Attachment__2_Reporting_Requirements_Checklist.pdf

Attachment #2

89233118QNA000043

U.S. DEPARTMENT OF ENERGY

NATIONAL NUCLEAR SECURITY ADMINISTRATION

REPORTING REQUIREMENTS CHECKLIST

1. PROGRAM/PROJECT TITLE

NA-212 - Cyber and Physical Security in Support of Global Efforts to Secure Nuclear and Radiological Materials

2. IDENTIFICATION NUMBER

89233118QNA000043

3. PARTICIPANT NAME AND ADDRESS

To Be Determined

4. PLANNING AND REPORTING REQUIREMENTS

Frequency A. General Management

Management Plan (requires COR approval) Status Report A Project Plan A

B. Schedule/Labor/Cost

Milestone Schedule/Plan Labor Plan Facilities Capital Cost of Money Factors Comp.

Contract Facilities Capital and Cost of Money Cost Plan Milestone Schedule/Status Labor Management Report Technical & Cost Reports

C. Exception Reports

Conference Record Hot Line Report

D. Performance Measurement

Management Control System Description WBS Dictionary

Index Element Definition

Cost Performance Reports

Format 1 - WBS Format 2 - Function Format 3 - Baseline

Financial Incentives

Statement of Income and Expense Balance Sheet Statement of Changes in Financial Position

Frequency E. Scientific and Technical Information (STI) DOE F 241.1 available at http://www.osti.gov/

Technical Progress Report (Annual Accomplishment Report) Draft for Review Final for Approval Conference Report Final Technical Report Draft for Review Final for Approval Software Other (Specify):

F. Other Reports (Not Science and Technical Information, STI)

Stakeholder List A Test Results Other A

G. Miscellaneous Other Reports

Small Disadvantage Subcontracting Plan Reports Available at eSRS website, http://www.esrs.gov/

ISR Individual Subcontract Report (Formerly SF 294) SSR Summary Subcontracting Report (Formerly SF 295)

Government Property Reports (41 CFR 102-36.295) Available at http://www.directives.doe.gov/forms/index.html

DOE F 4300.3 Semi-Annual Summary Report of DOE-Owned Plant and Capital Equipment PIDs Property Information Database Report

Work Environment, Health & Safety Plan (10 CFR 851) Initial Submission Updates

Other Other

5. FREQUENCY CODES

A - As Required BM - Bi-Monthly S - Semi-Annually C - Change to Contractual Agreement M - Monthly X - With Proposal/Bid/Application or with Significant Changes F - Final (end of effort) O - Once After Award Y - Yearly or Upon Renewal of Contractual Agreement/Revision of D - Daily Q - Quarterly Task Assignment

7. PREPARED BY

Lesa McBride COR (Date)

8. REVIEWED BY

Kyle Krzywicki Contract Specialist/Officer (Date) http://www.directives.doe.gov/forms/index.html

Attachment 2

6. SPECIAL INSTRUCTIONS (Attachments)

Report Distribution List

Report/Plan Form No. (if any) Frequency Copies Address Project Plan Electronic A 1 A, B, Project Status Reports Electronic A 1 A, B Stakeholder List Electronic A 1 A, B, Best Practice Guide Electronic A 1 A, B, List of Addresses

A. National Nuclear Security Administration B. National Nuclear Security Administration Attn: Nick Butler, NA-212 Attn: Lesa McBride, COR 1000 Independence Avenue, S.W. 1000 Independence Avenue, S.W.

Washington, D.C. 20585 Washington, D.C. 20585 Email: Nicholas.Butler@nnsa.doe.gov Email: Lesa.McBride@nnsa.doe.gov Phone: 202-586-1929 Phone: 202-586-6665

C. National Nuclear Security Administration D.

Attn: Kyle Krzywicki, Contracting Officer 1000 Independence Avenue, S.W.

Washington, D.C. 20585 Email: Kyle.Krzywicki@nnsa.doe.gov Phone: 202-586-0831

Progress Reports Reports to be submitted for each Fiscal Year

1st Qtr Report: Oct – Dec (due Jan 30).

2nd Qtr Report: Jan – Mar (due Apr 30);

3rd Qtr Report: Apr - Jun (due Jul 30);

4th Qtr Report: Jul - Sep (due Oct 30);

REPORTING REQUIREMENTS CHECKLIST

PURPOSE

The checklist identifies and communicates reporting requirements, The checklist will be completed for each contract.

INSTRUCTIONS

Item 1. Enter the title of the project as indicated in the procurement request, contract, interagency agreement, initiating memorandum, or official award, as appropriate.

Item 2. Enter the identification number of the procurement request, contract award, or financial incentives agreement, as appropriate.

Item 3. Enter the name and address of the participant.

Item 4. Check spaces to indicate plans and reports selected. Explanations of each item follows under “Planning and Reporting Requirements Supplemental Definitions and Information”.

For each reporting requirement selected, indicate the frequency of delivery using one of the frequency codes from Item 5. The addressees to who reports will be sent and the total number of copies required will be referenced in an attached coded distribution list.

Note: Frequency codes represent specific reporting frequencies for each selected report. The frequencies are recommended in the solicitation and negotiated prior to award. The number of copies required and the addressees are similarly finalized prior to award.

Item 5. This item lists the possible frequency codes to be applied in the selection of reporting requirements.

Item 6. Attach special instructions as necessary.

Check the appropriate box(es).

Item 7. Name of person preparing checklist and the date prepared.

Item 8. Name of person reviewing the checklist and date reviewed. Appropriate forms are attached for use by the contractor or as guidelines with instructions.

PLANNING AND REPORTING REQUIREMENTS

Types of Reports and Customary Uses

The checklist identifies and communicates reporting requirements. The checklist will be completed for each contract. If necessary, special instructions may be appended to modify the checklist to adapt it to specific situations.

Below are definitions of the terms used in the checklist.

A. GENERAL MANAGEMENT REPORTS

These summarize schedule, labor, and cost plans and status for rapid overview by senior managers, and provide appropriate narrative explanation of status variance from plan.

A-1 Management Plan The "Management Plan" describes the participant's approach to performing the effort and producing the products identified in the contractual agreement, and the technical, schedule, cost, and financial management control systems to be used to manage that performance. The "Management Plan" is commonly required as part of the proposal and becomes a binding part of the contractual agreement. The content and level of detail in the "Management Plan" vary with the types of contractual agreement and the nature of the work involved; however, they must be sufficiently comprehensive to describe the planned execution, management, and results of the work. The participant may attach existing materials (e.g., company personnel management procedures) as appropriate. Figure II-9 shows an example "Management Plan" outline which should be modified and applied as appropriate to specific applications. The plan should include:

(1) A brief consolidated executive summary permitting general management to quickly comprehend the most significant components of the plan. This summary should be sufficient to present a comprehensive overview of the project and should stress the logical interrelationships among the significant planned components.

(2) A brief introduction including a background (e.g., legislative, scientific, sociological, and historical) that demonstrates the participant's understanding of the problems, both management and technical, associated with the proposed effort.

(3) An overall description of planned accomplishments, including technical, schedule, cost, and financial results, and how they interrelate. When required, the "Work Breakdown Structure Dictionary" and the "Management Control Systems Description" normally required under CSCSC will be included in this section.

(4) A description of the management systems employed to control cost and schedule performance, including a discussion of the organizational components responsible for cost and schedule management, and an explanation of planning, budgeting, accounting, and analytical procedures and systems.

(5) A description of the technical support systems and controls employed to enable and control the planned technical results, including systems engineering, configuration management, quality assurance, safety engineering, environmental engineering, data processing, and any other systems, as applicable.

(6) A description of the administrative support system's and controls employed to facilitate execution of the contract. The description should include an overview of those systems that support general corporate efforts but which are not dedicated to specific project activities.

(7) For loans and loan guarantees, a description of the financial support systems and controls employed to ensure accomplishment of planned financial results, including income, expenses, cash, inventory, receivables, fixed assets, payables, current and long-term liabilities, equity, and any other applicable items.

A-2 Status Report The "Status Report" is the participant project manager's concise narrative assessment of the status of the work being performed under the contractual agreement. DOE management uses the report to monitor status and to provide early recognition of potential problem areas. The report highlights changes to objectives, changes to technical approach, task variances from baseline in excess of stipulated thresholds by reporting element, causative factors, and actions taken or proposed to resolve them, as well as factors with potential for causing significant variances in the future.

Task progress may also be highlighted. The report next identifies open items requiring action by DOE or the participant. The report also provides a summary assessment of the current situation, including a forecast of the near future and the expected impact on project accomplishment. The report may be accompanied by attachments. For contracts, the report includes, as attachments, funding status, funding by time period, and a cost change reconciliation.

A-3 Summary Report A summary presentation of integrated cost, labor, and schedule information for rapid analysis and trend forecasting.

Most data are presented graphically.

B. SCHEDULE/LABOR/COST

B-1 Milestone Schedule Plan/Status Report A dual-purpose format to establish a baseline schedule and then indicate performance status for each reporting element identified in the award instrument.

B-2 Labor Plan A baseline plan to allocate direct labor to each reporting element required by the contractual agreement.

B-3 Facilities Capital Cost of Money Factors Computation The purpose of this form is to (a) accumulate total facilities capital net book values allocated to each business unit for the participant cost accounting period and (b) convert those values to facilities capital cost of money factors applicable to each overhead or general and administrative expense allocation base employed within a business unit.

B-4 Contract Facilities Capital and Cost of Money The purpose of this form is to compute the estimated facilities capital to be employed for a specific contract proposal. An intermediate step is to compute the estimated facilities capital cost of money, using the Facilities Capital Cost of Money Factors developed on Form(s) CASB-CMF. This procedure is intended to be fully compatible with Cost Accounting Standard 414, “Cost of Money as an Element of the Cost of Facilities Capital”, and extend those criteria and techniques to prospective periods for forward pricing purposes. Measurement of the amount of facilities capital employed is discussed in FAR 31.205-10.

B-5 Cost Plan This establishes the plan for accruing total costs for the life of the contractual agreement.

B-6 Milestone Schedule Plan/Status Report A dual-purpose format to establish a baseline schedule and indicate performance status for each reporting element identified in the award instrument.

B-7 Labor Management Report A periodic report of the status of actual and projected labor expenditures and their variances from the approved "Labor Plan" for a contractual agreement.

B-8 Cost Management Report A periodic report of the status of actual and estimated accrued costs and their variances from the current approved "Cost Plan" for a contractual agreement. The report will be used by the Government to monitor the status of the contractual agreement, verify the reasonableness of the participant's invoices, report costs accrued during the reporting period, and estimate costs to be accrued during the subsequent report period(s).

C. EXCEPTION REPORTS

These reports are used to inform DOE of any unusually significant events and document the participant's understanding of DOE/participant discussions.

C-1 Conference Record Documents for the DOE project manager, DOE contracting officer, and the participant an understanding of significant decisions, direction or redirection, or required actions resulting from meetings with DOE representatives.

It is required for any meeting, conference, or phone conversation in which a decision is made that may change the schedule, labor, cost, or technical aspects of the contractual agreement or the approved baseline plans.

C-2 Hot Line Report This is essentially an expedited "Conference Record." Identification as a "Hot Line Report" serves notice at each link in the delivery chain that speed in handling is required. Unless otherwise agreed by the parties involved, DOE is expected to take action and respond in a similarly speedy manner. These reports may be used to report a major breakthrough in research, development, or design; an event causing a significant schedule slippage or cost overrun;

achievement or failure to achieve an important technical objective; or any requirement for quickly documented direction or redirection.

D. PERFORMANCE MEASUREMENT REPORTS

These provide information regarding the budgeted cost for work performed relative to the budgeted cost for work scheduled and the actual cost of work performed and provide for reporting data on performance measurement baseline maintenance and estimates at completion. Refer to DOE O 413.3-10 which EVMS for projects exceeding certain thresholds.

D-1 Management Control Systems Description Performance measurement reports are normally required when the Cost and Schedule Control Systems Criteria of DOE 2250.1A are applied. However, the inclusion of the criteria in a solicitation or contractual agreement is not a requirement for submission of reports which are specified only by the "Reporting Requirements Checklist."

D-2 Work Breakdown Structure Dictionary Management control systems Description and Work Breakdown Structure Dictionary are normally required of a contractor as part of "The Management Plan" when the cost and schedule control systems criteria are applied to a contract.

D-3 Cost Performance Report A periodic report of budgeted, earned, and actual cost of work performed, and of budgeted and estimated costs at completion, with related variances by work breakdown structure element.

D-3a Work Breakdown Structure (Format 1) Part 1-Index-The work breakdown structure index lists the preliminary work breakdown structure elements extended to the lowest level required. Specific project requirements may be added as needed. Work Breakdown Structure Dictionary Part II – Element Definition Part II describes the work breakdown structure elements contained in the Index and their relationship to design and funding documents. Specific project requirements may be added as needed.

D-3b Cost Performance Report – Functional Categories (Format 2) A periodic report of budgeted, earned, and actual cost of work performed, and of budgeted and estimated costs at completion, with related variances, by functional organization.

D-3c Cost Performance Report – Baseline (Format 3) This is a periodic report of revisions to the performance measurement baseline.

E. TECHNICAL-SCIENTIFIC AND TECHNICAL INFORMATION (STI)

The mission of the Office of Scientific and Technical Information (OSTI) is to advance science and sustain technological creativity by making R&D findings available and useful to Department of Energy (DOE) researchers and the American people. Ongoing strategies for accomplishing this mission. Office of Scientific and Technical Information (OSTI) requires that STI products and documents that provide findings, statistics, and analysis related to DOE research and development programs (excluding administrative documents) are appropriate for announcement to OSTI per DOE G 241.1-1A.

This information is to be submitted on the website https://www.osti.gov/elink/Technical Reports, submitted on both a regular and as-required basis, are the primary means by which DOE disseminates scientific, technical, and engineering information acquired in the performance of DOE-supported efforts to the Department's researchers and program managers, and, when appropriate, the general public. This requirement shall be completed online per STI consists of information products, in any format or medium, derived from scientific and technical studies, work, or investigations that relate to research, development, demonstration, and other specialized areas such as environmental and health protection and waste management.

Scientific and technical information products may be unclassified unlimited, sensitive unclassified, export controlled, classified, or declassified. DOE-funded STI originates primarily from research and other activities performed by contractors for management, operation, or integration of DOE-owned/leased facilities, direct DOE-executed prime procurements, DOE-operated research activities, and financial assistance recipients, in addition to DOE employees. The definition from DOE G 241-1.1A is as follows:

Scientific and Technical Information (STI).

• STI consists of information products, in any format or medium, derived from scientific and technical studies, work, or investigations that relate to

• research, development,

• demonstration,

• and other specialized areas such as environmental and health protection and waste management.

• Scientific and technical information products may be unclassified unlimited, sensitive unclassified, export controlled, classified, or declassified.

F. OTHER REPORTS (not OSTI) This is required when program manager or contracting officer desires a technical report that does not require filing under OSTI requirements. A draft and/or a final may be required.

G. MISCELLANEOUS OTHER REPORTS

This is for any other contractual reports that the Program Manager/Contract Specialist would like to highlight.

Information of reports not addressed here are available online. The PIDS information is not a form, but report information that may be required from the contractor.

Property Information Database System (PIDS) Non-M&O contractors are reminded that information needs to be collected on federally-owned property as well as Contractor-Acquired property used in Conjunction with Cooperative Agreements, Grants, Interagency Agreements, Non-maintenance and operation cost reimbursement contractors, and fixed-priced contracts. This report reflects reporting of Contractor’s property statistics for the fiscal year. This information is made available to Congressional and other offices. This provides the means for reporting DOE and Contractor held property as follows:

• Equipment items valued $5K to $49,999

• Equipment valued at $50K and above

• Sensitive items regardless of value