Manage Your Award for Current Recipients

This section provides detailed information to help recipients understand EERE performance expectations, reporting requirements, reimbursement mechanisms, monitoring structure, and award closeout process.

EERE Funding Agreement: Cooperative Agreements

EERE generally uses cooperative agreements as the main mechanism for providing financial support to its recipients.

Under a cooperative agreement, substantial involvement is anticipated between the EERE program office and the recipient during performance of the funded activity. According to 10 CFR 600.5, substantial involvement exists if responsibility for the management, control, or direction of the project is shared by the U.S. Department of Energy (DOE) and the recipient; or responsibility for the performance of the project is shared by DOE and the recipient. The specific nature of the collaboration is defined in the terms and conditions of the cooperative agreement.

The Funding Opportunity Announcement will describe EERE's substantial involvement in each project. Below are examples of EERE’s substantial involvement:

  1. EERE shares responsibility with the recipient for the management, control, direction, and performance of the project.
  2. EERE may intervene in the conduct or performance of work under this award for programmatic reasons. Intervention includes the interruption or modification of the conduct or performance of project activities.
  3. EERE may redirect or discontinue funding the project based on the outcome of EERE’s evaluation of the project at that the Go/No-Go decision point.

EERE does not limit its involvement to the administrative requirements of the cooperative agreement. Instead, EERE participates in all major project decision-making processes.

Receiving EERE Funding Agreement

Upon successful completion of negotiations, recipients receive a formal cooperative agreement via FedConnect, a web-based system. The EERE Model Cooperative Agreement explains the recipient’s duties and responsibilities, including reporting requirements. The EERE Model Cooperative Agreement consists of the following:

Assistance Agreement — this is the cover page of the Cooperative Agreement that includes only high-level information such as a unique award number, funding amount, period of performance, and points of contact for the Recipient and EERE personnel designated to manage the agreement.

Special Terms and Conditions — this document includes, but is not limited to, terms related to Payment, Cost Sharing Requirements, National Environmental Policy Act (NEPA) requirements, continuation applications, go/no-go decision points, technical milestones, terms of property and equipment purchases, and audits. It is critical to review and understand the terms and conditions of the funding agreement. Should the recipient fail to comply with the requirements specified in this document, EERE may take appropriate action consistent with 10 CFR §§ 600.24 and 600.25, including but not limited to, redirecting, suspending or terminating the Award.

Attachment 1: Statement of Project Objectives (SOPO) — the SOPO describes the overall objectives and scope of the project, provides a description of the tasks to be performed, and describes the project-specific milestones and go/no-go decision points.

Attachment 2: Federal Assistance Reporting Checklist and Instructions — this document contains a list of all reporting requirements and corresponding instructions.

Attachment 3: Budget Information (SF424A) — this document includes the final EERE approved budget, by cost category (e.g., personnel, supplies, equipment, etc.).

Attachment 4: Intellectual Property Provisions — final intellectual property provisions resulting from successful negotiations, including patent and data rights. The intellectual property provisions of EERE awards are based on the type of project and the type of Recipient (e.g., small business, large business, or non-profit, etc.). As a result, you will find multiple versions of Attachment 4 in the model cooperative agreement.

Reporting

As part of the cooperative agreement, the Federal Assistance Reporting Checklist and Instructions lists all of the required deliverables for a specific agreement.

Examples of reporting requirements:

Quarterly:

  • Progress Report
  • Financial Report

Annual:

  • Indirect Cost Proposal
  • Audit (For-Profit Recipients)

Final:

  • Final Scientific/Technical Report
  • Patent Certification
  • Final Property Report

Other:
Refer to the Federal Assistance Reporting Checklist and Instructions specific to the agreement for details. More information about each of these reports in also available in Recipients Guide to Negotiating with EERE.

  • Project Management Plan
  • Special Status Report
  • Indirect Cost Proposal
  • Intellectual Property Report
  • Invention Utilization Report
  • US Manufacturing Report
  • Data Management Plan

If the recipient is delinquent in required reporting, EERE may take appropriate action consistent with 10 CFR §§ 600.24 and 600.25, including—but not limited to—redirecting, suspending, or terminating the award. Further, EERE may deny reimbursement for costs incurred that relate to the failure to comply, and such costs may not be recognized as allowable cost share.

Submitting Reports

EERE Funding Agreements: The Project Management Center (PMC) allows recipients to upload reports for competitive awards.

Formula Grants: The Performance and Accountability for Grants in Energy (PAGE) system allows recipients to upload reports for formula grants.

Requesting Reimbursement

EERE's recipients are required to ensure that claimed costs are allowable, allocable, and reasonable. Payment terms and procedures may vary by the funding agreement. EERE may require detailed supporting documentation for each invoice. Recipients must consult with the Special Terms and Conditions of their specific funding agreement to determine which payment procedures to follow when requesting reimbursement.

Performance

EERE will exercise normal federal stewardship in overseeing the project activities under the award. Stewardship activities include—but are not limited to—conducting site visits; reviewing performance and financial reports; providing technical assistance and/or temporarily intervening in unusual circumstances to address deficiencies that develop during the project; assuring compliance with terms and conditions; and reviewing technical performance after project completion to ensure that the project objectives have been accomplished.

Managing Changes

As the project progresses, scope, budget, and/or subcontractor changes may be necessary. Before making revisions to the award, recipients should refer to the Special Terms and Conditions in their specific agreement to understand the requirements associated with these types of changes. Revisions to the award may require the DOE Contracting Officer's prior approval.

Continuation Applications

A continuation application is a non-competitive application for an additional budget period within a previously approved project period. The Continuation Application and Funding term in the Special Terms and Conditions of the award specifies when a recipient must submit a Continuation Application to the EERE Technology Director Program Manager and DOE Award Administrator, and lists the requirements of the Continuation Application. Continuation funding is contingent on (1) the availability of funds appropriated by Congress for this program and the availability of future-year budget authority; (2) recipient's technical progress compared to the Milestone Summary Table in the Statement of Project Objectives; (3) EERE's "Go/No-Go" decision; (4) recipient's submittal of required reports; and (5) recipient's compliance with the terms and conditions of the award.

Go/No-Go Decision Points

As part of the funding agreement, the Statement of Project Objectives establishes annual "Go/No-Go" decision points for each project.. For each "Go/No-Go" decision point, EERE must determine whether the recipient has fully and satisfactorily completed the work described in the Statement of Project Objectives. As a result of a "Go/No-Go" review, EERE may take one of the following actions:

  1. Authorize federal funding for the project's next budget period;
  2. Recommend redirection of work under the project;
  3. Place a hold on the federal funding for the project, pending further supporting data;
  4. Discontinue providing Federal funding for the project beyond the current budget period as the result of insufficient progress, change in strategic direction, or lack of available funding.

Closeout Guidance

Once the project period ends, recipients have 90 days to complete the final reporting requirements, as specified in the Federal Assistance Reporting Checklist and Instructions. Examples of those reports are Final Scientific/Technical Report, Final Patent Clearance Report, Final Property Disposition Report, and a Final Federal Financial Report.

Final reports are submitted in accordance to instructions in the Federal Assistance Reporting Checklist and Instructions. For example, the Final Scientific/Technical Report must be submitted electronically via the DOE Energy Link System (E-Link).

OSTI E-Link provides the means for scientific and technical information (OSTI) sponsored by Department of Energy (DOE) to be provided electronically to DOE. E-Link is developed and maintained by the DOE Office of Scientific and Technical Information (OSTI).

OSTI E-Link facilitates the electronic submittal of STI between DOE and its client community, including researchers, reviewers, research administrators, and others doing business with DOE. STI deliverables provided to DOE through E-Link are announced, as appropriate, on web products maintained by OSTI, which provide free and convenient public access to full text and bibliographic data of products resulting from DOE-funded research.

Submit Final Scientific/Technical Report