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A (As necessary)........Within 5 calendar days after event.
F (Final)....... Within 90 days of the end of performance on

the Federal assistance effort.

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..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.

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(2) Other status reports should be submitted to the DOE program manager

or to an appropriate addressee in the program organization.

(3) The technical report 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 11-2 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.

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!A Motice of Emery Mero est de submitted at the beginning of each project year. Tout 1348.1)

Figure 11-2
Selection Guides for Plans and Reports

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, 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

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 11-3 and 11-4.

(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 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.

2.

HOW TO PREPARE PLANS AND REPORTS.

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.

10-31-83

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1. loentification Number: Cooperative

2. Program Project Title: Pilot Energy Agreement CE-FC-01-OORA1234

Awareness Training Program 3. Recipient:

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

Frequency No. of copies Addressees PROGRAMIPROJECT MANAGEMENT REPORTING

frown Assistance Milestone Men

X, Y

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Financw Status Recon. OMD form 280

A, B, C

TECHNICAL INFORMANON REPORTING

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FREQUENCY CODES AND OUE DATES.

A As Necture withm Scriends om one wong.
f. Final 90 cuenos dun she the portormance of mo otton nou
O Querleriy, mihin on ano mg of clonou querer o ponton menol.
O One nime one prorect sans within 30 con ane mua.
* Required with DVODOwns or with the application or min significant dienning changes
Y. Yearly, 30 don one the end of program na Financial Status Reports 90 am.
S · Semiannully, within 30 om mu mo of program finca nera nou

5. Special Instructions:

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

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

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

or portion thereof.".
For y subs:itute "budget period" for "program year."
For s substitute "budoet period" for "program fiscal."

6. Prepared by: (Signature and Dates 1.5/90 7. Reviewed by: (Signature and Dare) mi |:. ;. No ceworery ..i utem cutul m. B. Smith ? ...ni

Figure 11-3
Example Federal Assistance Reporting Checklist

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