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10-31-83

b.

Government Printing Regulations. All reports described herein are subject to 44 U.S.C. and the "Government Printing and Binding Regulations" of the Joint Committee of the Congress of the United States. Additionally, all reports are subject to DOE 1340.1A.

c. Applicability to Other Government Agencies. The reports herein have been

cleared in accordance with 41 CFR 101-11.11.

d. Paperwork Reduction Act. The information collection requirements con

tained herein have been cleared through 12-31-33 by the Office of Manage-
ment and Budget (OMB No. 1901-0261.) Action is underway within the
Department to obtain the necessary subsequent clearance for this infor-
mation collection, in accordance with section 3504 (n) of the paperwork
Reduction Act, 44 U.S.C. 3501, et. seq., and procedures implementing
that Act, Title 5 CFR 1320.1, et. seq.

e.

Forms Supplies. Forms herein are available on request from:

U.S. Department of Energy
Technical Information Center
Secondary Distribution
P.0. Box 62
Oak Ridge, TN 37830

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10—

CHAPTER 11

PROGRAM MANAGEMENT REPORTING

1.. HOW TO SELECT PLANS AND REPORTS.

General. When establishing a reporting requirement, each of the following factors should be jointly considered:

(1) 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.

(2) 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.

(3) The Program Legislation, Federal Regulations, and Guidance. Some DOE

program legislation requires specific reporting, controls, and procedures. Program managers and assistance recipients must abide by the statutory and regulatory terms of the program to ensure the collection of essential information.

(4) The Significance of the Effort. High interest by the public, con

gress, or the Administration will require current and timely information on performance.

(5)

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-l unless otherwise specified
in the award documentation:

DOE 1332.2 10-31-83

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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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

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 11-2. 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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