Page images
PDF
EPUB

10-31-83

Page 11-45

SUGGESTED FEDERAL ASSISTANCE SOLICITATION

DESCRIPTION OF THE UNIFORM REPORTING SYSTEM

FOR FEDERAL ASSISTANCE

1.

INTRODUCTION.

Purpose. The uniform reporting system for Federal assistance is a set of standard forms and procedures for communicating plans and reporting the conduct and results of DOE assisted activities. Recipients of DOE grants and parties to DOE cooperative agreements are required to provide DOE with the necessary minimum level of information, through the use of selected forms, to enable DOE to carry out its fiscal accountability and program responsibilities.

b. Reporting Objectives. Both planning and performance information is

provided to the DOE program manager through submission of the selected plans and reports. Planning data depicted in the baseline planning forms provide a summary level cost and schedule baseline against which performance data can be compared to ensure the responsible administration of Federal assistance programs. Performance data collected provide measures of program status and results achieved.

C.

Reporting Requirements. The scope and level of detail of baseline infor-
mation and the frequency and nature of performance reporting have been
determined by the program manager. Proposed reporting requirements are
identified in the solicitation. Copies of the baseline plan forms
required for this program also are included as part of the application
package. The final selection of required reports will be specified in
the "Federal Assistance Reporting Checklist" incorporated in the award
instrument. The determination of the reports required was made in con-
sideration of the type of activity being assisted, the duration and
complexity of the anticipated effort, probable amount of award funding,
and relevant Office of Management and Budget guidelines.

(1) Baseline, status, and technical reports proposed as requirements

for this program are described on the following pages.

(2) A complete description of reports is available in the "DOE Uniform

Reporting System for Federal Assistance (Grants and Cooperative
Agreements) Guidelines," (DOE/MA-001) available from the DOE
Technical Information Center, Secondary Distribution, P.0. Box 62,
Oak Ridge, TN 37830.

[blocks in formation]

a.

Federal Assistance Management Summary Report (Form EIA-459E). This report is a single page form on which the applicant enters projected cost and activity data. The cost data to be entered must depict projected total

Page 11-46

10-31-83

costs for the life of the project on at least a quarterly basis. The
activity data required is a delineation of the project's major milestones
and bar charts displaying the projected schedule for attainment of these
milestones. This form is used for both the baseline plan when required
and for project status reporting.

b.

Federal Assistance Milestone Plan (Form EIA 459B). The milestone plan is
used to portray the major milestones of the proposed project in bar chart
format. It covers the life of the project and is to be organized by
major project activities, such as those performed at work breakdc.si struc-
ture level 2. It is accompanied by the Milestone Log which lists the
events and milestones depicted on the Federal Assistance Milestone Plan.

C.

Federal Assistance Budget Information Form (Form EIA 459C). The "Federal
Assistance Budget Information Form" is to be used by the applicant to
provide summary level data on the proposed project total budget. The
total project budget is broken down into Federal and non-Federal funds
for each major activity. A second breakdown of the total budget for
each major activity by object class of expenditure (i.e., personnel or
travel) also is requested.

d.

Federal Assistance Budget Information Form (Construction) (Form 459D).
The "Budget Information Form" for construction is to be used by the appli-
cant to provide summary level data on the proposed project total budget.
The total product is broken down by cost classification. Space is provided
for listing those parts of the project not subject to Federal participation
and for showing the proposed method of financing the non-Federal share.

[blocks in formation]

a.

Federal Assistance Management Summary Report (Form EIA 459E). This report is a single page form on which the applicant provides summary cumulative cost and activity data for each reporting period. More detailed instructions are on the back of the form.

b.

1

Federal Assistance Program/Project Status Report (Form EIA 459F).
This report is a single page form on which the award recipient enters
brief narrative discussion of the following topics: approach changes;
performance variances, accomplishments, or problems; open items; and
status assessment and forecast. Each of these topics is addressed, as
appropriate, for a given reporting period and the report is submitted
periodically, as required, during the life of the project.

C.

Financial Status Report (Standard Form 269). This form is used to provide
DOE with regular periodic accounting of project funds expended. The
accounting may be on either a cash or accrual basis. Actual total
expenditures and obligations incurred, but not paid, are reported for
each reporting period for each major activity. They should correlate
with those identified on the "Federal Assistance Milestone Plan" when the
"Federal Assistance Milestone Plan" is used. Provision is made to iden-
tify the Federal and non-Federal share of project outlays for each
identified activity.

[ocr errors]

10-31-83

Page 11-47

4. TYPES OF TECHNICAL REPORTS.

Technical Progress Report. This report summarizes the work performed
during a specific reporting period. It will include the technical
and scientific results achieved. This report is required at least
once during the fiscal year on RD&D projects. More frequent sub-
missions, when required, will be identified on the "Reporting Require-
ments Checklist."

b. Topical Report. This report provides a comprehensive statement of the

technical results of the work performed for a specific task or phase of the contract, or reports detailing significant new scientific or technological advances.

Final Technical Report. This report is required on all RD&D contracts/
agreements upon completion of the contract/agreement. It provides a
technical accounting of the total work performed on the contract. It is
a comprehensive description of the results achieved and will include, to
support the investigations undertaken, tabulations of data, figures,
photographs, and other bibliographic citations. It summarizes all
topical reports and technical progress reports where applicable. The
report will include the original hypotheses of the project and present
the investigative approaches used, complete with problems encountered or
departures from the planned methodology, and an assessment of their
impact on the project results. The report format should contain an
executive summary of the contents followed by a project summary. The
main body should include, where applicable, facts, figures, analyses,
and assumptions used during the life of the project to sup the
conclusions and recommendations. Appendices containing detailed

computations and other reference materials may be included. d. Journal articles. Publication in open literature is desirable. When

DOE requires a prepublication review and patent clearance, copies of the proposed article must be provided to DOE as identified in the "Reporting Requirements Checklist" special instructions section.

e.

Conference Papers. Participation at conferences related to the contractor's mission is encouraged; however, papers to be presented must be submitted to DOE for review and patent clearance prior to presentation. Requirements for submission of papers will be specified in the special instructions section of the "Reporting Requirements Checklist."

f. Other Technical Reports/Publications. Requirements for other types of

technical reports/publications, such as books, theses, translations, and computer software with scientific applications, will be specified in the solicitation or contract. Copies of these will be provided to DOE for prepublication review and necessary clearances in accordance with the special instruction section of the "Reporting Requirements Checklist."

Page 11-48

10-31-83

g. Notice of RD&D Project (Form DOE 538). This report is required for all

DOE operated sites that conduct research and development activities and all contractors performing research who are subject to the uniform reporting system.

« PreviousContinue »