Grant Application Guide
A grantee is required to report periodically to DOE on progress in meeting the project objectives of the award as well as the financial situation. Standard reporting requirements are set forth below. Exceptions may be included in individual award documents.
1. Continuation Progress Reports (Informal): After issuance of an initial award and if future support is recommended, recipients must submit a satisfactory progress report in order to receive continuation awards for the remainder of the project period. The informal Continuation Progress Report is required (generally not to exceed two pages per project or task) and must be submitted to the Office of Science Project Officer (Block 11 of the Notice of Financial Assistance Award) 90 days prior to the anticipated continuation funding date and contain the following information; on the first page, provide the project title, principal investigator/project director's name, period of time report covers, name and address of recipient organization, DOE award number, the amount of unexpended funds, if any, that are anticipated to be left at the end of the current budget period, and if the amount exceeds 10 percent of the funds available for the budget period, provide information as to why the excess funds are anticipated to be available and how they will be used in the next budget period. The report should state whether the aims have changed from the original application and if they have, provide revised aims. Include results of work to date. Emphasize findings and their significance to the field, and any real or anticipated problems. A completed budget page must be submitted with the continuation progress report when a change to anticipated future costs will exceed 25 percent of the original recommended future budget.
2. Renewal Progress Report: Renewal applications must be submitted to the SC Project Officer (Block 11 of the Notice of Financial Assistance Award) no later than six months prior to the scheduled expiration of the project period (10 CFR 605.9(h)); and must include a separate section that describes the results of work accomplished through the date of the renewal application (10 CFR 605.9(j)).
3. Final Reports: A final report summarizing the entire project must be submitted by the recipient within 90 days after the final project period ends or the award is terminated. Satisfactory completion of an award will be contingent upon the receipt of this report. The final report shall follow the same outline as a progress report. Manuscripts prepared for publication should be appended. Submit one copy of the Final Report to the DOE Project Officer (Block 11 of the Notice of Financial Assistance Award). The final Scientific/Technical Report must be submitted electronically-via the DOE Energy Link System (E-Link) accessed at http://www.osti.gov/elink-2413.
The report must be accompanied be a completed electronic version of DOE Form 241.3, "U.S. Department of Energy (DOE), Announcement of Scientific and Technical Information (STI)." You can complete, upload, and submit the DOE F.241.3 online via E-Link.
Reports must be submitted in the ADOBE PORTABLE DOCUMENT FORMAT (PDF) and be one integrated PDF file that contains all text, tables, diagrams, photographs, schematic, graphs, and charts. Materials, such as prints, videos, and books, that are essential to the report but cannot be submitted electronically, should be sent to the Contracting Officer at the address listed in Block 12 of the Notice of Financial Assistance Award.
4. Special Reports: The recipient is required to report the following events to the DOE Project Officer as soon after they occur as possible:
a. Problems, delays, or adverse conditions which will materially affect the ability to attain project objectives or goals. The report must include the remedial action to be taken to correct or change the project conditions.
b. Favorable developments or events that have an impact on the science or cost of the overall project.
Also, three copies of topical reports, reprints, conference papers, etc., must be submitted to the SC Project Officer as soon as possible after the event occurs and with the renewal application.
5. Financial Status Report (FSR SF-269A): When the recipient receives payment via the Department of Treasury Automated Standard Application for Payments System (ASAP), an SF-269A or a statement of the final federal share of costs incurred, in any format, is required. When the recipient receives reimbursement payment via SF-270, the SF-270 satisfies the FSR reporting requirement.
6. Subrecipient Performance Reports: Recipients may place performance reporting requirements on a subrecipient consistent with the provisions of the above.
7. Dissemination of Results: Recipients are encouraged to disseminate results promptly to the scientific community. The Office of Science will permit, to the maximum extent reasonably practicable and consistent with the Government's best interests, the institutions and the authors to publish their own reports in established scientific and technical journals. The Office of Science reserves the right to utilize, and have others utilize, to the extent it deems appropriate, the reports resulting from Office of Science awards.
The Office of Science may waive the technical reporting requirement of any performance report if, with Office of Science prior approval, the recipient submits to the Office of Science a copy of its own report which is published or accepted for publication in a recognized scientific or technical journal and which satisfies the information requirements of the program.
Acknowledgement of Support and Disclaimer
Recipients, when issuing statements, press releases, requests for proposals, bid solicitations, and other documents describing projects or programs funded in whole or in part with DOE funds, shall clearly state:
1. The percentage of the total costs of the program or project which will be financed with DOE funds;
2. The dollar amount of DOE funds for the award; and
3. The percentage and dollar amount of the total costs of the award that will be financed by non-DOE sources. In addition, recipients are required to include in any published article a statement that DOE's support does not constitute an endorsement by DOE of the views expressed in the article.