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5. REFERENCES.

a.

OMB Circular A-40, "Clearances of Public Reporting and Recordkeeping Requirements under the Federal Reports Act," of 5-3-73, as amended, which establishes policy and promulgates regulations to assure continuing effective management of Federal reporting requirements.

b. OMB Circular A-102, "Uniform Administrative Requirements for Grants-in-Aid

to State and Local Governments," of 9-12-77, as amended, which promulgates standards for establishing consistency and uniformity in the administration of grants to State, local, and Indian tribal governments.

c.

OMB Circular A-110, "Grants and Agreements with Institutions of Higher Education, Hospitals, and Other Nonprofit Organizations,“ of 7-30-76, as amended, which promulgates standards for obtaining consistency and uniformity in the administration of grants to, and other agreements with, public and private institutions of higher learning and hospitals, and other quasipublic and private nonprofit organizations.

d.

DOE 1340.1A, MANAGEMENT OF PUBLIC COMMUNICATIONS PUBLICATIONS AND SCIENTIFIC, TECHNICAL, AND ENGINEERING PUBLICATIONS, of 8-25-82, which prescribes policies, standards, and procedures for effective management of DOE publications.

DOE 1430.1, MANAGING THE DEPARTMENT OF ENERGY'S SCIENTIFIC AND TECHNICAL INFORMATION, of 2-23-83, which defines DOE's responsibility for managing scientific and technical information developed in the Department's research and development programs.

f. DOE 4600.1, FINANCIAL ASSISTANCE PROCEDURES MANUAL, of 6-10-82, which

describes processes and procedures for administering financial assistance award and administration.

g. DOE 5700.4, PROJECT MANAGEMENT SYSTEM, of 1-8-81, which provides detailed

guidance and procedures on implementation of the project management system. It sets forth the principles and requirements which govern the development, approval, and execution of DOE's major system acquisitions and major projects.

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Title 5 V.S.C. 552()(4), "Freedom of Information Act," of 7-4-66, as amended, which exempts trade secrets and commercial or financial information which is privileged and confidential from public disclosure.

i. Title 5 CFR 1320, "Controlling Paperwork Burdens on the Public," which

serves as the implementing regulation for Public Law 96-511, "Paperwork
Reduction Act of 1980," and directs the identification and clearance of
information collections levied on the public, including contractors,
State and local government units, and persons who perform services for the
Department on an individual basis.

j. Title 44 U.S.C., "Public Printing and Documents," of 10-22-68, which establishes

laws related to public printing and documents, including Government Printing Office and other agency efforts, for both in-house and contract efforts.

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1.

Title 10 CFR 600, "DOE Financial Assistance Rules," of 10-5-82, which codify, implement, and publish uniform assistance policies and selected procedures applicable to the award and administration of DOE grants and cooperative agreements.

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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 information 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 for Federal assistance are

to:
(1) Provide the tools for obtaining essential Federal assistance manage-

ment information,

(2) Meet the information needs of several DOE organizations with a minimum

number of reporting requirements;

(3) Establish uniform procedures, forms, and terminology for collecting

and inteyrating the minimum data required by DOE to manage and monitor its Federal assistance awards;

Consolidate and eliminate duplicate forms and requirements that now exist in the Department and overlap the information collection requirements of this Order; and

(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

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(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 RequestAuthorization," 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) Ensure that all Federal assistance solicitations contain refer

ence to this Order's requirements.

(b) 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.

(c) Ensure that requests for non-standard management reporting

requirements are coordinated with the Director of project and Facilities Management.

(d) 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.

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3 Review and approve for implementation all non-standard

management reporting requirements forwarded by the Director 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 reporting system for
federal assistance.

d. Contracting Officers (Awarding Officers) shall:
(1) Ensure that all Federal assistance solicitations contain reference

to this Order's requirements.

(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.

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