DOE O 1332.2, Uniform Reporting System for Federal Assistance (Grants and Cooperative Agreements)

U.S. Department of Energy Washington, D.C. ORDER DOE 1332.2 I0-31-83 SUBJECT: UNIFORM REPORTING SYSTEM FOR FEDERAL ASSISTANCE (GRANTS AND COOPERATIVE AGREEMENTS) 1 . TO establish the for federal assistance and formats to be used for all Department. Department of Energy (DOE) uniform reporting system provide implementing instructions, procedures, and grants and cooperative agreements awarded by the 2. EXCLUSION. Excluded from thls reporting system we cooperative agreements associated with major systam acquisitions as specfffed in DOE 5700.4, PROJECT MANAGEMENT SYSTEM, of 1-8-81, and the distribution of money managed under HQ 210O. IA, FINANCIAL MANAGEMENT OF MONEY RECEIVED FROM PERSONS WHO HAVE ALLEGEDLY VIOLATED DEPARTMENT OF ENERGY REGULATIONS, of 5-11-81, or any successor. 3. APPLICABILITY. This Order provides a compendium of standard forms, proce- dures, and terminology from which a program or project manager selects those applicable to a specific contractual effort. Reporting requested from contractors shall In all cases be limited to only that information essential for effective management control. Solicitations and awards comply with this Order by Inclusion of a completed EIA 459-A, ‘Federal Assistance Reporting Checklist, with attachments. WE organizations comply by execution with the requirements set forth in this Order. a. Federal assistance solicitations (as defined on page 2, paragraph 11, of Attachment 1) issued after the publication of this Order shall comply with the requirements set forth In this Order. New grants and cooperative agreements awarded as a result of such Federal assistance solicitations shall also comply with the reqirements set forth in this Order. b. Awards of contlnuation grants and cooperative agreemnts awarded 90 or more days after the publication of this Order shall also comply with the requirements set forth in this Order. c. For existing grants and cooperative agreements, the requirement will be determined by the cognizant Federal assistance program project manager and the contributing officer. However, existing grants and cooperative agree- ments will not be affected by this Order unless the recipient so agrees. 4. BACKGROUND. This Order contains directlon for DOE personnel on standardized application/proposal baseline plans and performance reports. Federal assistance Preapplication and payment are not addressed- Information concerning preappli- cation and payment processes can be found in Federal circulars, DOE assistance regulations, or the program announcement. DISTRIBUTION: All Departmental Elements INITIATED BY: Office of Project and Federal Energy Regulatory Commission (info) Facilities Management DOE 1332.2 10-31-83 1. Title 10 CFR 600, “DOE codify, Implement, and 3 Financial Assistance Rules, ” of 10-5-82, which publish uniform assistance polictes and selected procedures applicable to the award and administration DOE grants and cooperative agreements. m. Title 41 CFR 101-11.11, “Federal Property Management Regulations.” of 7-1-82, revised, which establishes an interagency reports management pro- gram, describes policies , and promulgates standards, procedures, and tech- niques for the economical and efficient management of records of Federal agencies. 6. POLICY AND OBJECTIVES. a. It is the Department’s policy to acquire uniform, timely, and valid infor- mation on costs, schedules, and performance in order to effectively manage programs and projects, and to do so with the least possible burden on DOE and its recipients of Federal assistance awards.

b. The objectives of the uniform reporting system to: (1) Provide the tools for obtaining essential ment information, (2) Meet the information needs of several DOE number of reporting requirements; for Federal assistance are Federal assistance manage- Organizations with a minimum (3) Establish uniform procedures, forms, and terminology and integrating the minimum data required by DOE its Federal assistance awards; (4) Consolidate and eliminate duplicate forms and req exist in the Department and overlap the informati requirements of this Order; and for collecting to manage and monitor uirements that now on collection (5) Ensure that DOE managers choose only those uniform reporting system for Federal assistance plans and reports that are essential to the effective management and control of their activities. 7. RESPONSIBILITIES AND AUTHORITIES. a. Program Secretarial Officers and Managers of Operations Offices shall: (1) Fully implement the provisions of this Order in their individual areas of responsibility; (2) Appoint an action officer to coordinate the requirements of this Order and furnish the appointee’s name to the Director of Project and Facilities Management (MA-22); and 4 (3) Assure that all research and development grants and cooperative agree- ments promulgated or administered under their jurisdiction contain reporting requirement checklists indicating that all scientific and technical information deliverables must be promptly furnished to the Technical Information Center. b. Program/Project Managers shall: (1) Become familiar with the intent and processes of this Order, and choose only those plans and reports that are essential to effective Federal assistance management; (2) Prepare a Form EIA-459A, “Federal Assistance Reporting Checklist,” to accompany each PR-799A, “Procurement/Financial Assistance Rquest- Authorization, U for each grant or cooperative agreement to be awarded and ensure recipient compliance with this Order; and (3) Review, evaluate, and utilize information obtained through plans and reports consistent with this Order for management of their activities. c. The Assistant Secretary, Management and Administration shall, through the: (1) Director of Procurement and Assistance Management. (a (b (c) (d) Ensure that all Federal assistance solicitations contain refer- ence to this Order’s requirements. Ensure that a clause for implementing this Order is in all Federal assistance award instruments and that the Form EIA-459A, “Federal Assistance Reporting Checklist,” is included in the award document. Ensure that requests for non-standard management reporting requirements are coordinated with the Director of Project and Facilities Management. Aid in ensuring recipient compliance post award. (2) Controller. Monitor financial status of grant and cooperative agree- ment awards and advise DOE participants as appropriate. (3) Director of Administration, shall , through the: (a) Director of Project and Facilities Management. 1 Coordinate the development and monitor implementation of this Order. 2 Provide, in coordination with the Director of Personnel, periodic training seminars to Departmental organizations in the implementation of this Order. DOE 1332.2 10-31-83 DOE 1332.2 10-31-83 5 (and 6) 3 Review and management approve for implementation all non-standard reporting requirements forwarded by the Direct of Procurement and Assistance Management.

4 Implement the information collection and clearance require- ments contained in Title 5 CFR 1320 as they apply to contractors, their employees, and other members of the public from whom information is collected under the provisions of this directive. (b) Director of Personnel. Provide for the inclusion of training on the requirements of this Order In Departmentwide training programs, as appropriate. (c) Manager of the Technical Information Center. Develop poli- cies and procedures for managing the Department’s scientific and technical information program including the development of procedures and systems needed for assuring the acquisition and receipt of adequate and acceptable scientific and tech- nical information from the uniform repor federal assistance. d. Contracting Officers (Awarding Officers) shall: (1) Ensure that al 1 Federal assistance solicitations to this Order’s requirements. ting system for contain reference (2) Ensure that a clause for implementing this Order is in all Federal assistance awards. (3) Review, evaluate, and utilize information obtained through plans and reports consistent with this Order for management of their activities. BY ORDER OF THE SECRETARY OF ENERGY: WILLIAM S. HEFFELFINGER Director of Administration DOE 1332.2 10-31-83 DEFINITIONS Attachment 1 Page 1 1. ACCRUAL BASIS OF ACCOUNTING. Recognizes revenues in the period earned and recognizes cost In the period Incurred, regardless of when payment Is received or made. (DOE 21OO.1A, GLOSSARY OF FINANCIAL TERMS, of 10-23-81. ) 2. ACCRUED COST. Accrued cost is the value (purchase price) of goods and serv- ices used or consumed within a given period of time, regardless of when ordered, received, or paid for. 3. ACCRUED EXPENDITURES. Accrued expenditures are the charges Incurred by the recipient during a given period requiring the provision of funds for: goods and other tangible property received; services performed by employees, con- tractors, subgrantees, and other payees; and other amounts becoming owed under programs for which no current services or performance is required such as annuities, insurance claims, and other benefit payments. (OMB Circulars A-102 and A-11O.) 4. ACTIVITY. An effort or operation which is conducted over a period of time and results in the accomplishment of a unit of work. 5. APPLIED COST. The value (purchase price) of goods and services used, con- sumed, given away, lost, or destroyed within a given period of time, regard- less of when ordered, received, or paid for. For operating programs, ap- plied cost represents the value of resources consumed or used. For procure- ment and manufacturing programs, applied cost represents the value of mater- ial received or produced. For capital outlay programs, applied cost repre- sents the value of work put in place. For loan activities, applied cost represents assets acquired (even though no resource has been consumed). In the case of appropriations for programs that are essentially operating in nature, equipment is included In applied cost when it is placed in use. For all programs, accrued annual leave is included in applied cost when the leave is earned rather than when taken, even though it may be unfunded at the time; and, depreciation cost and other unfunded costs are included where appropriate. (DOE 2100.1A. ) 6. BASELINE. A quantitative expression of projected costs, schedule, or tech- nical progress to serve as a base or standard for measurement during the performance of an effort; the established plan against which the status of resources and the progress of a project can be measured.

7. BUDGET PERIOD. The interval of time, specified in the award, into which a project is divided for budgeting and funding purposes. (10 CFR 600.) 8. CEILING. The negotiated or stated limit applicable to obligations and costs which are set by legislation or arrangement and cannot be exceeded. (DOE 21OO.1A. ) Attachment 1 Page 2 DOE 1332.2 10-31-83 9. 10. 11. 12. 13. 14. 15. 16. COST VARIANCE. The difference between the planned cost and the actual cost for work performed. It indicates whether costs are being accrued as planned. On the “Federal Assistance Program/project Status Report,” the cost variance is the difference between planned and actual costs for a specified period of time. DIRECT COST. For the purpose of this Order, direct cost means any cost that can be specifically identified with a particular project or activity, includ- ing salaries, travel, equipment, and supplies directly benefiting the project or activity. (10 CFR 600.) FEDERAL ASSISTANCE SOLICITATION. A solicitation is a formal written invita- tion by DOE for Interested organizations or individuals to submit applications for a specified project, effort or objective, by a stated common due date. As used in this Order it includes the following: a. Program regulation; b. Program solicitation; c. Solicitation for cooperative agreement proposals; d. Program opportunity notice; e. Program research and development announcement; and f. Notice of program interest. INDIRECT COST. Indirect costs are those incurred for a common or joint purpose benefiting more than one cost objective, and not readily assignable to the Cost objectives specifically benefited, without effort disproportionate to the results achieved. (OMB Circular A-87. ) INTERMEDIATE EVENTS. Detailed events which are necessary for and lead to the completion of a milestone. An intermediate event signals completion of a subtask crucial to the milestone effort. MILESTONE. An important or critical event that must occur in order to achieve the project objective(s). OBJECTIVE. A general, comprehensive statement of a desired end. From this statement specific goals can be generated. PROGRAM. An organized set of activities directed toward a common purpose, objective, or goal undertaken or proposed by DOE in order to carry Out respon- sibilities assigned to it. It is characterized by a plan of action designed to accomplish a definite objective. DOE 1332.2 Attachment 1 10-31-83 Page 3 (and 4) 17. 18. 19. 20. 21. 22. PROGRAM/PROJECT MANAGER. An official in the program division or field organ- ization who has been assigned responsibility for accomplishing a specific set of program objectives. This involves planning, directing, and controlling one or more assistance activities, initiation of any award processes necessary to get assistance activities started, and monitoring of assistance activities. PROJECT. For the purpose of this Order a project means the set of activities described In an application, State plan, or other document that iS approved by DOE for financial assistance (whether such financial assistance represents all or only a portion of the support necessary to carry out those activities). (10 CFR 600. ) RECIPIENT. An inclusive term for all agencies, governments, other organ- izatlons, and individuals receiving Federal assistance in the form of grants or cooperative agreements from DOE. TASK. Any definable unit of work. It must have an identifiable start and ending and usually produces some recognizable result.

WORK BREAKDOWN STRUCTURE (WBS). A product oriented task hierarchy of all work to be performed in accomplishing project objectives. The product(s) may be hardware, software, support services, tests, documentation, or other quantified elements of the project objectives. The task hierarchy has, as its first level, the major end item of the project. The successive levels provide increasingly detailed definition of the individual work tasks that contribute to the production of end items. The scope and number of levels in the task hierarchy depend on the scope and complexity of the individual project. WORK BREAKDOWN STRUCTURE ELEMENT. Any of the individual items or entries in the WBS hierarchy, regardless of level. TABLE OF CONTENTS CHAPTER I - INTRODUCTION 1. System Features ............................................. . . . . . . . . . . . a. Standard Forms and Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . b. Standard Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Specification of Reporting Requirements d. ........................ Planning Baselines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . e. Flexible Reporting Methods and Applications f. .................. Single Reporting for Multiple Uses. . . . . . . . . . . Formal Problem Identification . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2. How the Uniform Reporting System Works .. . . . . . . . . . . . . . . . . . . . Figure 1-1 Relationship of System Components . . . . . . . . . . . . . . 3. Key Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . a. Federal Assistance . . . . . . . . . . . . . . . . . . . . . . . . b. Grant . . . . . . . . . . . . . . . . . . . . c. Cooperative Agreement . . . . . . . . . . . . . . . . . . . . . . . . . . 4. Directing Application . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . 5. Application ........................................ 6. Forms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . a. Baseline Plans . . . . . . . . . . . . . . . . . . . . . . . . . . . . b. Status Reports . . . . . . . . . . . . . . . . . . . c. Technical Information Reports . . . . . . . . . . . . . . . . 7. Other Information . . . . . . . . . . . . . . . . . . . . . . a. Confidentiality Statement . . . . . . . . . . . . . . . . . . b. Government Printing Regulations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . c. Applicability to Other Government Agencies . . . . . . . . . . . . . . . . . . . . . . . d. Paperwork Reduction Act. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . e. Forms Supplies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . CHAPTER II - PROGRAM MANAGEMENT REPORTING 1. How to Select Plans and Reports a. General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . b. When Reports are Due. ... . . . . . . . . . . . . . . . . . . . . . . . . Figure II-1 Frequency Codes for Submittal of Reports...,.. c. Distribution of Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . d. Selection Guides for Baseline Plans and Deports . . . . . . . . . . . . . . . . . . e. Preparing the Federal Assistance Solicitation to Include

Reporting Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Figure II-2 Selection Guides for Plans and Reports . . . . . . . . f. Preparation of the Federal Assistance Reporting Checklist . . . . . . . . Figure II-3 Example Federal Assistance Reporting Checklist Figure II-4 Example Attachment to Federal Assistance Reporting Checklist . . . . . . . . . . . . . . . . . . i Page I-1 I-1 I-1 I-l I-1 I-1 I-1 I-2 I-4 I-4 I-4 I-4 I-4 1-5 I-5 I-5 I-5 1-6 I-6 I-7 I-7 I-7 II-1 II-1 II-1 II-2 II-2 II-3 II-3 II-4 II-5 II-6 II-8 DOE 1332.2 10-31-83 ii DOE 1332.2 10-31-83 2. How to Prepare Plans and Reports. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . a. General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . b. Structuring of Reporting Elements . . . . . . . . . . . . . . . . . . . . , Figure 11-5 Example Work Breakdown Structure . . . . . . . . . . . . . . Federal Assistance Milestone Plan (Form EIA-459B). . . . . . . . . . . . . . . d. Federal Assistance Budget Information Forms (EIA-459C and ESA-459D . . . . . . . . . . . . . . . . . . . . . . . . . Figure II-6 Example Federal Assistance Milestone Plan..... Figure II-7 Example Milestone Log. . . . . . . . . . . . . . . . . . . . . . . . . e. Federal Assistance Management Summary Report (Form EIA-459E) as a Baseline Plan . . . . . . . . . . . . . . . . . . . . . . Figure II-8 Example Federal Assistance Budget Information Form (Non-Construction) . . . . . . . . . . . . . . . . . . . . . . Figure II-9 Example Federal Assistance Budget Information Form (Construction) . . . . . . . . . . Figure 11-10 Example Federal Assistance Management Summary Report as a Baseline Plan f. . . . . . . . . . . . . . . Federal Assistance Program/Project Status Report (Form EIA-459F). Figure 11-11 Example Federal Assistance Program/ Project Status Report . . . . . . . . . . . . . . . . . . .. . . g. Financial Status Report (Standard Form 269). . . . . . . . . . . . . . . . . . . . . . h. Federal Assistance Management Summary Report (Form EIA-459E) as a Status Report . . . . . . . . . . . . . . . . . . . . . . . . Figure II-12 Example Financial Status Report . . . . . . . . . . . . . . Figure II-13 Example Federal Assistance Management Summary Report as a Status Report . . . . .. . . . . . . . . . . Attachment 11-1 - Research Project Example . . . . . . . . . . . . . . . . . Attachment II-2 - Suggested Federal Assistance Solicitation ‘Description of the Uniform Reporting System for II-5 II-5 II-8 I I - 1 0 II-11 II-12 II-13 II-15 II-16 II-17 II-19 II-23 II-25 II-26 II-28 II-29 II-30 II-33 II-35 Federal Assistance. .. ....’. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II-45 CHAPTER III-TECHNICAL INFORMATION REPORTING 1. General . . . . . . . . . . . . . . . . . .. 2. III-1 Selection of Technical Reports l .0.0..,. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . III-2 Figure 111-1 Frequency and Distribution of Technical Reports . . . . . . . . . . . . . . . . . . . . . . . . . III-3 DOE 1332.2 10-31-83 INTRODUCTION I-1 CHAPTER I 10 SYSTEM FEATURES. Primary features are: a. b. c. d. e. f. g. Standard Forms and Procedures. Replaces differing reporting forms and procedures previously used by DOE component organizations. Standard Definitions. Provides uniform terminology and data elements to minimize ambiguity of meaning and intent.

Specification of Reporting Requirements. Provides a checklist to be used to identify all reporting requirements at the time of award. The recipi- ent is encouraged to discuss the requirements before the time of award in order to ensure that they are appropriate. Planning Baselines. Provides planning forms which can be included In the Federal assistance application or proposal to present the planned approach and desired results. Flexible Reporting Methods and Application. Provides flexibility in application to ensure that the information requested is relevant to the activity performed. The reporting system can accommodate a variety of programs and assistance awards by tailoring the reporting requirements to fit the activity. Single Reporting for Multiple Uses. A recipient of Federal assistance submits standard forms only once in each reporting Period. One submission serves all Departmental needs. Formal Problem Identification. Provides recipients with a formal method for identifying problems. 2. HOW THE UNIFORM REPORTING SYSTEM WORKS. a. This Order contains the plans and reports of the system. Figure I-1 shows the general relationship of the various system components. To illustrate the utility of the plans and reports, a hypothetical project (partially funded by DOE under a cooperative agreement) using all the program management forms is presented in Chapter II. Chapter III covers technical information reporting requirements. DOE 1430.1 describes the scientific and technical reporting requirements and procedures for a research grant. The DOE Technical Information Center (TIC) will provide further guidance. b. Before a Federal assistance solicitation is issued, the DOE program manager determines the information that will be required from the assist- ance recipient. The information needs of other DOE offices, such as Controller and the awarding office, also should be considered. I-2 DOE 1332.2 10-31-83 Figure I-1 Relationship of System Components DOE 1332.2 I-3 10-31-83 (1) Tables which appear in Chapter II have been developed to indica those plans and reports which are usually appropriate for differ- ent types of activities. (2) Baseline plans shown in this Order can be selected and Included as part of the application/proposal for programs which require measurable program performance. (3) The planning technique provided for in this Order is based on the concept of prescribing specific, quantifiable, and measur- able baseline information. The information presented in the baseline plans is used to augment the narrative, which is usually included in applications and proposals, and to provide a means of evaluating performance. All DOE assistance activities may not require detailed baseline Information. A basic research project, for example, may rely on the content of technical infor- mation reports for performance evaluation. (4) The status reports and technical reports, which will be required subsequent to award, will be identified in the solicitation. This will allow the applicant/proposer to include reporting costs In the application/proposal. c. The application/proposal, containing the required plans selected from this Order, is submitted in accordance with the solicitation. These plans will serve as the base against which progress can be measured.

d. The “Federal Assistance Reporting Checklist” is prepared by the DOE program manager and is included as an attachment to the DOE Form 4600.1, “Notice of Financial Assistance Award”. The completed check- list indicates the reporting requirements, identifying which, if any, baseline plans should be resubmitted, which other reports are needed, how often they should be submitted, and to whom they should be sent. Any special reporting requirements specified in program legislation, Federal regulations, or the DOE assistance regulations will be identified on the checklist. Alternative forms or formats or alternative data elements that are natural products of the recipi- ent’s internal management system may be considered. The recipient’s application should include a discussion of any proposed substitutions or changes in the reporting requirements and how the proposed substi- . tution or change meets this Order’s report requirements. These pro- posals shall be coordinated with the Office of project and Facilities Management prior to award. e. Financial status reports and program status reports relate directly to the baseline plans and show the financial or schedule Status of the activity as well as identifying cost or schedule problems. Standard Form 269, “Financial Status Reports,” must generally be submitted (see Footnote 1, Figure II-2, for exceptions); Program status reports may be required depending on the nature of the activity. I-4 f. g. DOE 1332.2 10-31-83 Technical reports are the basis for the technical performance evalua- tion by the Department’s program managers and the primary method by which the Department makes its scientific and technical results avail- able to contractors and others participating In the program, including the public. In accordance with Departmental policy, no reporting requirements (in- formation collections) will be levied by the Department on contractors or other elements of the “public” as defined in Title 5 CFR 1320 unless theY have prior clearance under the provisions of Title 5 CFR 1320, and the OMB clearance number (or porting requirement document 3. KEY DEFINITIONS. See Attachment a. Federal Assistance. Federal perty, services, or anything complish a public purpose of Federal statute, rather than ter, of property or services exemption statement) is shown on the re- and related forms. 1 for additional definitions. assistance is the transfer of money, pro- of value to a recipient in order to ac- support or stimulation authorized by acquisition, by purchase, lease, or bar- for the direct benefit of the Federal Government. - Grants and cooperative agreements are Federal assistance mechanisms. Federal assistance is separate and distinct from Federal procurement, which is governed by different rules and regulations. b. Grant. The transfer of money, property, services, or anything of value to the State or local government or other recipient in order to accomp- lish a public purpose of support or stimulation authorized by Federal statute, rather than acquisition, by purchase, lease, or barter, of property or services for the direct benefit or use of the Federal Gov- ernment, and where no substantial involvement is anticipated between the executive Agency, acting for the Federal Government, and the State or local government or other recipient during the performance of the contemplated activity.

c. Cooperative Agreement. The instrument used to transfer money, pro- perty, services, or anything of value to the State and local government or other recipient to accomplish a public purpose of support or stimu- lation authorized by Federal statute, rather than acquisition, by purchase, lease or barter, of property Or services for the direct benefit or use of the Federal Government, where substantial involvement is anticipated between the executive Agency, acting for the Federal Government, and the State or local government or other recipient dur- ing performance of the contemplated activity. 4. DIRECTING APPLICATION. The following is a sample clause which the DOE awarding officer can use in the grant or cooperative agreement to invoke the requirements of this Order. DOE 1332.2 I-5 10-31-83 “The Federal assistance recipient shall prepare and submit (post- age prepaid) the plans and reports indicated on the ‘Federal Assist- ance Reporting Checklist’ to the addressees and In the number of copies designated on the checklist. Preparation of the specified plans and reports shall be in accordance with the DOE uniform reporting system for Federal assistance. The level of detail the recipient provides in the plans and reports shall be commensurate with the scope and complexity of the task and shall be as deline- ated in Block 4 (Reporting Requirements) and Block 5 (Special Instructions). The prime recipient shall be responsible for acquir- ing data from any contractors, or subrecipients, to ensure that data submitted are compatible with the data elements which prime recipi- ents submit to DOE. Plans and reports submitted in compliance with this provision are in addition to any other reporting requirements of the Federal assistance instrument.” 5. APPLICATION. These instructions apply to DOE grants and cooperative agree- ments with State and local governments, nonprofit organizations, institutions of higher eduration, hospitals, individuals, profit-making organizations, and any other eligible assistance recipients. 6. FORMS. There are three categories of forms: baseline plans; status reports; technical information reports. The “Federal Assistance Reporting Check- list,” contained in each award, is used to identify which will be required for that particular effort. A brief description of the forms follows. More discussion of the baseline plans and reports is included in Chapters 11 and III. d. Baseline Plus. This Order offers simple planning procedures and forms augment the narrative project description contained in the application/ proposal. Discrete, measurable units of the proposed work are presented in the baseline plans. The baseline plans provide a specific outline of what the assistance recipient intends to do, how it is intended to be accomplished, and the time and cost involved. These baseline plans are developed and submitted with the application/proposal to serve as the standard against which status and progress can be measured during the performance period. The following are baseline planning forms. (1) (2) (3) Form EIA-459B, “The Federal Assistance Milestone Plan,” and an accom- panying milestone log present a schedule of the planned activity, with major milestones and intermediate events identified. Forms EIA-459C and D (construction or nonconstruction),”The Federal Assistance Budget Information Form,” presents the planned costs. Form EIA-459E, “The Federal Assistance Management Summary Report,” presents the planned costs and the planned schedule together in a capsulized format.

I-6 b. Status Reports. Provide the performance information required to determine program effectiveness and the information which DOE requires to maintain accountability for public funds. The reports are submitted according to the frequency indicated by the DOE program manager on the “Federal Asist- ance Reporting Checklist.” The reports show actual costs, schedule pro- gress, and total project status to date. When the status reports are compared with the baseline plans, accomplishments can be noted, problems become apparent, and corrective action can be taken. The following are status reports: (1) OMB Standard Form 269, “The Financial Status Report,” presents funds status information. (2) Form EIA-459E, “The Federal Assistance Management Summary Report,” relates planned progress and costs to actual progress and costs In a capsulized format. (3) Form EIA-459F, “The Federal Assistance Program/Project Status Report,” presents a brief narrative description of accomplishments, problems, progress, and forecasts. c. Technical Information Reports. Scientific and technical information is communicable knowledge or information (unlimited, limited, and classified) resulting from, or pertaining to, the conduct of research and development efforts. This information reports on progress or results of DOE-funded research and development or demonstration and usually is published as Technical reports, journal articles, reprints, theses or dissertations, conference and symposium proceedings, or translations. This may include experimental data, theoretical data, analytical studies, and economic and energy use projections. This information is used by managers, scientists, researchers, and engineers engaged In scientific and technological efforts, and is the basic intellectual resource for and result of such effort. TIC documentation including DOE 1430.1 describes the reporting requirements and procedures for such information and reports. The reports themselves are briefly described in the attachment to Chapter III of this Order. 7. OTHER INFORMATION. a. Confidentiality Statement. The information required under the various provisions of this Order may be information which is exempt from disclos- ure to the public under the exemption for trade secrets and confidential commercial information specified in 5 U.S.C. 552(b)(4), of 7-4-66, as amended, or prohibited from public release by 18 U.S.C. 1905, of 9-12-80. DOE will determine whether any information submitted should be withheld from public disclosure In accordance with the provisions of 10 CFR 1004.11, of 1-8-79. By statutory authority, DOE must provide this infor- mation when requested to the Congress or any committee of the Congress and the General Accounting Office, DOE 1332.2 10-31-83 DOE 1332.2 I-7 (and I-8) 10-31-83 CHAPTER II PROGRAM MANAGEMENT REPORTING 1. HOW TO SELECT PLANS AND REPORTS. a. General. When establishing a reporting requirement, each of the following factors should be jointly considered: (1) (2) (3) (4) (5) The Activity to be Performed. A major determinant in the selection of plans and reports should be the nature of the work. Program/ project managers should consider the scope and characteristics of the activity in making an appropriate selection of baseline plans and reports. As previously Indicated, a basic research project, characterized as scientific inquiry with uncertain results, may not show progress on a scheduled basis. On the other hand, certain con- servation programs have specific goals, for example, the weatheriza- tion of a number of homes for the elderly during a specified period.

The Duration and Complexity of the Effort. The extent and complexity of the activity should suggest the kinds of information necessary for DOE either to monitor the activity or to be Involved In a respons- ible manner. The Program Legislation, Federal Regulations, and Guidance. Some DOE program legislation requires specific reporting, controls, and pro- cedures. Program managers and assistance recipients must abide by the statutory and regulatory terms of the program to ensure the collection of essential information. The Significance of the Effort. High interest by the public, Con- gress, or the Administration will require current and timely infor- mation on performance. The Information Requirements of Other DOE Organizations. The data requirements of the Controller and the Director of Procurement and Assistance Management should be identified and satisfied. Any other DOE organizations involved in a stewardship role should identify their data requirement for the program/project manager preparing the . reporting requirements. b. When Reports are Due. The date for submitting reports is identified for the recipient on the “Federal Assistance Reporting Checklist” in the award. How often a report is submitted can vary with each grant or coop- erative agreement, and generally is negotiated prior to award, and is indicated by a letter code in the “frequency” column. The frequency codes for submittal are shown in Figure II-1 unless otherwise specified in the award documentation: II-2 A (As necessary). . . . . . . . Within 5 calendar days after event. F (Final) .. .. .. Within 90 days of the end of performance on the Federal assistance effort. X (With proposal or application) .., .. .. .Accompanying proposal applicatlon, or with significant planning changes. O (One time) .. ... ........Within 30 days after award. M (Monthly) .. .. ..........Within 20 days after the end of a calendar month (not generally selectable for grants). Q (Quarterly) .. ...,......Within 30 days after the end of a budget period quarter. S (Semiannually) .........Within 30 days after end of a budget period half year. Y (Yearly) ............. Within 90 days after end of a budget period. Figure II-1 Frequency Codes for Submittal of Reports c. Distribution of Reports. The finance officer must receive copies of all ‘Financial Status Reports.” The contracting officer must receive copies of all required reports. The DOE program/project manager should be aware of the information needs of other DOE organizations and should make pro- visions to distribute reports to them. organizations designated to “ receive specific reports should be so advised. Insofar as possible, award recipients should not be asked to submit multiple reports to several addressees. However, the “addressees” column of the ‘Federal Assistance Reporting Checklist” will usually indicate that reports should be sub- mitted as follows (if further distribution Is required, the DOE program/ project manager should make such distribution): (1) TO avoid any possible delay, the “Financial Status Report” will often be submitted by the recipient directly to the awarding officer and to the designated DOE finance organization so that costs can be entered into DOE’S financial Information system. A copy of the report will usually be Submitted to the program manager. The DOE program/project manager should provide the assistance recipient with a budget and reporting number for the current DOE fiscal year so that the recipient can include the current budget and reporting number in the remarks section of the ‘Financial Status Report.”

DOE 1332.2 10-31-83 DOE 1332.2 10-31-83 (2) Other status reports or to an appropriate (3) The technical report II-3 should be submitted to the DOE program manager addressee In the program organization. requirements of the DOE Patent Counsel (GC-42) - and the Technical Information Center are discussed in Technical Information Center documentation including DOE 1430.1. These requirements should be identified on the checklist. d. Selection Guides for Baseline Plans and Reports. The tables presented in Figure II-2 suggest appropriate baseline plans and reports for the types of activity performed under grants and cooperative agreements. These tables are provided only as Initial references for DOE program managers. DOE program managers are expected to apply their specific knowledge of all factors involved to make appropriate report selections. For example: (1) Selection may be imposed or limited by legislation. (2) The DOE program manager also must consider alternatives (such as alternative payment reporting) to and restrictions on financial reporting contained in OMB circulars and 10 CFR 600. (3) There are special cases in which more frequent or more detailed reporting may be required. Generally, these are cases in which the recipient has a history of poor performance, is not financially stable, or has a management system which does not meet prescribed standards. In such instances report selection should be accomplished according to procedures established in the DOE 4600.1. e. Preparing the Federal Assistance Solicitation to Include Reporting_ Requirements. After determining which plans and reports are necessary for the activity, the DOE program manager will ensure that the awarding officer incorporates these requirements into the solicitation. The solicitation should contain the program identification number from the catalog of “Federal Domestic Assistance” and identify any relevant program legislation for the applicant/proposer. Blank forms for the required baseline plans should be included in the solicitation as part of the application/proposal package. Additionally, the solicitation should contain a brief description of the required status reports to assist the applicant/proposer in determining the total administrative costs. A brief description of this Order, each baseline plan, and each status report is provided in Attachment II-2. These are offered as suggested descriptions of the system, the plans, and the reports for inclusion in the solicitation where appropriate. The DOE program manager and the awarding officer should work together to develop the solicitation to ensure that baseline plans and status report descriptions, as well as technical information reporting requirements, are included. II-4 DOE 1332.2 10-31-83 : Figure II-2 Selection Guides for Plans and Reports DOE 1332.2 10-31-83 II-5 f. Preparation of the Federal Assistance Reporting Checklist. (1) The DOE program manager states the anticipated reporting require- ments in the solicitation by using a “Federal Assistance Reporting Checklist." The checklist, revised as appropriate, well become a part of the assistance award. The DOE program manager completes a checklist by providing specifics in each of the following areas: (a) Selection of reports; (b) Frequency of reports; (c) Distribution of reports (name/title and address); (d) Number of copies to be submitted; and (e) Special instructions: 1 Budget and reporting number for cost reporting; and

2 Program specific reports, reporting categories, or topical requirements. (2) Specific information for preparing a checklist is on the reverse of the form. Addressees to whom reports will be forwarded directly must be provided on an additional page. If more space is needed In item 5, additional pages can be attached. A completed checklist and attachment are shown as Figures II-3 and II-4. (3) Two signature blocks are provided on the checklist. The DOE program manager preparing the checklist should sign at item 6. When the preparer of the checklist exceeds the recommended selection, shown in Figure II-2, a review and approval of at least the next level of supervision is required. It is the reviewer’s responsibility to ensure that only data necessary for effective program/project manage- ment appears as a checklist requirement. 2. HOW TO PREPARE PLANS AND REPORTS. a. General. DOE and Office of Management and Budget forms are used for all plans and reports in this Order. Instructions for the preparation of plan and report forms appear on the reverse side of each form. The examples In this Order illustrate those Instructions. Although each plan Or report addresses different aspects of performance, the following data elements are common to all the forms. (1) Program/Project Identification Number. The award number as it appears on the award, if available. II-6 DOE 1332.2 10-31-83 U.S. DEPARTMENT OF ENERGY FEDERAL ASSISTANCE REPORTING CHECKLIST . — Figure II-3 Example Federal Assistance Reporting Checkl i St DOE 1332.2 10-31-83 FEDERAL ASSISTANCE REPORTING CHECKLIST PURPOSE Figure II-3 (Continued) Federal Assistance Reporting Checklist (Reverse Side) II-7 II-8 DOE 1332.2 10-31-83 Report Distribution List A. T. J. Noteworthy, Program Manager San Francisco Operations Office U.S. Department of Energy 1333 Broadway Oakland, California 94612 B. S. F. Gelman, Awarding Officer San Francisco Operations Office U.S. Department of Energy 1333 Broadway Oakland, California 94612 c. A. D. Bowman, Financial Officer San Francisco Operations Office U.S. Department of Energy 1333 Broadway Oakland, California 94612 Figure II-4 Example Attachment to Federal Assistance Reporting Checklist (2) “Program/Project Title. The official title as it appears in the award, if available. Otherwise the title should be short and descriptive. (3) The Name of the Proposer/Recipient. This information should appear as it does or would in the award. (4) The Planning or Reporting Period. The period of time covered by the plan or the report, identified by inclusive dates. (5) The Program/Project Start Date. The date identified in the award as the official start date, if available. b. Structuring of Reporting Elements. A major facet of management is identi- fying and organizing the objectives of the work and planning the resources to accomplish them. Before any program begins, the prime objectives as well as the supporting objectives must be carefully determined and defined. All of the objectives must be organized and interrelated to attain the program goals, and the objectives must be communicated to all parties managing the program work.

(1) The range of DOE Federal assistance programs is broad and diverse. At one extreme are those programs characterized by planning and reporting of discrete, measurable milestones or accomplishments. Examples of these efforts are the number of homes insulated or the number of schools and hospitals which have had energy audits. Other assistance work may not be measurable In terms of quantity. For example, some research activity may only be capable of being moni- tored on the basis of the quality of technical aspects of the work. Periodic review of technical reports by experts in the specific field or conversations with the researcher are considered acceptable methods for reviewing and evaluating many types of basic research tasks or activities. Some DOE Federal assistance programs are characterized by the absence of predetermined structure. Programs which promote innovation and invention are examples of this type of program. (2) The solicitation will describe broad areas of scientific or engineer- ing endeavors which it is in the public interest to fund. In these programs the applicant/proposer will describe the structure of the proposed work. Clearly, it is in the best interest of the applicant/ proposer to establish a logical and understandable approach for the work effort, and this Order provides sufficient flexibility to accom- modate a wide range of work structures. (3) In those cases where a work planning and reporting structure is desired, the DOE program manager will determine the reporting elements which are required to objectively monitor the work for which the recipient is responsible. An explicit description of these reporting elements should be included in the solicitation in order for all applicants/proposers to respond uniformly. This facilitates the review and evaluation of applications/proposals and, later, facilitates the monitoring process by having a reporting standard for measuring progression similar work. (4) A management tool that can assist a manager in organizing the pro- ject is the work breakdown structure. For illustration, a work breakdown structure is shown in Figure II-5. (a) (b) Level I refers to the program or project objective. For some programs, DOE will define level I and level II elements on the “Federal Assistance Reporting Checklist.” In the example, level I corresponds to “Pilot Energy Awareness Training Program,” and is numbered 1.0. Level II consists of the component tasks essential to fulfill the objective. In the example, there are five tasks which must be accomplished in order to establish, conduct and evaluate the “Pilot Energy Awareness Training Program." These level II components are commonly referred to as elements of work and numbered progressively 1.1, 1.2, 1.3, 1.4, and 1.5. DOE 1332.2 10-31-83 I I - 9 II-10 . Figure I-5 Example Work Breakdown Structure DOE 1332.2 10-31-83 DOE 1332.2 10-31-83 II-11 (c) Level III outlines the subtasks necessary for the completion of the level II tasks. For example, in order to “Produce Trail- ing Materials” (1.2), there are four subtasks which need to be performed. These are numbered 1.2.1, 1.2.2, 1.2.3, and 1.2.4. These subtasks are not necessarily a sequential ordering of work to be performed, but represent a breakdown of the level II task. c. Federal Assistance Milestone Plan (Form EIA-459B). (1) (2) (3) Purpose.

(a) The “Federal Assistance Milestone Plan” presents the schedule for the planned work. The plan establishes the recipient’s time schedule for accomplishing the planned events and mile- stones for each reporting element identified in the solicitation. The form is normally accompanied by a “Milestone Log” with the planned completion date of each Item. (b) Standard DOE charting symbols and charting conventions described on the reverse side of the form are used to chart the intermedi- ate events and milestones. Detailed preparation Instructions appear on the reverse side of the form. Intermediate events and Critical milestones are further Identified in an attached “Milestone Log,” and include the identification number, descrip- tive name of the event or milestone, and the scheduled date of completion. A sample “Federal Assistance Milestone Plan” and companion “Milestone Log” are shown at Figures II-6 and II-7. General Instructions. The plan will be prepared to the level of detail specified in the solicitation. A schedule should be developed for the total effort from start to finish. The plan should provide more detail in the current year and less detail for later years. Discussion of the Example, Figure II-6. (a) Item 6- Identification Number. The identification number is a milestone reference number given to the task by the recipient or taken from-the-work breakdown structure. In this example, the milestone identification numbers correspond to the numbers given to the work breakdown structure elements. (b) Item 7 - Planning Category (Work Breakdown Structure Tasks). A short descriptive title is entered for each activity. In the example, the titles correspond to the work breakdown structure elements. (c) Item 8- Program/Project Duration. The block extending left to right represent convenient units of time which cover the dura- tion of the work effort. In this example, the first month of planned activity is April, Identified by an “A” in the first block. II-12 DOE 1332.2 10-31-83 (d) Item 9- Comments. This column is provided for the convenience of he planner and allows the addition of any comments, notes, names of performers or subgrantees, or other appropriate items. For task 1.4, there is a comment that 30 seminars will be conducted. (4) Discussion of the Example, Figure II-7. (a) The purpose of the “Milestone Log” is to list the events and milestones which are depicted on the Federal Assistance Mile- stone Plan. Also there are columns for the planned and actual occurrence dates for each of the events listed. (b) For example, activity 1.1 on the “Federal Assistance Milestone Plan” has three events occurring during its duration. ‘Draft Training Plan Prepared” (1.1A), “Draft Circulated for Comments” (1.1B), and “Approved Training Plan Completed” (1.1). The planned occurrence dates for these events are 4-30-81, 5-14-81, and 5-29-81, respectively. Since the “Milestone Log” is not used as a required status report, the “Actual Completion Date” column is for the convenience of the user only. d. Federal Assistance Budget Information Forms (Forms EIA-459C and EIA-459D). (1) Purpose. Either the construction or nonconstruction “Federal Assist- ance Budget Information Form” is used to establish the planned budget for the complete effort. It is usually submitted in the application or proposal to provide basic cost information for the assistance award. The cost information provided should represent a well prepared cost plan for the total effort.

(2) General Instructions . (a) Before the “Federal Assistance Budget Information Form” can be completed, the planned schedule or activity should be examined to determine what resources (manpower, materials, and/or facilities) will be required to accomplish the work. The cost of these can be projected against the schedule of activities. The cost can be planned on a monthly, quarterly, or annual basis and totaled on the “Federal Assistance Budget Information Form.” An example of a complete “Federal Assistance Budget Information Form” for projects which do not involve construction or land is shown at Figure II-8. (b) If the major purpose of the effort iS construction, land acqui- sition, or land development, and the application is for $10,000 or greater, the “Federal Assistance Budget Information Form” for construction should be used. This form is shown in Figure II-9. (Note that the example data iS unrelated to the hypothetical training program which does not involve construction.) Otherwise, if the application is for less than $10,000 and does nOt require DOE 1332.2 10-31-83 II-13 Figure II-6 Example Federal Assistance Milestone Plan Figure II-6 (continued) Federal Assistance Milestone Plan (Reverse Side) II-1 4 D O E 1332.2 1 0 -3 1 -8 3 DOE 1332.2 10-31-83 II-15 MILESTONE LOG Pilot Energy Awareness Training Program Program/Project Tit le planned Actual Ident. Description Conpletion Completlon Commnts no. Date Oate l.lA Draft Training Plan Prepared 4-30.81 1.lB Draft Circulated for Comments 5-14-81 I 1.1 App roved Training Plan Completed 5-29-81 1.2A Training Modules Developed 7-10-81 1.28 Registration Materials Designed 7-17-81 1.2C Audio-Visual Aids Designed 7-31-81 1.20 Handouts Designed 7-31-81 I 1.2 All Training Materials Printed 8-31-81 1.3A Training Locations Selected 6-12-81 1.38 Training Scheduled 6-26-81 1.3C Advertising Campaign Developed 7-17-81 1.30 Ads Run in Local Papers 1-08-82 1.3 Training Preparation Completed 1-08-82 Registration Materials 1.4A Received and Sorted . 1-15-82 1.48 Training Sessions Held 1-29-82 1.4 Training Completed 1-29-82 1.5A Evaluation Criteria Established 8-07-82 1.5B Evaluation Survey Conducted 2-05-82 1.5C Evaluation Data Analyzed 3-05-82 1.5 Evaluation Report Prepared 3-31-82 - Figure II-7 Example Milestone Log clearinghouse approval, an environmental impact statement, or the relocation of persons, businesses or farms, the “Federal Assistance Budget Information Form” for nonconstructIon is used (unless the applicant is a State, local or Indian tribal - government in which case OMB Circular A-102 specifies the use a sHort form application”). (3) Discussion of the Example, Figure II-8. (a) Items 1-5. These items display the identifying characteristics of the program/project, (b) Section A - Budget Summary. In this section the total budget is presented for the particular project. Since this project per- tains to a single Federal assistance program with no functional or activity breakdown, only line 1 is used. (c) Section B - Budget Categories. In this section the total budget is presented for each of the cost categories of direct costs with indirect costs computed at a rate-agreed upon at the time of award or, in the case of many recipients, predetermined by a single Federal agency assigned the responsibility of negotia- ting a rate accepted by all Federal Agencies. e. Federal Assistance Management Summary Report (Form EIA-459E) as a Baseline Plan.

(1) Purpose. Although the “Federal Assistance Management Summary Report” is used as a status report, it can be used as a baseline plan as well. As a planning document, it is a concise, top-level summary of Planned costs and schedule. The plan Is presented on a single page in a graphic format with supporting data. The graphic format permits rapid visual comparison of cost and schedule. When the period of performance is 12 months or less, and this form is used as a plan, the “Federal Assistance Milestone Plan” need not be used. (2) General Instructions. (a) The cost graphs are cumulative presentations, which can present 12 months of work. The cost chart permits the planned costs to be shown in quarterly increments. (b) The milestone portion of this report establishes the recipient’s time schedule for accomplishing the planned events and mile- stones for each reporting element identified in the solicita- tion. An example of a completed form when it is being used as a plan is shown as Figure 11-10. II-16 DOE 1332.2 10-31-83 DOE 1332.2 10-31-83 II-17 I I . Figure II-8 Example Federal Assistance Budget Information Form (Non-Construction) II-18 DOE 1332.2 10-31-83 FEDERAL ASSISTANCE WORK INFORMATION FORM INSTRUCTIONS Figure II-8 (Continued) Federal Assistance Budget Information Form (Reverse Side) (Non-Construction) DOE 1332.2 10-31-83 I I - 1 9 FEDERAL ASSISTANCE BUDGET INFORMATION FORM (CONSTRUCTION) , Figure II-9 Federal Assistance Budget Information Form (Construction) II-20 DOE 1332.2 10-31-83 I I I i I FEDERAL ASSISTANCE BUDGET INFORMATION FORM (CONSTRUCTION) INSTRUCTIONS Figure II-9 (Continued) Federal Assistance Budget Information Form (Reverse Side) (Construction) DOE 1332.2 10-31-83 II-21 Figure II-9 (Continued) Federal Assistance Budget Information Form (Construction) II-22 (3) Discussion of the Example, Figure 11-10. (a) Item 3- Reporting Period. When this form is used as a report, this block is used to indicate the reporting period. For programs/projects that are longer than 1 year; the entry in this block corresponds to the planning period in the baseline plan. When the “Federal Assistance Management Summary Report” form is used as a plan and the project is 1 year or less long, the block need not be filled in. If the project is more than 1 year long, and this form is used as a plan, the block should show total project duration. Since this example is only for 1 year, the block has not been filled in. (b) Item 7 - Fiscal Year. Recipient uses this block for the current Government Fiscal Year identification when reporting status. This block is not used when the form is used is a plan. (c) Item 8- Months or Quarters. The time schedule can be identified by months or quarters. In the example, the first quarter of the budget period is identified in the first 3 blocks with “lst”. Note that the quarters are true calendar quarters. The months also are indicated with the first character of the month’s name. (d) Item 9 - Cost Status. The dollar scale is expressed in units of a thousand, as noted. A total dollar value for the budget period is represented by a solid line at the planned ceiling of $295,000. Planned cost figures, entered at the base of the graph in the blocks provided, are cumulative and are entered in the last block for each quarter. On the graph, the quarterly points are plotted at the end of each quarter. For the first quarter, “58” is entered in the “J” column to indicate total planned costs up to the end of the first quarter. A broken line joining the points depicts planned costs over time.

(e) Item 10 - Cost Chart. This section allows the recipient to show the breakout of funds among two to four possible fund sources or by activity as presented on the “Federal Assistance Milestone Plan.” Blocks are provided for total planned and actual costs for each quarter, cumulative to date, and the fis- cal year. A block Is provided to identify the variance between the total planned and total actual costs per quarter. A block is also provided for total planned costs for all project years. (f) Item 11 - Major Milestone Status. The milestones are entered with an identification number and short descriptive title. If appropriate, line entries should show an estimated number of units planned for completion in the column titled “Units Planned/ Units Completed.” The example indicates that 30 seminars are planned to be completed during the project. When quantification of results is not possible, such as for the last milestone “1.5 Prepare Evaluation Report,” no unit measure should be entered. The activity bar indicates the interval of time planned for per- forming the task, using the same schedule shown in item 8, above. DOE 1332.2 10-31-83 DOE 1332.2 II-23 10-31-83 n : a i a i n x . Figure II-10 Example Federal Assistance Management Summary Report as a Baseline Plan DOE 1332.2 10-31-83 F i g u r e I I - 1 0 ( C o n t i n u e d ) Federal Assistance Management Summary Report (Reverse Side) DOE 1332.2 10-31-83 II-25 f. Federal Assistance Program/Project Status Report (Form EIA-459F). (1) Purpose. The “Federal Assistance Program/Project Status Report” is the recipient’s concise narrative assessment of the status of the (2) (3) work. This report is used by DOE management to monitor project status and to provide early recognition of potential problem areas. General Instructions. This report Is used to discuss technical accomplishments, variations from baseline plans or the technical approach, and actual or anticipated problems and actions taken or proposed to resolve them. The recipient also will provide an assess- ment of the current situation Including a forecast of the near future and any impact on project accomplishment. An example of a completed report is shown as Figure 11-11. Discussion of the Example, Figure 11-11. (a) (b) (c) (d) (e) Item 7 - Approach Changes. A brief description of any changes in the work effort should be provided in this section. This would include a description of any technical changes as well as program changes. If more information is necessary, attach additional pages. In the example the box is checked to indicate no changes. Item 8 - Performance Variances, Accomplishments, or Problems. This section should include a discussion of the problems and variances, their causes, and the effects on the project. Any accomplishments during the reporting period should be noted. The example refers to the destruction of the training facilty at one of the selected sites, which has an impact on the train- ing seminars conducted, as well as the costs incurred for those seminars. Item 9 - Open Items. This section is used to discuss any items which have not yet been resolved between the recipient and DOE. In the example, discussion of alternative approaches to resolve the schedule deviation and cost underrun situation are stated. Item 10 - Status Assessment and Forecast. This section of the report allows the recipient to present an analysis of the situ- ation. Proposed solutions and expectations of-future progress- can also be discussed. The example discusses the recipient’s recommendation regarding the open item discussed above.

Item 11 - Description of Attachments. In the example, one copy of each training module and accompanying training aids have been attached. II-26 Figure II-11 Example Federal Assistance Program/Project Status Report DOE 1332.2 10-31-83 DOE 1332.2 10-31-83 II-27 . Figure 11-11 (Continued) Federal Assistance Program/Project Status Report (Reverse Side) II-28 g. Financial Status Report (Standard Form 269). (1) (2) DOE 1332.2 10-31-83 Purpose. The “Financial Status Report” provides information on the status of both Federal and non-Federal funds for all nonconstruction programs and projects. This report provides for separation of the non-Federal share of outlays and unliquidated obligations from the Federal share of funding requirements. (For programs/projects in- volving construction, refer to OMB Circular No. A-102, Exhibit 4, “Outlay Report and Request for Reimbursement for Construction Programs.”) General Instructions. (a) Reported costs may be requested on an accrual basis. If the recipient’s accounting system does not provide costs on an accrual basis, then a best estimate of accrued cost should be accepted. (b) Specific instructions for completion of the report are provided on the forms. An example of a completed report is shown at figure 11-12. (3) Discussion of the Example, Figure 11-12. (a) Item 7 - Basis. The “cash” or “accrual” block should be marked in accordance with program division policy on reporting accrued costs. (b) Item 8- Project/Grant Period. The dates entered in this space are the same as those entered on the “Notice of Financial Assist- ance Award” as completed by DOE. (c) Item 9 - Period Covered by this Report. The dates entered in this space correspond to the time period covered by this report, 7-1-81 to 9-30-81. (d) Item 10 - Status of Funds. The funds expended for the entire work ef fort are reported in this column. The period covered by this report is for the second quarter of the project. The net outlays for the first quarter are entered on line 1Oa ($58,000]. The total outlays for this reporting period are entered on line 1Ob ($83,000). Line 1Oe “Net outlays to date,” is the summation of the net outlays previously reported and this report period ($141 ,000). Line 1Of is the non-Federal share of those outlays. Line 1Ok is the total Federal share of outlays, and line 101 is the Federal share of outlays cumulated to date. Line 1Om is the balance of Federal funds and is the difference between lines 1Ok and 101. DOE 1332.2 10-31-83 II-29 (e) Item 11 - Indirect Expense. The method of calculating indirect cost, as specified in the Federal assistance instrument, Is indicated in this space. This example indicates that there is a predetermined Indirect cost rate of 22 percent and that It Is applied to the total amount of direct costs. (f) Item 12- Remarks. This line allows the recipient to refer to other performance reports for more Information and to specify the applicable budget and reporting number. h. Federal Assistance Management Summary Report (Form EIA-459E) as a Status Report. (1) (2) (3) Purpose. Use of the “Federal Assistance Management Summary Report” as a baseline plan was described earlier. It Is also used as a status report. As such, It provides a concise, top-level summary of performance for cost and schedule against the baseline plan. The data is presented on a Single page in graphic format with supporting data. The graphic format permits rapid visual comparison of cost and schedule. The “Federal Assistance Management Summary Report” form is used to report summary status regardless of the forms used in planning.

General Instructions. The cost graphs are cumulative presentations. The milestone status chart compares planned and actual progress for the same time interval as shown above. Instruction for completing them are provided on the reverse side of each form. An example of completed form when it is being used as a report is shown as Figure 11-13. - Discussion of the Example, Figure 11-13. (a) Item 3- Reporting Period. The reporting period shown in this example is the second quarter, 7-1-81 through 9-30-81. (b) Item 7 - Fiscal Year. The Government fiscal year (FY) is 1981 at the close of the report, 9-30-81, and is therefore identi- fied here by the recipient as FY 81. (c) Item 8- Months or Quarters. The time schedule is identified by month, starting with the first month of the budget period, April. The schedule has also been identified by quarter. (d) Item 9 - Cost Status. The dollar scale is expressed in units of a thousand, as noted. A total dollar line is drawn solidly across the chart to show the budget year’s planned ceiling of $295,000. The planned cost line Is represented by a dashed line. Actual costs are plotted on the graph as a solid line. In the example, actual costs total $141,000 to date and the Figure 11-12 Example Financial Status Report II-30 DOE 1332.2 10-31-83 DOE 1332.2 II-31 10-31-83 Figure 11-12 (Continued) Financial Status Report (Reverse Side) DOE 1332.2 10-31-83 (e) (f) “141” point is plotted on the graph. Please note the planned accrued costs from the same period come to the “147” point on the graph. The graph illustrates a cost underrun. It also shows a projected cost line for future quarters based on the recipient’s experience to date. The projected cost line is shown as a dotted line joining the planned cost line at 12-31-81. The recipient has projected that actual costs will return to planned cost in the next quarter. Item 10 - Cost Chart. This block allows the recipient to dis- play a breakout of funds for the program indicating the contri- buting sources. If there is only one source of funds, the breakout of funds in item 10 should be by activity, as presented in the milestone plan. In the example, funds are provided by DOE and the ACE Utility Company. The planned amount from each source is entered for each quarter. Also the actual funds required from each fund source are shown to date. Total (planned and actual) for each quarter and cumulative to date are entered at the bottom. Note that the total cumulative to date figures (“141” and “147”) correspond to the points plotted on the graph. The variance for both quarters and cumulative to date is also identified. Item 11 - Major Milestone Status. This block tracks progress against significant milestones. Progress is indicated by fill- ing the milestone bars with a solid tone to correspond with the progress achieved during the reporting period. The vertic- al dashed line is a “time now” line and is an indication of the end of the reporting period. The example shows two activities completed, two activities on schedule, and one activity behind schedule. By comparing actual progress to the “time now” line, a quick assessment of schedule status can be made. When the “Federal Assistance Milestone Plan” and “Milestone Log” are also used plans and status shown on this report should correspond. II-32 DOE 1332.2 10-31-83 II-33 Figure II-13 Example Federal Assistance Management Summary Report as a Status Report II-34 DOE 1332.2 10-31-83 Figure 11-13

(Continued) Federal Assistance Management Summary Report (Reverse Side) DOE 1332.2 10-31-83 RESEARCH PROJECT EXAMPLE 1. INTRODUCTION. a. b. c. This example portrays a research grant from DOE project is Intended to establish the Impact, if Attachment II-1 Page II-35 to a university. The any, of the use of four recently developed airfoil designs upon the suppression of blade tip Induced noise in large wind driven generators. The example illustrates the plans and reports which might be submitted on a project of this type. Also included is a discussion of how each plan and report is used in this example. Figures 1-1 and 1-2 are the “Federal Assistance Reporting Checklist” and Reports Distribution List,” respectively. They Illustrate the plans and reports which would be submitted by a recipient of such a research grant and who will be the recipient of those plans and reports. 2. DISCUSSION OF EXAMPLES. a . Federal Assistance Budget Information Form (Form EIA 459-C) (Figure 1-3). (1) Items 1-5. These items display the identifying characteristics of the program/project. (2) Section A - Budget Summary. In this section the total budget is presented for the particular grant program. Since this project pertains to a single Federal grant program with no functional or activity breakdown, only line 1 is used. (3) Section B - Budget Categories. In this section the total budget is presented for each of the cost categories of direct costs with in- direct costs computed at a rate determined by an agreement between the grantee and the grantor or as a result of an audit of the grantee’s operation by the grantor Agency. b. Financial Status Report (Form 269) (Figure 1-4). (1) Item 7. The “cash” or “accrual” block should be marked in accordance with program policy on reporting. (2) Item 8. The dates entered in this space are the same as those entered on the Notice of Financial Assistance Award prepared by DOE. (3) Item 9. The dates entered in the space correspond to the time period covered by this report, 7-1-80 to 6-30-81. Attachment II-1 Page 11-36 (4) Item 10. The total funds expended DOE 1332.2 10-31-83 on the research effort are re-., ported in this section. The-period covered by this report is the c. d. entire life of the project. Therefore, the total costs for this project are entered in line item 1Ob at $113,000. The net outlays this report period (line item 1Od) and the net outlays to date (line Item 1Oe) are equal to the total outlays this report period (line item 1Ob). The total Federal share of outlays to date is entered as line item 1Og also at $113,000. Line Items 1Oh through 1Oj are zero because no other financial commitments have been made to date. Line Item 101 is the total amount of Federal funds authorized and is equal to the total Federal share of outlays (line Item 1Og). Since this report sums all costs on a total project basis, column 1Og is the same as column 1Oa. (5) Item 11. The method of calculating indirect costs, as specified in the Federal assistance instrument, is indicated in this space. This example shows that there is a predetermined indirect cost rate of 40 percent and that it is applied to the total amount of direct costs. (6) Item 12. This line allows the recipient to refer to other perform- ance reports for more information.

Notice of Energy RD&D Project (Form DOE 538) (Figure l-5). The “Notice of Energy RD&D Project” report IS required for all research, development and demonstration efforts except weapon systems. It is submitted shortly after the award is given and updated annually for the duration of the effort. The purpose of this report is to inform the scientific community of research efforts being undertaken. University Contractor, Grantee and Cooperative Agreement Recommendations for Announcement and Distribution of Documents (F orm DOE RA-427) ( Figure This form IS used by the originator of a technical report to Indicate the distribution appropriate for it. DOE 1332.2 Attachment 10-31-83 Page II-37 II-1 U.S. DEPARTMENT OF ENERGY FEDERAL ASSISTANCE REPORTING CHECKLIST ■ Figure 1-1 Example Federal Assistance Reporting Checklist Attachment II-1 Page II-38 Report Distribution List A. B. c. D. E. F. Cassandra L. Dixon Administrative Monitor Office of Conversion Department of Energy, M.S. 153 Washington, D.C. 20585 Jason S. Anderson Program Manager Department of Energy, M.S. 728 Washington, D.C. 20585 Ad D. Beans Financial Officer Department of Energy, M.S. 62 Washington, D.C. 20585 Department of Energy Technical Information Center P.O. B0X 62 Oak Ridge, TN 37830 Sally Lassor Awarding Officer Department of Energy, M.S. 1508 Washington, D.C. 20585 Patent Office Department of Energy Washington, D.C. 20585 DOE 1332,2 10-31-83 Figure 1-2 Example Reports Distribution List DOE 1332.2 Attachment II-1 10-31-83 Page II-39 6 5, Figure 1-3 Example Federal Assistance Budget Information Form Attachment II-1 Page II-40 III i Figure 1-4 Example Financial Status Report DOE 1332.2 10-31-83 DOE 1332.2 10-31-83 Attachment II-1 Page II-41 Figure 1-5 Example Notice of Energy RD&D Project Attachment II-1 Page II-42 J / A Figure 1-5 (continued) Example Notice of Energy RD&D Project (Page 2) DOE 1332.2 10-31-83 DOE 1332.2 10-31-83 Attachment II-1 Page II-43 (and II-44) Figure 1-6 Example Recommendations for Announcement and Distribution of Documents - . Attachment 11-2 Page II-45 SUGGESTED FEDERAL ASSISTANCE SOLICITATION DESCRIPTION OF THE UNIFORM REPORTING SYSTEM FOR FEDERAL ASSISTANCE 1. INTRODUCTION. d. b. c. Purpose. The uniform reporting system for Federal assistance iS a set of standard forms and procedures for communicating plans and reporting the conduct and results of DOE assisted activities. Recipients of DOE grants and parties to DOE cooperative agreements are required to provide DOE with the necessary minimum level of information, through the use of selected forms, to enable DOE to carry out its fiscal accountability and program responsibilities. Reporting Objectives. Both planning and performance information Is provided to the E program manager through submission of the selected plans and reports. Planning data depicted In the baseline planning forms provide a summary level cost and schedule baseline against which perform- ance data can be compared to ensure the responsible administration of Federal assistance programs. Performance data collected provide measures of program status and results achieved.

Reporting Requirements. The scope and level of detail of baseline infor- mation and the frequency and nature of performance reporting have been determined by the program manager. Proposed reporting requirements are identified in the solicitation, Copies of the baseline plan forms required for this program also are included as part of the application package. The final selection of required reports will be specified In the “Federal Assistance Reporting Checklist” incorporated In the award instrument. The determination of the reports required was made in con- sideration of the type of activity being assisted, the duration and complexity of the anticipated effort, probable amount of award funding, and relevant office of Management and Budget guidelines. (1) Baseline, status, and technical reports proposed as requirements for this program are described on the following pages. (2) A complete description of reports is available in the “DOE Uniform Reporting System for Federal Assistance (Grants and Cooperative Agreements) Guidelines,” (DOE/MA-001) available from the DOE Technical Information Center, Secondary Distribution, P.O. Box 62, Oak Ridge, TN 37830. 2. BASELINE PLANS. a. Federal Assistance Management Summary Report (Form EIA-459E). This report is a single page form on which the applicant enters projected cost and activity data. The cost data to be entered must depict projected total DOE 1332.2 10-31-83 Attachment II-2 Page II-46 DOE 1332.2 10-31-83 costs for the life of the project on at least a quarterly basis. The activity data required is a delineation of the project’s majorr milestones and bar charts displaying the projected schedule for attainment of these milestones. This form is used for both the baseline plan when required - and for project status reporting. b. Federal Assistance Milestone Plan (Form EIA 459B). The milestone plan Is used to portray the major milestones of the proposed project in bar chart format. “ It covers the-life of the project and is to be organized by major project activities, such as those performed at work breakdown struc- ture level 2. It is accompanied by the Milestone Log which lists the events and milestones depicted on the Federal Assistance Milestone Plan. c. Federal Assistance Budget Information Form (Form EIA 459C). The “Federal Assistance Budget Information Form” is to be used by the applicant to provide summary level data on the proposed project total budget. The total project budget is broken down into Federal and non-Federal funds for each major activity. A second breakdown of the total budget for each major activity by object class of expenditure (i.e., personnel or travel) also is requested. d. Federal Assistance Budget Information Form (Construction) (Form 459D). The Budget Information Form” for construction is to be used by the appli- cant to provide summary level data on the proposed project total budget. The total product is broken down by cost classification. Space is provided for listing those parts of the project not subject to Federal participation and for showing the proposed method of financing the non-Federal share. 3. STATUS REPORTS. a. Federal Assistance Management Summary Report (Form EIA 459E). This report is a single page form on which the applicant provides summary cumulative cost and activity data for each reporting period. More detailed instruc- tions are on the back of the form.

b. Federal Assistance Program/Project Status Report (Form EIA 459F). This report is a single page form on which the award recipient enters brief narrative discussion-of the following topics: approach changes; performance variances, accomplishments, or problems; open items; and status assessment and forecast. Each of these topics is addressed, as appropriate, for a given reporting period and the report is submitted periodically, as required, during the life of the project. c. Financial Status Report (Standard Form 269). This form is used to provide with regular periodic accounting of project funds expended. The accounting may be on either a cash or accrual basis. Actual total expenditures and obligations incurred, but not paid, are reported for each reporting period for each major activity. They should correlate with those identified on the “Federal Assistance Milestone Plan" when the “Federal Assistance Milestone Plan” is used. Provision is made to iden- tify the Federal and non-Federal share of project outlays for each identified activity. DOE 1332.2 Attachment 11-2 10-31-83 Page II-47 4. TYPES OF TECHNICAL REPORTS. a. b. c. d. e. f. Technical Progress Report. This report summarizes the work performed — during a specific reporting period. It will include the technical and scientific results achieved. This report is required at least once during the fiscal year on RD&D projects. More frequent sub- missions, when required, will be Identified on the “Reporting Require- ments Checklist.” Topical Report. This report provides a comprehensive statement of the technical results of the work performed for a specific task or phase of the contract, or reports detailing significant new scientific or technological advances. Final Technical Report. This report is required on all RD&D contracts/ agreements upon completion of the contract/agreement. It provides a technical accounting of the total work performed on the contract. It is a comprehensive description of the results achieved and will Include, to support the investigations undertaken, tabulations of data, figures, photographs, and other bibliographic citations. It summarizes all topical reports and technical progress reports where applicable. The report will include the original hypotheses of the project and present the Investigative approaches used, complete with problems encountered or departures from the planned methodology, and an assessment of their impact on the project results. The report format should contain an executive summary of the contents followed by a project summary. The main body should include, where applicable, facts, figures, analyses, and assumptions used during the life of the project to support the conclusions and recommendations. Appendices containing detailed computations and other reference materials may be included. Journal Articles. Publication in open literature is desirable. When DOE requires a prepublication review and patent clearance, copies of the proposed article must be provided to DOE as identified in the “Reporting Requirements Checklist” special instructions section. Conference Papers. Participation at conferences related to the contrac- tor’s mission Is encouraged; however, papers to be presented must be submitted to DOE for review and patent clearance prior to presentation. Requirements for submission of papers will be specified in the special instructions section of the “Reporting Requirements Checklist.”

Other Technical Reports/Publications. Requirements for other types of technical reports/publications, such as books, theses, translations, and computer software with scientific applications, will be specified in the solicitation or contract. Copies of these will be provided to DOE for prepublication review and necessary clearances In accordance with the special instruction section of the “Reporting Requirements Checklist.” Attachment II-2 Page II-48 DOE 1332.2 10-31-83 g. Notice of RD&D Project (Form DOE 538). This report is required for all operated sites that conduct research and development activities and all contractors performing research who are subject to the uniform reporting system. 111-1 CHAPTER III TECHNICAL INFORMATION REPORTING - 1. GENERAL. a. ScIentific and technical Information called for or developed under this Order Is used by program managers In their technical performance evalua- tions. Scientific and technical information developed during work sup- ported by DOE shall be reported promptly and fully to the Department’s Technical Information Center (TIC) located in Oak Ridge, Tennessee, for inclusion in DOE’S information data base; and, as security, patent, and other DOE policy considerations permit, to be made available to the scientific, technical, and industrial communlties, and to the public through approved channels. The Technical Information Center is the Department’s centralized facility for the management of scientific and technical information developed by DOE and is responsible for developing, designing, implementing, and evaluating Departmentwide systems and pro- grams to effectively manage and disseminate the technical results of the Department’s research and development programs. b. When a grant is expected to result in the production of scientific and technical information, grantees shall be required to submit at least a “Notice of Energy RD&D Project” (DOE Form 538) and a final technical report. c. The publications listed below provide detailed information concerning the reporting and dissemination of scientific and technical information. Implementation procedures for managing the Department’s scientific and technical information formerly contained in this Order will be expanded and issued separately by the Technical Information Center in the near future. (1) (2) (3) (4) (5) DOE 1340.lA, MANAGEMENT OF PUBLIC COMMUNICATION PUBLICATIONS, AND SCIENTIFIC, TECHNICAL, AND ENGINEERING PUBLICATIONS. DOE 1430.1, MANAGING THE DEPARTMENT OF ENERGY’S SCIENTIFIC AND TECHNICAL INFORMATION. DOE/TIC-4500, STANDARD DISTRIBUTION FOR UNCLASSIFIED SCIENTIFIC AND TECHNICAL REPORTS. . M-3679, STANDARD DISTRIBUTION FOR CLASSIFIED SCIENTIFIC AND TECHNICAL REPORTS. DOE/TIC-4600, DOE TECHNICAL INFORMATION CENTER, ITS FUNCTION AND SERVICES. 111-2 DOE 1332.2 10-31-83 2. SELECTION OF TECHNICAL REPORTS. a. The solicitation will describe the general technical reporting require- ments that are expected for grants or cooperative agreements. The DOE program manager will determine which reports will be required, their frequency of submission, and their distribution within DOE based on the scope of the grant or cooperative agreement. Descriptions of the reports are included In Attachment 1. Figure III-1 presents suggested DOE dis- tribution and submission frequency for technical reports. These require- ments are recorded on the “Federal Assistance Reporting Checklist,” and the ’appropriate addressees for distribution are noted on list.

b. When determining the reporting requirements, the program consider: the distribution manager should (1) Federal Government policy to the extent that the type and frequency of reports should be the minimum necessary to permit DOE to meet its responsibilities effectively. (2) Other pertinent policies and directives of DOE such as the publica- tions listed in paragraph 1c. (3) Applicable policies, directives, and criteria established by the responsible DOE organization, such as the program division. (4) Personal knowledge of the nature and scope of the technical work to be performed, and an assessment of the rate at which technical in- formation will be developed, become available, and be disseminated. (5) The Department's requirements that a technical progress report and a “Notice of Energy RD&D Project” must be submitted at least once each year, and that a final technical report be submitted at the completion/terminati on of all research, development, and demonstra- tion grants/cooperative agreements. For projects one year or less in duration only a final technical report is submitted. c. At least two full-size copies of the scientific and technical reports are required for TIC. Both copies must be suitable for reproduction and microfiching. The program manager shall ensure that if organizations print scientific or technical reports for their own use, a sufficient number of copies are also printed for standard distribution. d. Distribution other than the standard distribution shall be coordinated with TIC. Standard distribution and other distribution coordinated with TIC is referred to as official distribution. III-3 (and III-4) , Figure III-1 Frequency and Distribution of Technical Reports DOE 1332.2 10-31-83