| 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: - Total DOE Share > $1M
- For-Profit Recipient or Subrecipient
| 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: - Entity type (see notes)
- Over $500,000 outside the US
| Yearly (Y) | Required for all awards after October 1, 2024 made to: - A private entity; and
- A State, local government, Indian Tribe, or foreign public entity when a private entity could be a subrecipient.
And when the value of services to be performed under the award that are outside of the United States is more than $500,000. - Includes the value of the federal and non-federal share of the services.
- Includes the value of made-to-order / made-to-design equipment purchased from outside the United States.
|
| 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. |