ATTACHMENT 4: ARPA-E REPORTING CHECKLIST AND INSTRUCTIONS 1. Identification Number: 2. Program/Project Title: 3. Recipient: 4. Reporting Requirements (see attached “ARPA-E Reporting Instructions”): I. PROJECT MANAGEMENT REPORTING (DURING A. Research Performance Progress Reports B. Financial Reports C. Scientific/Technical Conference Papers/Proceedings D. Intellectual Property Reporting E. Intellectual Property & Data Management Plan F. Subject Invention Utilization Reporting G. Lobbying Activities Reporting H. Special Status Reports I. Annual Indirect Cost Proposals J. Annual Audit of For-Profit Recipients K. Annual Property Inventories L. Subaward/Subcontract Reports II. CLOSEOUT REPORTING (UPON CLOSEOUT OF AWARD) A. Scientific/Technical Report B. Final Invention and Patent Report C. Final Property Report D. Software Deliverable Submission III. POST-AWARD REPORTING (FOLLOWING CLOSEOUT OF AWARD) A. Subject Invention Utilization Reporting (see Section I.F Frequency No. of Copies Addressees QR QR Y Y X A Y Y FY RFY A Y F F F F F A 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 See block 5 for instructions See block 5 for instructions See block 5 for instructions See block 5 for instructions See block 5 for instructions FREQUENCY AND DUE DATES: A – Annually; within 90 calendar days the end of the annual reporting period. F – Final; within 90 calendar days after closeout of the award. FY – Annually; within 180 calendar days after the close of the fiscal year. QR – Quarterly; within 30 calendar days after end of the quarterly reporting period. RFY – Recipient’s Fiscal Year; within the earlier of 30 days after receipt of the auditor’s report or 9 months after end of the audit period. X – Within six (6) weeks of the effective date of ARPA-E Award. Y – Within five (5) calendar days after the event or as specified.
ARPA-E Special Instructions: For Annual Indirect Cost Proposals: If ARPA-E is the Cognizant Federal Agency, submit to . Otherwise, send to the Cognizant Federal Agency. For Annual Audits of For-Profit Recipients: Send to and . For Subaward/Subcontract Reports: Send to and . For Intellectual Property Reporting: Send mandatory intellectual property reports specified in Section D.1 of this Attachment to iEdison . Send special intellectual property reports specified in Section D.2 of this Attachment to DOE Patent Counsel via email at . Send all questions concerning the Patent Rights Clause in Attachment 2 of this Award to DOE Patent Counsel via email at . For Final Invention and Patent Reports: Send to and . ARPA-E Reporting Instructions *** Throughout award negotiations and the performance of the project, it is important that you mark confidential information and documents as described in Appendix A. It is equally important that you not submit Protected Personally Identifiable Information (Protected PII) to ARPA-E. See Appendix A for guidance on Protected PII. *** I. PROJECT MANAGEMENT REPORTING Research Performance Progress Reports Submit via: ARPA-E’s Energy Program Information Center (ePIC): Submission deadline: Within 30 calendar days of every quarter (January 31, April 30, July 31, October 31) Every quarter, the Prime Recipient is required to submit a Research Performance Progress Report for the project – i.e., the entirety of work performed by the Prime Recipient, Subrecipients, and contractors – to ARPA-E through ARPA-E’s Energy Program Information Center (ePIC). For general guidance on submitting Research Performance Progress Reports through ePIC, see the instructions provided below. For detailed guidance on the use of ePIC, please refer to the ePIC User Guide (). You must be registered in ePIC and log in to access the ePIC User Guide. To submit a Research Performance Progress Report, the Prime Recipient must log in to the ePIC system, navigate to the reporting module on the project dashboard, and complete the following fields. Technical Progress