+------------------------------------+-------+-------+----------------+
| 1\. Identification Number:         | 2\.   |       |                |
|                                    | Progr |       |                |
|                                    | am/Pr |       |                |
|                                    | oject |       |                |
|                                    | T     |       |                |
|                                    | itle: |       |                |
|                                    |       |       |                |
|                                    |       |       |                |
+------------------------------------+-------+-------+----------------+
| 3\. Recipient:                     |       |       |                |
|                                    |       |       |                |
|                                    |       |       |                |
+------------------------------------+-------+-------+----------------+
| 4\. Reporting Requirements:        | Freq  | No.   | Addressees     |
|                                    | uency | of    |                |
| **A. MANAGEMENT REPORTING**        |       | C     |                |
|                                    |       | opies |                |
| Progress Report                    |       |       |                |
|                                    |       |       |                |
| Special Status Report              |       |       |                |
|                                    |       |       |                |
| **B. SCIENTIFIC/TECHNICAL          |       |       |                |
| REPORTING**                        |       |       |                |
|                                    |       |       |                |
| (Reports/Products must be          |       |       |                |
| submitted with appropriate DOE F   |       |       |                |
| 241. The 241 forms are available   |       |       |                |
| at                                 |       |       |                |
| [www.osti.gov/el                   |       |       |                |
| ink.](http://www.osti.gov/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**         |       |       |                |
|                                    |       |       |                |
| SF-269, Financial Status Report    |       |       |                |
|                                    |       |       |                |
| SF-269A, Financial Status Report   |       |       |                |
| (Short Form)                       |       |       |                |
|                                    |       |       |                |
| SF-272, Federal Cash Transactions  |       |       |                |
| Report                             |       |       |                |
|                                    |       |       |                |
| **D. CLOSEOUT REPORTING**          |       |       |                |
|                                    |       |       |                |
| Patent Certification               |       |       |                |
|                                    |       |       |                |
| Property Certification             |       |       |                |
|                                    |       |       |                |
| Other                              |       |       |                |
|                                    |       |       |                |
| **E. OTHER REPORTING**             |       |       |                |
|                                    |       |       |                |
| Annual Indirect Cost Proposal      |       |       |                |
|                                    |       |       |                |
| Annual Inventory of Federally      |       |       |                |
| Owned Property, if any             |       |       |                |
|                                    |       |       |                |
| Other                              |       |       |                |
+------------------------------------+-------+-------+----------------+
|                                    |       |       | <htt           |
|                                    |       |       | p://www.osti.g |
|                                    |       |       | ov/elink-2413> |
|                                    |       |       |                |
|                                    |       |       | <http://www.   |
|                                    |       |       | osti.gov/estsc |
|                                    |       |       | /241-4pre.jsp> |
+------------------------------------+-------+-------+----------------+
| FREQUENCY CODES AND DUE DATES:     |       |       |                |
|                                    |       |       |                |
| A - Within 5 calendar days after   |       |       |                |
| events or as specified.            |       |       |                |
|                                    |       |       |                |
| 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:          |       |       |                |
+------------------------------------+-------+-------+----------------+

**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:

41888. 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,
    major findings 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.

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.

1.  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:

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```
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 process or 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]{.underline}. 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.
>
> 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 Government
> 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;
>
> 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]{.underline}. 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>[.]{.underline}
>
> [Electronic Format]{.underline}. 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]{.underline}. The report must be accompanied by 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. 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]{.underline}: 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]{.underline}. Scientific/technical conference
> paper/proceedings must be submitted electronically via the DOE Energy
> Link System (E-Link) at <http://www.osti.gov/elink-2413>.
> Non-scientific/technical conference papers/proceedings must be sent to
> the URL listed on the Reporting Checklist.
>
> [Electronic Format]{.underline}. 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.]{.underline} 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.]{.underline} 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]{.underline}. Submissions may be submitted
> electronically via the DOE Energy Link System (E-Link) at
> <http://www.osti.gov/estsc/241-4pre.jsp>[.]{.underline} 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.]{.underline} 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.gov/estsc/241-4pre.jsp>[.]{.underline}
>
> **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.html>. Fillable forms are
> available at [http://grants.pr.doe.gov](http://grants.pr.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.energy.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]{.underline}. 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.
>
> [Cognizant Agency]{.underline}. 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]{.underline}. 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 submit 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 30^th^ of each calendar year,
> to cover an annual reporting period ending on the preceding September
> 30^th^.
>
> [Content of Inventory]{.underline}. The inventory must include a
> description of the property, tag number, acquisition date, location of
> property, and acquisition cost, if purchased with project funds. The
> report must list all federally owned property, including property
> located at subcontractor's facilities or other locations.