Financial Assistance Report Submittal Guidance: General

Report Due Dates

1.  How can I find out what my reporting requirements are?

Your financial assistance reporting requirements may be found on DOE Form 4600.2, Federal Assistance Reporting Checklist, contained in your award.

2.  My university is a signatory to the Federal Demonstration Partnership (FDP) program.  Which reporting requirements do I need to use?

You need to use the reporting requirements contained in your award.  The order of precedence for the FDP program is the award, the agency terms and conditions, and then the FDP terms and conditions.

3.  Who gets my reports?

Contracts Management Division gets a copy of all reports.  The program manager (listed in Block 15 of the Assistance Agreement, formerly Block 11 of DOE Form 4600.1, Notice of Federal Assistance Award (NFAA)), is the designated DOE program officer for your award and generally requests one copy.  The Federal Assistance Reporting Checklist (DOE F 4600.2) tells who gets copies of the report.  The right-hand column of Block 4 uses codes to identify the addresses where reports should be sent.  A separate section, called “Report Addressees,” provides the email addresses where reports should be sent.

4.  Where do I send my reports?

Send your reports to the email addresses identified in the Report Addressees section.  The report to Contracts Management Division should be sent to   Be sure to include the award number, type of report, and frequency in the subject line of the email message.  An example of a message subject line is:  Your Award Number, Name of Report, Frequency or DE-FC07-08ID99999, SF 269A Report, Quarterly or DE-FC07-07ID99999, Progress Report, Semi-annual.  It is also helpful if you include the time period covered by your report on the first page of the submitted document.

5.  What electronic format should I use for my reports?

Final technical reports must be submitted to the Office of Scientific and Technical Information (OSTI) via the DOE Energy Link (E-Link) web site.  These reports must be in Adobe Portable Document Format (PDF).  Other reports may be submitted in an electronic format that is consistent with the Reporting Requirements Checklist instructions, acceptable to the DOE program manager, and compatible with Idaho Operations Office software.  The Idaho Operations Office is currently using Microsoft’s Office 2003™ software suite.  Specific program reporting guidance, if any, will identify the format to use.

6.  Can I use E-Link for all my reports?

No.  Only the final technical report is submitted to OSTI.  The final technical report must be accompanied by DOE Form 241.3, Announcement of Department of Energy (DOE) Non-M&O/M&I Scientific and Technical Information (STI).  Final reports receive nonproliferation, intellectual property, and export control reviews before being released to the public.

7.  When are my reports considered late?

Your reports are considered late if they are received in Contracts Management Division after the report due date.  A report due date is calculated for each report based upon the report frequency and the project performance start date.

8.  What happens if my reports are late?

Delinquent reports are a serious issue.  Contracts Management Division may change your payment method; may withhold payments; may withhold additional funding (e.g., incremental funding, continuation or renewal awards, or new awards); or may report you to the DOE Procurement Executive’s office with a recommendation that you be suspended or debarred.

Contracts Management Division has a report tracking database system called RTS-2.  The automated reminder feature of this system uses the email address of to send the following series of notices.

             The automated reminder system will first send you a listing of the report deliverables contained in your award.  You should review this listing for accuracy and to be sure that you understand what reports are due, when they are due, and to whom the reports should be sent.

             The automated reminder system will send an advance message advising when an upcoming report is due. 

             The system will be programmed to automatically send the first two delinquent notices via email.   If you are not delinquent, you should not receive these notifications. 

             The third delinquent notice (if needed) will be signed by a contracting officer and sent by certified mail.  This notice will advise you of the specific remedial actions that we intend to take and will establish a final deadline for receipt of the delinquent report(s).  

             If the delinquent report(s) is not received by the deadline, a fourth and final delinquent notice will be sent implementing the remedial action.  At the discretion of the contracting officer, copies of the third and fourth delinquent notices may also be sent to higher level authorities within your organization.

9.  If I need one, how can I be granted a time extension for a specific report?

Send your request for a time extension, including the reason for the request, to   All the Contracts Management Division contract specialists and the appropriate program managers have access to this email address.  Report time extensions should be infrequent and you should have a very good reason for requesting the extension.   The program manager and the contract specialist will review your time extension request.  The reply will be sent back to you via

10.  If I get a time extension, will my report still be late?

Yes.  Your report will be considered late if you do not meet the original report due date.  However, we will not consider you to be delinquent and will not take the additional steps normally taken in order to collect a delinquent report.

11.  May I have more than one extension for the same report? 

Your program manager and contract specialist will consider granting an additional time extension.  However, the reason for the additional time must be compelling.

12.  Who can waive or excuse a report deliverable?

Only the contracting officer may waive (i.e., dismiss or excuse) required reports.  No one else has the authority to change your award terms and conditions.  Required reports are part of your award terms and conditions.

13.  What if I presented my report at a conference?  Doesn’t that count as my report deliverable?

No.  Required reports must be submitted to Contracts Management Division in order for you to get credit for submission of your report deliverables.

14.  How do I know if you received my report?

The database will send an automated email message advising you that your report was received and logged in. 

15.  Can you explain what you mean by “number of copies” on the Financial Assistance Reporting Checklist?

The number of copies refers to the number of people/offices scheduled to receive your report.  The addressees are included on the report distribution sheet.   The distribution sheet will advise you of where to submit your reports and who should receive courtesy copies of the email.

16.  What do the “frequency” symbols on the Financial Assistance Reporting Checklist mean?

The frequency symbols indicate how often you must submit a report.  The period covered by the report and the report due date are calculated based upon the frequency code.   Please see Question #26 for more information about report frequencies.

17.  What time periods should the Financial Status Report cover?

Yearly, semi-annual, and quarterly reports will include financial information for the current budget period.  The current budget period starting and ending dates are given in Block 7 of the Assistance Agreement, (formerly Block 6 of the NFAA).  

Block 8 of the SF 269A will contain the budget period dates in Block 7 of the Assistance Agreement, (formerly Block 6 of the NFAA). Block 9 of the SF 269A is the period covered by the financial report (e.g., the calendar quarter).  Block 10, columns I, II, and III, mean the appropriate amounts for the budget period.

The final financial status report covers the entire project period; the cumulative amount should correspond to information contained in the final request for payment.

18.  What is the difference between a scientific/technical report and a management report?

Management reports help DOE keep track of project cost and schedule status.  Examples of management reports are financial status reports (DOE F 269A) or progress reports.  Scientific/technical reports are reports based upon scientific and technical studies, work, or investigations that relate to research, development, demonstration, or other specialized areas.   Scientific/technical reports tell about the project itself, including analyses and conclusions.

19.  Is there a content format available for technical reports?

DOE Order 241.1A, Scientific and Technical Information Management, and DOE Guide 241.1-1, Guide to the Management of Scientific and Technical Information, provide suggested formats for technical reports.

20.  What are the usual requirements for submission of the final technical report?

The final technical report documents and summarizes in a comprehensive manner all work performed during the project period.  The final report does not just compile the information contained in yearly reports.  It presents findings and/or conclusions drawn from the research as a whole. 

Company names, logos, and similar material may not appear on the internal text pages of the final report.

The final technical report is due 90 calendar days after the project period completion date.  The final report due date is set by federal regulations and awardees will be delinquent if the report is not submitted by that due date.

The only acceptable electronic format for submission to OSTI is Adobe Portable Document Format (PDF).  If you cannot meet this requirement, please notify your contract specialist via for additional instructions.

Submit the final technical report to OSTI via OSTI’s “DOE Energy Link (E-Link)” web site at  If you have questions about E-Link, submit them to the E-Link coordinator identified on the E-Link web site.

The final technical report must be accompanied by DOE Form 241.3, Announcement of Department of Energy (DOE) Non-M&O/M&I Scientific and Technical Information (STI).  Submit the form to OSTI via OSTI’s “DOE Energy Link (E-Link)” web site at

Note:  Final non-technical reports are not sent to OSTI; they should be sent to the addressees identified in the award.

21. Why does DOE Form 241.3 have to accompany my final technical report?

Your technical report must be reviewed and screened before it is released to the public.   The form provides information needed by the reviewers.  The reviewers look for non-proliferation content, intellectual property content, proprietary information, and information subject to export control.   Reports should not contain proprietary or business-sensitive information.

22.  Where may I get report forms?

You may get the forms off this web site (  If you have difficulty accessing a form, you may also call Doreen Leonard at (208) 526-1630 for assistance.

23.  Do my reports have to be signed?

No, your electronic reports do not have to be signed.  However, you should include the name and title of the individual who would normally sign the report in the signature block.  If a report form is forwarded in PDF and the report form includes a signature block, then it should be signed. 

24.  When are reports due and what performance periods should they cover?

Report frequencies are quarterly (Q), semiannually (S), yearly (Y), as necessary (A), and final (F).

Quarterly reports are due on a calendar year basis.  The following table gives the quarterly performance period and the report due date.


Period Covered by the Quarterly Report

Report Due Date


1st  (1Q)

January 1 through March 31

April 30

2nd (2Q)

April 1 through June 30

July 30

3rd (3Q)

July 1 through September 30

October 30

4th (4Q)

October 1 through December 31

January 30

            If an award was made within the first 60 days of the quarter, the quarterly report shall cover the period from the project period start date through the end of that calendar quarter. 

            No quarterly report is due if the award was made less than 30 days from the end of the quarter.  The information shall be included as part of the next quarterly report.

            The last quarterly report is automatically waived; information should be included in the final report.

Semi-annual reports are due 30 days after each half-year project start anniversary date (e.g., project starts July 1, 2001; semi-annual reports are due January 30, 200x and July 31, 200x).  The last semi-annual report is automatically waived; information should be included in the final report.

Yearly reports are due 90 days after the project start anniversary date (e.g., project starts July 1, 2001; yearly report is due on September 28, 200x), unless a different reporting due date is given in the Special Terms and Conditions.  The last yearly report is automatically waived; information should be included in the final report.

Note:  If, for interim Financial Status Report submittals, your accounting system will not accommodate partial month reporting for semi-annual and yearly reporting frequencies, you may submit as follows:   

If your project period start day is 1 thru 15, we will accept a report with an ending period of the previous month. For instance, if you have a semi-annual reporting frequency and your project start date is 4/15/05, an acceptable reporting periods would be 4/15/05 - 09/30/05 and 10/1/05 - 3/31/05.


If your project period start day is 16 thru 31, we will accept a report with an ending period of the previous month. For instance, if you have a semi-annual reporting frequency and your project start date is 4/16/05, an acceptable reporting periods would be 4/16/05 - 10/31/05 and 11/1/05 - 4/30/06 .

As necessary reports are due five calendar days after the stated occurrence or as specified in your award (either the Statement of Objectives or as part of the Reporting Checklist).  

Several of the as necessary reports are due not later than 30 calendar days after the performance start date.  The performance start date may be found in Block 7 of the NFAA. 

Final reports are due 90 calendar days after the project completion date (e.g., project completion date is July 31, 2005, final reports are due October 29, 2005).

25.  If I am granted an extension to my award, what happens to the reports due?

Your reporting requirements will continue and any reports previously automatically waived, as described in question 24, will now be required. 

26.  If I have questions about my reporting requirements, where can I send them?

If you have other questions about your reporting requirements, you may submit them to  Other non-reporting questions should be sent to your contract specialist.

Last Updated: 04/25/2011
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