This FARC Tip Sheet provides guidance on Federal Assistance Reporting requirements specific to IIJA and IRA awards. It outlines which reports apply to different award types, their required submission frequency, and details the new IIJA and IRA reporting forms, including when to use fewer familiar forms. |
Section I. Project Management Reporting
| Report | Required for... | Frequency | Note/Examples |
|---|---|---|---|
| A. Performance Report – Narrative (PRN) | ALL | Quarterly (Q) | |
| B. Performance Report – Quantitative (PRQ) | ALL | Quarterly (Q) | |
| C. Financial Report (SF-425) | ALL | Quarterly & Final (Q, F) | |
D. Scientific and Technical Reporting
| ALL | As Specified & Post-Project (A5, P) | Recipients are not required to produce the Scientific and Technical products listed, but if they are produced during and/or after the award, they must be submitted to E-Link. |
E. Intellectual Property (IP) Reporting
| ALL | As Specified & Post-Project (A5, P) | Recipients are not required to produce IP, but if it is produced during and/or after the award, they must submit IP reports to iEdison. |
| F. Project Management Plan (PMP) | Use at program discretion | As Specified (A5) | It is a best practice to require a PMP for demonstration-scale or commercial-scale projects. |
| G. Special Status Report | ALL | As Specified (A5) | |
| H. Continuation Application | ALL awards with more than one budget period | As Specified (A5) | |
| I. Other Project Management Reporting | Use at program discretion | Up to program discretion | If you use this field, provide specific deadlines/descriptions, which will be displayed in the “Special Instructions” section on page 2 of the FARC. Refer to Special Instructions for examples and guidance. |
Section II. Award Management Reporting
| Report | Required for... | Frequency | Notes/Examples |
|---|---|---|---|
| A. Current and Pending Support | ALL | As Specified (A5) | This requirement is mandatory for all covered individuals as defined in the Terms. |
| B. Demographic Reporting | ALL | As Specified (A5) | This report is mandatory for Principal Investigators (PI) and Business Contacts. |
| C. Financial Conflict of Interest Report | ALL | As Specified (A5) | |
D. Tangible Personal Property Report – Annual Property Report (SF-428 & SF-428A) | Awards with federally owned property | Yearly (Y) | |
| E. Tangible Personal Property Report – Disposition Request/Report (SF-428 & SF-428C) | ALL | As Specified (A5) | Recipient must use this form to request disposition instructions or to report disposition of federally owned property or equipment acquired with project funds at any time other than award closeout (i.e., at any time throughout the life of the project or after closeout, if the federal government retains an interest in the item). |
| F. Uniform Commercial Code (UCC) Financing Statements | Award must meet two conditions:
| As Specified (A5) | Mark “A5” because this report is only applicable if a for-profit recipient or for-profit subrecipient purchases equipment. |
| G. Federal Subaward Reporting System (FSRS) | Awards with first tier subrecipients (not vendors) > $30K | As Specified (A5) | The prime recipient is required to file a Federal Funding Accountability and Transparency Act sub-award report by the end of the month following the month in which the Prime Recipient awards any sub-grant greater than or equal to $30,000 at time of award or as a result of a modification. |
| H. Annual Incurred Cost Proposal | All recipients with awards reflecting segregated indirect cost billing rates | Y180 | Must be submitted to the cognizant federal agency; not required if indirect billing rates are predetermined or fixed, or the de minimis rate has been elected. The end of the period of the performance, or closure of an award, does not dismiss this reporting requirement. |
| I. DOE For-Profit Compliance Audit | All for-profit recipients | Other (O) | Per 2 CFR 910.501 (soon to be updated to align with 2 CFR 200), the threshold for this requirement is $1 million or more expended during the non-federal entity's fiscal year in DOE awards. The end of the period of the performance, or closure of an award, does not dismiss this reporting requirement. |
| J. Single Audit: Non-Profits, Universities, State, Local and Tribal Governments | Non-Profit, Universities, States, Local Gov’t and Tribal Gov’t recipients | Other (O) | Per 2 CFR 200.501, the threshold for this requirement is $1 million or more expended during the non-federal entity’s fiscal year in Federal awards. The end of the period of the performance, or closure of an award, does not dismiss this reporting requirement. |
| K. Other Award Management Reporting: Trafficking of Persons | Award must meet two conditions:
| Yearly (Y) | Required for all awards after October 1, 2024, made to:
And when the value of services to be performed under the award that are outside of the United States is more than $500,000.
|
| L. Other Award Management Reporting | Use at program discretion | Up to program discretion | If you use this field, provide specific deadlines/descriptions, which will be displayed in the “Special Instructions” section on page 2 of the FARC. Refer to Special Instructions for examples and guidance. |
Section III. Closeout Reporting
| Report | Required for... | Frequency | Notes/Examples |
|---|---|---|---|
| A. Final Scientific/Technical Report | ALL | Final (F) | ALL final reports must be submitted to DOE Office of Scientific and Technical Information (OSTI) through E-Link. |
| B. Invention Certification (DOE F 2050.11) | RDD&D | Final (F) | DO NOT include invention certification requirement for non-RDD&D (e.g., education/outreach) awards. |
| C. Tangible Personal Property Report – Final Report (SF-428 & SF-428B) | ALL | Final (F) | This report is required for all awards, regardless of whether the initial budget proposes equipment. For awards that do not initially propose equipment, this ensures the final property reporting requirement is captured, if recipients decide they need equipment later during the project. |
| D. Verification of Receipt of Accepted Manuscripts | ALL | Final (F) | As part of the closeout process, DOE verifies that all accepted manuscripts of journal articles (when produced) have been submitted to E-Link. Recipients are required to submit all missing accepted manuscripts before closeout is finalized. |
| E. Other Closeout Reporting | Use at program discretion | Up to program discretion | Any special Program Office requirements related to closeout, (e.g., if you want to require a draft of the Final Technical Report prior to the OSTI upload— “First draft of the Final Technical Report due 60 days after end of the project period.”) |
Section IV. Post-Project Reporting
| Report | Required for... | Frequency | Notes/Examples |
|---|---|---|---|
| A. Scientific and Technical Reporting | ALL | Post-Project (P) | Scientific and Technical Reporting requirements as outlined in I.C. Scientific and Technical Reporting remain applicable after the award ends. |
| B. Intellectual Property (IP) Reporting | ALL | Post-Project (P) | IP Reporting requirements, as outlined in I.D. Intellectual Property Reporting, remain applicable after the award ends. |
Section V. IIJA & IRA Reporting
| Report | Required for... | Frequency | Notes/Examples |
|---|---|---|---|
| A. Community Benefits Report | ALL | As Specified, Yearly & Final (A5, Y, F) | |
| B. Boosting Domestic Manufacturing | Dependent on provision, consult the FARM | As Specified, Yearly & Final (A5, Y, F) | This report applies to projects that support manufacturing capacity as well as projects that support the mining, processing, production, or recycling of critical minerals or rare earth materials and elements. |
| C. Quality Job Creation | |||
| Dependent on provision, consult the FARM | As Specified (A5) | Applicable to all projects subject to Davis Bacon Act. Not required for IRA-funded projects. |
2. Training Outcomes | Dependent on provision, consult the FARM | As Specified, Yearly & Final (A5, Y, F) | Applicable to all projects requiring DBA compliance, those that discuss workforce development or training in statute, as well as any projects where recipients utilize a portion of their IIJA funding on workforce development. |
3. Good Jobs Outcomes | ALL | As Specified, Yearly & Final (A5, Y, F) | |
| 4. Permanent Jobs | Dependent on provision, consult the FARM | Quarterly (Q) | Applicable to all projects creating ongoing operations, maintenance and production jobs. |
| D. Equity and Justice | |||
| Dependent on provision, consult the FARM | Quarterly (Q) | Applicable to all projects that include building, expanding, or retrofitting a facility |
| 2. Engagement Events and Technical Assistance | Dependent on provision, consult the FARM | Quarterly (Q) | This report applies to all projects with stakeholder engagement events and projects where prime recipients provide technical assistance. |
| Community Ownership | Dependent on provision, consult the FARM | Quarterly (Q) | Applicable to all projects that build or install new clean energy or climate assets |
| E. Pathway to Net Zero | |||
| Dependent on provision, consult the FARM | As Specified, Yearly & Final (A5, Y, F) | Applicable to projects that build, retrofit, retool, repurpose, or otherwise support the construction or continued operation of energy generation, energy storage, or other clean energy infrastructure. |
| 2. Hydrogen Production | Dependent on provision, consult the FARM | As Specified, Yearly & Final (A5, Y, F) | Applicable to all projects that build, retrofit, retool, repurpose, or otherwise support the construction or continued operation of hydrogen fuel production |
| 3. Carbon Capture, Removal, and Storage | Dependent on provision, consult the FARM | As Specified, Yearly & Final (A5, Y, F) | Applicable to all projects that build or otherwise support the construction or continued operation of carbon capture, carbon removal, carbon storage, or carbon dioxide transport. |
| 4. Energy Saved | Dependent on provision, consult the FARM | As Specified, Yearly & Final (A5, Y, F) | Applicable to all projects that include energy efficiency upgrades or fuel switching, water conservation upgrades that save energy, or distributed energy resources. |
| F. Davis Bacon Act Semi-Annual Labor Compliance Report | Dependent on provision, consult the FARM | As Specified (A5) | Applicable to all projects subject to Davis Bacon Act. |
| G. Location(s) of Work | ALL | As Specified (A5) | Applicable only to Programs not using the PMC. |
General Notes on the "Special Instructions" section of the FARC
- The “Special Instructions” section gives you flexibility to describe reporting requirements in more detail. For example:
- Information on Quarterly Review Presentation, etc.
- Requirements for participation in quarterly and phase performance evaluations, peer reviews, in-person meetings, etc.
- Special reports such as data repositories or operational data on a power plant.
- Special requirements for the Continuation Reports—i.e., presentation slide deck AND written report.
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