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!! A Morice of Emerso Metso must be submitted at ene Deyinning of each project yeur. Roue 1300.1)

Figure 11-2
Selection Guides for Plans and Reports



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, will 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


(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 11-3 and 11-4.


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 11-2, 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.



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 add'-sses different aspects of performance, the following data elements are common to all the tortas.

The award number as it

(1) Program/Project Identification Number.

appears on the award, if available.


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omOvan 1. loentification Number: Cooperative

2. Program Project Title: Pilot Energy Agreement CE-FC-01-O0RA1234

Awareness Training Program 3. Recipient:

Ace litility Comoany, Utopia, Illinois 4. Reporting Requirements:

Frequency No. of Copies Addresszes

X, Y

Brown Anance Milestone Mm

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Finance Status Recon. OMB Form 2009

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No :echnical reports are required due to the nature of this program.


A final narrative report summarizing accomplishments and evaluating
the program is due c0 days after the program ends.


For o substitute "budget period quarter" for "calendar Quarter

or portion thereof."
For y subsiitute "budoe: period" for "program year."
For substitute "budoet period" for "program fiscal."

6. Prepared by: (Signature and Date: 4.5/5.
.. Notewor!". inutenesty

7. Reviewed by: (Signature and Date)

4. B. Smith 37

Figure 11-3
Example Federal Assistance Reporting Checklist




This form serves to identity plans and reports selected by DOE as reponing requirements for the Federal Assistance Program/Project.


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hem 1 Enter the program /project identification number as it appears in the official award
hem 2 Enter the program/project description as it appears in the official award
hem 3 Enter the name of the recipient.
hem 4 Check spaces to indicate plans and repons selected. For each repon checked, indi.

core frequency of delivery in column provided using one of the frequency of deliv.
ery codes as shown, as well as the number of copies requested and to whom they
should be seni.
Federal Assistance Milestone Plan presents, with the accompanying Milestone
Log. a schedule of the planned activity.
Federal Assistance Budget Information Form presents the planned costs.
Federal Assistance Management Summary Report - registers planned progress
and costs 10 actual progress and costs in a capsulized format.
Federal Assistance Program/Project Status Repon periodically repons project
status. explains variances and problems, and discusses any other areas of concern
or achievements.
Financial Status Report, OMB Form 269 presents the status of tunds commined
to the project.
Notice of energy R&D Project provides information on unclassified DOE RED
Project for dissemination to the scientific, technical, and industrial communlies and
to the public. Also provides information to the Smithsonian Information Exchange
and to the DOE Technical Information Center.
Technical Progress Repon periodically reports progress and/or results of DOE
SUpponed R&D and scientific projects covering a specific reponing period
Topical Report presents the technical results of work performed on a specific
phase of a project.
Final Technical Report presents a technical accounting of the total work perform

ed on a project..
Frequency Codes · Each code represents a specific reponing frequency (such as Quanerty!

These time periods are suggested in the program announcemeni and negotiated at

the time of the award. hem 5 Identity any special reponing requiremenis or instructions not identified in Item 4.

(Use additional sheets as necessary...
hem 6 - Signature of person preparing the checklist and the date prepared. Preparation is by

Derson responsible for program solicitation.
hem 7 Signature of the person reviewing the checklist and dare reviewed.

Figure 11-3 (Continued)
Federal Assistance Reporting Checklist (Reverse Side)

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(2) Program/Project Title. The official title as it appears in the

award, if available. Otherwise the title should be short and


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.


Structuring of Reporting Elements. A major facet of management is identifying 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.

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