DESCRIPTION

This FARC Tip Sheet provides guidance on federal assistance reporting requirements. It specifies which reports correspond to different award types, their required submission frequency, and clarifies the usage of less common forms like the Invention Utilization Report.[1]

Section I. Project Management Reporting

ReportRequired for...FrequencyNotes/Examples
A. Research Performance Progress Report (RPPRALLQuarterly (Q)As of 03/01/2022, the Quarterly Progress Report was retired, and all recipients now submit a RPPR.
B. SF-425ALL

Quarterly &

Final

(Q,F)


C.    Scientific and Technical Reporting

  1. Accepted Manuscript of Journal Article
  2. Conference Products
  3. Technical Reports
  4. Software & Manual
  5. Dataset
  6. Other (Dissertation/Thesis)
ALL

As Specified

& Post-Project

(A5, P)

As of 03/01/2022, all Scientific and Technical Reporting will automatically be marked with an ‘As Specified’ and ‘Post-Project’ frequency. These frequencies cannot be changed in the PMC and will appear grey in the eFARC. 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.

D.    Intellectual Property (IP) Reporting

  1. IP Reporting
  2. Invention Utilization Report
ALL

As Specified

& Post-Project

(A5, P)

As of 03/01/2022, all IP Reporting will automatically be marked with an ‘As Specified’ and ‘Post-Project’ frequency.  These frequencies cannot be changed in the PMC and will appear grey in the eFARC. 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.
E. 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.
F. Special Status ReportALL

As Specified

(A5)


G. Continuation ApplicationALL awards with more than one budget period 

As Specified

(A5)


H. OtherUse at program discretion 

Up to program

discretion

If you use this field, provide specific deadlines/descriptions, which will be displayed in the “CMEI Special Instructions” section on page 2 of the FARC. Refer to CMEI Special Instructions for examples and guidance.


Section II. Award Management Reporting

ReportRequired for...FrequencyNotes/Examples

A. Participants and Collaborating Organizations

ALL awards issued after 03/01/22. For awards issued before 03/01/22 refer to Ts&Cs.

As Specified

(A5)

This requirement is included in all FOAs issued after 12/15/21 and the awards issued from those FOAs. Prior to 12/15/21, some FOAs required a Table of Personnel. For older awards, please refer to the award Terms and Conditions to confirm applicability.
B. Current and Pending SupportALL awards issued after 10/01/2021. For awards issued prior to 10/01/21, refer to T&Cs

As Specified

(A5)

This requirement is mandatory for all Principal Investigators and senior/key personnel for awards issued after 10/01/21. The requirement has been included in all FOAs since April 2021 and the awards issued from those FOAs. For older awards, please refer to the award Terms and Conditions to confirm applicability.
C. Demographic ReportingALL

As Specified

(A5)

This report is mandatory for Principal Investigators (PI) and Business Contacts of awards made after 03/01/2022. PIs and Business Contacts of awards made prior to 03/01/2022 are encouraged, but not required, to submit demographic reporting.  This frequency is automated in the PMC and cannot be changed.

D. Tangible Personal Property Report – Annual Property Report (SF-428 & SF-428A)

Awards with federally owned property

Yearly

(Y)

This report is extremely rare for CMEI awards. Contact the CO with any questions.
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, as long as the federal government retains an interest in the item).
F. Uniform Commercial Code (UCC) Financing Statements  

Award must meet two conditions:

  1. Total DOE Share > $1M
  2. 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.  If/when a for-profit recipient or subrecipient purchases equipment:

  1. Recipient emails CO a draft UCC report from the state in which they will use the equipment
  2. CO concurs
  3. Recipient/sub files the report
  4. Recipient uploads a copy of filed report to the PMC.
  5. CO approves reimbursement for 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.
H.  Annual Incurred Cost ProposalAll recipients with awards reflecting segregated indirect cost billing ratesY180Must be submitted to the cognizant federal agency; not required if indirect billings 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 AuditAll for-profit recipients

Other

(O)

Per 2 CFR 910.501, the threshold for this requirement is $750,000 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 GovernmentsNon-Profit, Universities, States, Local Gov’t and Tribal Gov’t recipients

Other

(O)

Per 2 CFR 200.501, the threshold for this requirement is $750,000 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. OtherUse at program discretionUp to program discretionIf you use this field, provide specific deadlines/descriptions, which will be displayed in the “CMEI Special Instructions” section on page 2 of the FARC. Refer to CMEI Special Instructions for examples and guidance.


Section III. Closeout Reporting


ReportRequired for...FrequencyNotes/Examples
A. Final Scientific/Technical ReportALL

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)RD&D

Final

(F)

DO NOT include invention certification requirement for non-RD&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 ManuscriptsALL

Final

(F)

As part of the closeout process, CMEI verifies that all accepted manuscripts of journal articles have been submitted to E-Link. Recipients are required to submit all missing accepted manuscript before closeout is finalized.
E. OtherUse at program discretionUp to program discretionAny special technology 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

ReportRequired for...FrequencyNotes/Examples
A. Scientific and Technical ReportingALL

Post-Project (P)

Scientific and Technical Reporting requirements as outlined in I.C. Scientific and Technical Reporting remain applicable after the award ends. The P frequency for this report is automated in the PMC.
B. Intellectual Property (IP) ReportingALLPost-Project (P)IP Reporting requirements, as outlined in I.D. Intellectual Property Reporting, remain applicable after the award ends. The P frequency for this report is automated in the PMC.


General Notes on the "CMEI Special Instructions" section of the FARC

  • The “Special Instructions” section gives you flexibility to describe reporting requirements in more detail. For example:
  • Information on RPPR-1, RPPR-2, or equivalent form, 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.
  • Changes to due dates—e.g., Continuation Reports due 60 days before end of budget period instead of 90 days.

pushpin CAUTION: Any special instructions should be clear and not in conflict with other guidance CMEI provides the recipients (e.g., Terms and Conditions; New Award Kick-Off Meeting).

 

 

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