HomeMy WebLinkAboutExhibit 4DOE F 4600.2
16/091 U.S. Department of Energy DE-EE0000778/000
All Other Editions Are Obsolete FEDERAL ASSISTANCE REPORTING CHECKLIST Attachment #2
AND INSTRUCTIONS
1. Identification Number:
2. Program/Project Title:
DE-EE0000778,000
City of Miami, FL Energy Efficiency and Conservation Block Grant
3. Recipient:
City ofMiami, FL
4. Reporting Requirements:
Frequency
No. of Copies
Addressees
A. MANAGEMENT REPORTING
® Progress Report
Q. A
❑ Special Status Report
EECBG@go.doe.gov
B. SCIENTIFIC/TECHNICAL REPORTING
(Reports/Products must be submitted with appropriate DOE F 241. The 241 forms
are available at ttiww.osti.uov'elink.)
Report/Product Form
❑ Final Scientific/Technical Report DOE F 241.3
❑ Conference papers/proceedings* DOE F 241.3
❑ Software/Manual DOE F 241.4
❑ Other (see special instructions) DOE F 241.3
* Scientific and technical conferences only
C. FINANCIAL REPORTING
EECBG@go.doe.gov
® SF -425, Financial Status Report
Q
D. CLOSEOUT REPORTING
- ---- --- -----
Patent Certification
-
❑ Property Certification
❑ Other
E. OTHER REPORTING
❑ Annual Indirect Cost Proposal
❑ Annual Inventory of Federally Owned Property, if any
® Other
A
See Special Instructions Below
FREQUENCY CODES AND DUE DATES:
A - Within 5 calendar days after events or as needed.
F - Final; 90 calendar days after expiration or termination of the award.
Y - Yearly; 90 days after the end of the reporting period.
S- Semiannually; within 30 days after end of reporting period.
Q - Quarterly; within 30 days after end of the reporting period.
5. Special Instructions: NOTE: The Reporting Requirements shown on this checklist are to be used in the interim and will be revised when the EECBG
reporting system is finalized. This checklist will be replaced at that time with a modification to the award.
Other Reporting: AMERICAN RECOVERY AND REINVESTMENT ACT REPORTING: See the Special Terms and Conditions for Recovery Act reporting
requirements, along with the following web site: http://www.federalrei)ortinR.2ov. The required reports are due no later than ten calendar days after each
calendar quarter in which the recipient receives the assistance award funded in whole or in part by the Recovery Act. Recipients are instructed to maintain data in
order to report cumulatively beginning with an estimated October 10, 2009 reporting deadline.
Federal Assistance Reporting Instructions (5/06)
A. MANAGEMENT REPORTING
Progress Report
The Progress Report must provide a concise narrative assessment of the status of work and
include the following information and any other information identified under Special
Instructions on the Federal Assistance Reporting Checklist:
1. The DOE award number and name of the recipient.
2. The project title and name of the project director/principal investigator.
3. Date of report and period covered by the report.
4. A comparison of the actual accomplishments with the goals and objectives established for
the period and reasons why the established goals were not met.
5. A discussion of what was accomplished under these goals during this reporting period,
_including major activities, significant_results,_majorfindings
or conclusions,_ key outcomes
— -
or other achievements. This section should not contain any proprietary data or other
information not subject to public release. If such information is important to reporting
progress, do not include the information, but include a note in the report advising the
reader to contact the Principal Investigator or the Project Director for further information.
6. Cost Status. Show approved budget by budget period and actual costs incurred. If cost
sharing is required break out by DOE share, recipient share, and total costs.'
7. Schedule Status. List milestones, anticipated completion dates and actual completion
dates. If you submitted a project management plan with your application, you must use
this plan to report schedule and budget variance. You may use your own project
management system to provide this information.
8. Any changes in approach or aims and reasons for change. Remember significant changes
to the objectives and scope require prior approval by the contracting officer.
9. Actual or anticipated problems or delays and actions taken or planned to resolve them.
10. Any absence or changes of key personnel or changes in consortium/teaming arrangement.
11. A description of any product produced or technology transfer activities accomplished
during this reporting period, such as:
A. Publications (list journal name, volume, issue); conference papers; or other public
releases of results. Attach or send copies of public releases to the DOE Project Officer
identified in Block 11 of the Notice of Financial Assistance Award.
B. Web site or other Internet sites that reflect the results of this project.
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C. Networks or collaborations fostered.
D. Technologies/Techniques.
E. Inventions/Patent Applications
F. Other products, such as data or databases, physical collections, audio or video,
software or netware, models, educational aid or curricula, instruments or equipment.
Special Status Report
The recipient must report the following events by e-mail as soon as possible after they occur:
1. Developments that have a significant favorable impact on the project.
2. Problems, delays, or adverse conditions which materially impair the recipient's ability to
meet the objectives of the award or which may require DOE to respond to questions
relating to such events from the public The recipient must report any of the following
incidents and include the anticipated impact and remedial action to be taken to correct or
resolve the problem/condition:
a. Any single fatality or injuries requiring hospitalization of five or more individuals.
b. Any significant environmental permit violation.
c. Any verbal or written Notice of Violation of any Environmental, Safety, and Health
statutes.
d. Any incident which causes a significant processor hazard control system failure.
e. Any event which is anticipated to cause a significant schedule slippage or cost
increase.
f. Any damage to Government-owned equipment in excess of $50,000.
g. Any other incident that has the potential for high visibility in the media.
B. SCIENTIFIC/TECHNICAL REPORTS
Final Scientific/Technical Report
Content. The final scientific/technical report must include the following information and any
other information identified under Special Instructions on the Federal Assistance Reporting
Checklist:
1. Identify the DOE award number; name of recipient; project title; name of project
director/principal investigator; and consortium/teaming members.
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2. Display prominently on the cover of the report any authorized distribution limitation notices,
such as patentable material or protected data. Reports delivered without such notices may
be deemed to have been furnished with unlimited rights, and the Govemment assumes no
liability for the disclosure, use or reproduction of such reports.
3. Provide an executive summary, which includes a discussion of 1) how the research adds
to the understanding of the area investigated; 2) the technical effectiveness and economic
feasibility of the methods or techniques investigated or demonstrated; or 3) how the project
is otherwise of benefit to the public. The discussion should be a minimum of one
paragraph and written in terms understandable by an educated layman.
4. Provide a comparison of the actual accomplishments with the goals and objectives of the
project.
5. Summarize project activities for the entire period of funding, including original hypotheses,
approaches used, problems encountered and departure from planned methodology, and
an assessment of their impact on the project results. Include, if applicable, facts, figures,
analyses, and assumptions used during the life of the project to support the conclusions.
6. Identify products developed under the award and technology transfer activities, such as:
a. Publications (list journal name, volume, issue), conference papers, or other public
releases of results. If not provided previously, attach or send copies of any public
releases to the DOE Project Officer identified in Block 11 of the Notice of Financial
Assistance Award;
b. Web site or other Internet sites that reflect the results of this project;
c. Networks or collaborations fostered;
d. Technologies/Techniques;
e. Inventions/Patent Applications, licensing agreements; and
f. Other products, such as data or databases, physical collections, audio or video,
software or netware, models, educational aid or curricula, instruments or equipment.
7. For projects involving computer modeling, provide the following information with the final
report:
a. Model description, key assumptions, version, source and intended use;
b. Performance criteria for the model related to the intended use;
c. Test results to demonstrate the model performance criteria were met (e.g.,
code verification/validation, sensitivity analyses, history matching with lab or field data,
as appropriate);
d. Theory behind the model, expressed in non -mathematical terms;
e. Mathematics to be used, including formulas and calculation methods;
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f. Whether or not the theory and mathematical algorithms were peer reviewed,
and, if so, include a summary of theoretical strengths and weaknesses;
g. Hardware requirements; and
h. Documentation (e.g., users guide, model code).
Electronic Submission. The final scientific/technical report must be submitted el@ctronically-via
the DOE Energy Link System (E -Link) accessed at http://www.osti.gov/elink-2413.
Electronic Format. 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.
Submittal Form. The report must be accompanied by a completed electronic version of DOE
Form 241.3, "U.S. Department of Energy (DOE), Announcement of Scientific anq Technical
Information (STI)." You can complete, upload, and submit the DOE F.241.3 online via E -Link.
You are encouraged not to submit patentable material or protected data in these reports, but if
there is such material or data in the report, you must: (1) clearly identify patentable or
protected data on each page of the report; (2) identify such material on the cover.- of the report;
and (3) mark the appropriate block in Section K of the DOE F 241.3. Reports must not contain
any limited rights data (proprietary data), classified information, information subject to export
control classification, or other information not subject to release. Protected data is specific
technical data, first produced in the performance of the award that is protected from public
release for a period of time by the terms of the award agreement.
Conference Papers/Proceedings
Content: The recipient must submit a copy of any conference papers/proceedings, with the
following information: (1) Name of conference; (2) Location of conference; (3) Date of
conference; and (4) Conference sponsor.
Electronic Submission. Scientific/technical conference paper/proceedings must be submitted
electronically -via the DOE Energy Link System (E -Link) at http://www.osti..qov/elihk-2413.
Non-scientific/technical conference papers/proceedings must be sent to the URLlisted on the
Reporting Checklist.
Electronic Format. Conference papers/proceedings 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. If the proceedings cannot
be submitted electronically, they should be sent to the DOE Administrator at the address listed
in Block 12 of the Notice of Financial Assistance Award.
Submittal Form. Scientific/technical conference papers/proceedings must be accompanied by
a completed DOE Form 241.3. The form and instructions are available on E-Link'at
http://www.osti.gov/elink-2413. This form is not required for non-scientific or non=technical
conference papers or proceedings.
Software/Manual
Content. Unless otherwise specified in the award, the following must be delivered: source
code, the executable object code and the minimum support documentation needed by a
competent user to understand and use the software and to be able to modify the'software in
subsequent development efforts.
Electronic Submission. Submissions may be submitted electronically -via the DOE Energy Link
System (E -Link) at http://www.osti.gov/estsc/241-4pre.isp. They may also be submitted via
regular mail to:
Energy Science and Technology Software Center
P.O. Box 1020
Oak Ridge, TN 37831
Submittal Form. Each software deliverable and its manual must be accompanied by a
completed DOE Form 241.4 "Announcement of U.S. Department of Energy Computer
Software." The form and instructions are available on E -Link at http://www.osti.q_bv/estsc/241-
4pre.isp.
C. FINANCIAL REPORTING
Recipients must complete the financial reports identified on the Reporting Checklist in
accordance with the report instructions. These standard forms are available at
http://www.whitehouse.gov/omb/grants/index.htmi. Fillable forms are available at
http://grants.or.doe.gov.
D. CLOSEOUT REPORTS
Final Invention and Patent Report
The recipient must provide a DOE Form 2050.11, "PATENT CERTIFICATION." This form is
available at http://www.directives.doe.-gov/pdfs/forms/2050-11.pdf and
http://management.energV.gov/business doe/business forms.htm
Property Certification
The recipient must provide the Property Certification, including the required inventories of non-
exempt property, located at http://management.energy.gov/business doe/business forms.htm
E. OTHER REPORTING
Annual Indirect Cost Proposal and Reconciliation
Requirement. In accordance with the applicable cost principles, the recipient must submit an
annual indirect cost proposal, reconciled to its financial statements, within six months after the
close of the fiscal year, unless the award is based on a predetermined or fixed indirect rate(s),
or a fixed amount for indirect or facilities and administration (F&A) costs.
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Cognizant Agency. The recipient must submit its annual indirect cost proposal directly to the
cognizant agency for negotiating and approving indirect costs. If the DOE awarding office is
the cognizant agency, submit the annual indirect cost proposal to the DOE Award
Administrator identified in Block 12 of the Notice of Financial Assistance Award.
Annual Inventory of Federally Owned Property
Requirement. If at any time during the award the recipient is provided Government -furnished
property or acquires property with project funds and the award specifies that the property vests
in the Federal Government (i.e. federally owned property), the recipient must sulamit an annual
inventory of this property to the DOE Award Administrator identified in Block 12 of the Notice
of Financial Assistance Award no later than October 30th of each calendar year, to cover an
annual reporting period ending on the preceding September 30th -
Content of Inventory. The inventory must include a description of the property, tag number,
acquisition date, location of property, and acquisition cost, if purchased with proiect funds.
The report must list all federally owned property, including property located at subcontractor's
facilities or other locations.
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