II-9 shows an example “Management Plan" outline which should be modified and applied as appropriate to specific applications. The plan should include: DOE 1322.1A 10-15-85 d. Specific Requirements. (1) Income Statements. statements reported the following: (a) Extraordinary II-23 The Project manager should ensure that income to DOE specifically include full disclosure of items net of income taxes, including early. . debt retirement; (b) Allocated income tax expense; (c) Pension costs; (d) Depreciation expense and methods for compensation; (e) Method for determining cost of goods sold; (f) Effect on net income of changes in accounting principles or . (g) Effect on operations of any pooling or purchase of interests; and (h) Details of rental and lease agreements. (2) Balance Sheets. The project manager should similarly ensure that balance sheets reported to DOE specifically disclose the following: (a) (b) (c) (d) (e) (f) (9) (h) (i) Methods of valuation of assets and liabilities, including methods of depreciation for major classifications of assets;

Details of investments, including market value of any securities when significantly above cost; Changes in depreciating assets, and related accumulated depreciation; Liquidation preferences of preferred stock and description of long-term liabilities; Changes in details of stockholder’s equity items; Any pooling of interests; Stock option plans; Rental and lease commitments; and Unfunded liabilities. II-24 DOE 1322.1A Chg 1 6-12-92 (3) Forecasts. When forecasts are reported, the project manager should ensure that the borrower observes the following general guidelines: (a) (b) (c) (d) (e) Standard Format. Forecasts must be presented format as comparable financial reports. Single Most Probable” Result. A forecast must borrower management believes to be the single result of future planned activities. Because are uncertain, a range of results should also in the same report what most probable all forecasts be forecast. Assump tions and Their Effects. Assumptions underlying the forecast must be reasonable, appropriate, explicitly stated, and supported in proportion to the potential impact on the forecast if the assumption proves erroneous. Preparation of Forecast. forecasts must be carefully prepared by qualified personnel, using the best available tools and data, and following counted procedures. The forecasts must be reviewed and approved by management responsible for execution of the activities being forecast. The process through which the forecasts were developed must be adequately documented, as should the forecasts these; Forecast Error Tracking. Forecast results must be regularly compared to actual results as a basis for improvement and as an indicator of future forecast accuracy. 7. TECHNICAL RFPORTS. a. Vertical General. Technical reports provide the DOE project manager and the research community with the scientific and technical information resulting from the work performed by contractors, agencies, laboratories, and other organizations. Scientific and technical information developed during work supported by DOE also shall be reported promptly and fully, in accordance with the policy established in DOE 1430.lC, to the Office of Scientific and Technical Information, P.O. Box 62, Oak Ridge, TN 37831. This ensures that the findings are included in DOE’s information data base and, as security, patent, and other DOE policy considerations permit, that they are made available to the scientific, technical, and industrial communities and to the public through approved channels. Because the scientific and technical information program is a basic and integral part of DOE’s research and development program, research and development projects cannot be closed until the scientific and technical information (unlimited, limited, controlled, and classified) is recorded, documented, and provided to the Office of Scientific and Technical Information for processing, control, and dissemination (when appropriate). DOE patent counsel reviews such publications prior to release for publication to prevent premature disclosure of inventions and other proprietary information. line denotes change. DOE 1332.1A Chg 1 II-25 6-12-92 - Not all DOE programs produce the full range of technical reports. For example, small loans or loan guarantees that involve research, development, or demonstration projects may only require a final technical report; small training programs may not require any report. I b. Description of Reports. Technical reports include the following:

(1) (2) (3) (4) (5) (6) Progress Reports which summarize the work performed during specific reporting period and include the technical and results (both positive and negative) of that period. technical a scientific Topical Reports which are comprehensive statements of the technical results of work performed on a specific task or phase of all contractual agreements for research and development efforts. They also can be detailed descriptions of scientific or technological advances. Final Reports are required for all contractual agreements for research and development work. These reports are technical accounts of the total work performed under the contractual agreement. They are comprehensive descriptions of the results achieved and of the investigations undertaken, and they include tabulations of data, figures, photographs, and bibliographic citations in support of the investigations undertaken. Where applicable, they summarize all topical and technical progress reports. Other Technical Reports/Publications such as journal articles, conference papers, books, theses, and translations. Software Submittals as required in DOE 1430.2A and DOE 1360.4B. Notice of Energy RD&D Project (Form DOE 538) which provides the Office of Scientific and Technical Information with a descriptive summary of the RD&D project for inclusion in its Research-In-Progress data base. A completed example is shown on page II-58. c. General Content. The DOE project manager will ensure that the participant has been informed that: (1) Each report of a scientific, technical, and engineering information nature should begin with a statement of the original objectives of the effort and a concise summary of the progress achieved during the reporting period. The body of the report should contain a full account of progress, problems encountered, plans for the next reporting period, and an assessment of the prospects for future progress. The author(s) of the report should clearly identify technical factors which affect, either positively or negatively, plans for achieving the objectives on schedule and within the funds available. Vertical line denotes change. II-26 DOE 1332.1A Chg 1 (2) 6-12-92 - The report should include sufficient detail to allow the work to be reproduced by others. Each report should include a thorough account of activities directed toward application of the results, such as investigation of user needs, work or collaboration with potential users, and activities to disseminate the results. It should also include a discussion of how these activities have affected the course of the project, and may include utilization activities. They should not include proposals for further support. Such reports should be submitted separately to protect their privacy. (3) Computer programs and routines with scientific, technical, and technology-related applications developed by participants should be discussed in the report and provided to the National Energy Software Center under the policies and procedures of DOE 1360.4B, I SCIENTIFIC AND TECHNICAL COMPUTER SOFTWARE. d. Specific Contents. Detailed requirements concerning report content and I preparation are specified in DOE 1430.lC and DOE 1430.2A, and related Office of Scientific and Technical Information documents. Vertical line denotes change. DOE 1332.1A 10-15-85 1. GENERAL. IV-1 CHAPTER IV SPECIFICc ATION OF PLAN AND STATUS REPORT REQU IREMENTS

Plan and status report requirements must be specified and incorporated in each solicitation and each contractual agreement. The project manager specifies the requirements in the solicitation using the “Reporting Requirements Checklist” and related attachments which later become a part of the award documentation. The contracting officer incorporates them in each solicitation and contractual agreement by inclusion of the appropriate reporting requirements clause. 2. PREPARATION OF THE “REPORTING REQUIREMENTS CHECKLIST.” a. b. c. d. Content. The project manager completes the checklist by (1) selecting the required reports, (2) indicating the frequency of their submission, and (3) identifying special instructions attached to the checklist. _Instructions. Specific information for preparing a checklist is on the reverse side of the form. Special instructions to the participant, in addition to those noted on the Checklist and including requirements for unique reports, reporting element structures or topical requirements, should be attached. Approvals. The checklist provides two signature blocks. The project manager preparing the checklist should sign item 7. A checklist exceeding the recommendation in the selection tables requires review and approval with signature of at least the next level of management. The reviewer ensures that only information necessary for required surveillance of the award appears as a checklist requirement. Example. The Work Breakdown Structure and the list of reporting elements, illustrated in Chapter II, are not included. “ “ 3. PREPARATION OF REPORT DI STRIBUTION LIST AND LIST OF ADDRESSES. a. General. The project manager should be aware of the information needs of other DOE organizations and should make arrangements for them to receive the necessary reports in the required quantity. Organizations designated to receive reports should be so advised. For all contrac- tual agreements, a separate copy of the “Status Report,” with attach- ments, should be submitted to the project manager, the contracting officer, and the responsible financial officer. A “Technical Report Distribution Guide for All Contractual Agreements” is provided in Figure IV-1. Each technical report shall be submitted to the DOE Patent Office for patent clearance, unless it is classified, bears a “limited rights” legend, or is accompanied by a DOE F 1332.15 or DOE F 1332.16, precluding either availability to the public or publication. The Office of Scientific and Technical Information should receive all technical information reports. The project manager identifies distribution of reports to be made by the participant on the “Report Distribution List,” IV-2 DOE 1322.1A Chg 1 6-12-92 - which is attached to the “Reporting Requirements Checklist.” The list specifies the recipients of the reports, their frequency of submission, and the number of copies. It should be accompanied by a “List of Addressees,” giving the names and addresses to which reports should be submitted. Attachment IV-1 provides a contract and a financial incentives example on pages IV-6 and IV-10, respectively. FOR: All Contractual Project Contracting Patent TIC: Agreements Manager Officer Counsel Number of Copies 1/ Technical Progress Report 4 1 1 1/ Topical Report 4 1 1 1/ Final Technical Report 4 1 1 1/ Journal Article Manuscript 4 1 1 1/ Journal Article Reprint 4 1 1 1/ Conference Paper or 4 1 1 Proceedings 1/ Translations 4 1 1 1/ Theses 4 1 1 1/ Books 4 1 1 1/ Notice of Energy 3 1 1 RD&D Project 1/ Per DOE 1430.lC, DOE 1430.2A, and other OSTI guidance. Figure IV-1 Technical Report Distribution Guide (Numbers of Copies) for All Contractual Agreements Vertical line denotes change.