Page images
PDF
EPUB

DOE 1332.2 10-31-83

2.

11-5 II-5 11-8 II-10 Il-11

II-12 II-13 11-15

II-16

11-17

11-19

How to prepare Plans and Reports.... a.

General..... b. Structuring of Reporting Elements....

Figure II-5 Example Work Breakdown Structure............. C.

Federal Assistance Milestone Plan (Form EIA-459B)...
.
d.

Federal Assistance Budget Information Forms (EIA-459C and
EIA-459D.....

Figure 11-6 Example Federal Assistance Milestone Plan....

Figure 11-7 Example Milestone Log... e. Federal Assistance Management Summary Report (Form EIA-459E) as a

Baseline Plan...

Figure 11-8 Example Federal Assistance Budget

Information Form (Non-Construction).
Figure 11-9 Example Federal Assistance Budget

Information Form (Construction).....
Figure II-10 Example Federal Assistance Management

Summary Report as a Baseline Plan......
Federal Assistance Program/Project Status Report (Form EIA-459F).

[ocr errors]

II-23
II-25

Figure 11-11 Example Federal Assistance Program/

Project Status Report..... g. Financial Status Report (Standard Form 269).. n. Federal Assistance Management Summary Report (Form EIA-459E)

as a Status Report....

Figure 11-12 Example Financial Status Report...
Figure II-13 Example Federal Assistance Management

Summary Report as a Status Report....
Attachment II-1 - Research Project Example....
Attachment 11-2 - Suggested Federal Assistance Solicitation

Description of the Uniform Reporting System for
Federal Assistance...

11-26
II-28

II-29
11-30

II-33
II-35

II-45

CHAPTER III-TECHNICAL INFORMATION REPORTING

1. General...
2. Selection of Technical Reports....

Figure III-l Frequency and Distribution of Technical

Reports..

III-1
III-2

III-3

(

10-31-83

CHAPTER I

INTRONUCTION

1. SYSTEM FEATURES. Primary features are: a. 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 recipient is encouraged to discuss the requirements before the time of award in order to ensure that they are appropriate.

d.

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.

[blocks in formation]

This Order contains the plans and reports of the system. Figure 1-1
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
programi liianagement forins 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 assistance recipient. The information needs of other DOE offices, such as Controller and the awarding office, also should be considered.

[merged small][merged small][merged small][merged small][merged small][merged small][ocr errors][merged small][merged small][merged small][merged small][ocr errors][merged small][ocr errors][merged small][merged small][merged small][ocr errors][merged small][merged small][merged small][merged small][merged small][merged small]

10-31-83

10-31-83

(1)

Tables which appear in Chapter II have been developed to indicate those plans and reports which are usually appropriate for differ. ent types of activities.

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.

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 11-2, for exceptions); program status reports
may be required depending on the nature of the activity.

DOE 1332.2
10-31-83

f.

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.

9.

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 exemption statement) is shown on the re-
porting requirement document and related forms.

3.

KEY DEFINITIONS. See Attachment 1 for additional definitions.
a. Federal Assistance. Federal assistance is the transfer of money, pro-

perty, services, or anything of value to a recipient in order to ac-
complish a public purpose of support or stimulation authorized by
Federal statute, rather than acquisition, by purchase, lease, or bar-
ter, of property or services 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.

[ocr errors]
« PreviousContinue »