Attachment IV - Deliverables and Reporting Checklist (SSTI 4).docx

FA9453-21-S-0001, Call Number: 015 Attachment IV Deliverables and Reporting Requirements

PROJECT MANAGEMENT REPORTING

SCIENTIFIC / TECHNICAL REPORTING

CLOSEOUT REPORTING

OTHER REPORTING

FREQUENCY CODES AND DUE DATES:

A_ As Applicable; Within five (5) calendar days after the event, or as specified by Program Manager and/or Contracting Officer.

F_ Final; within 90 calendar days after expiration or termination of the award.

M_ Monthly; within 15 calendar days after the end of the monthly reporting period with invoice submission.

Y_Yearly; within 90 calendar days after the end of the annual reporting period.

Q _Quarterly; within 30 calendar days after the end of the quarterly reporting period.

Reporting Instructions

A. PROJECT MANAGEMENT REPORTING

1. Research Performance Progress Report (R&D Projects) 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. As applicable, an annual in person briefing on research performance progress is required by lead institution and sub-awardees. The Research Performance Progress Report must include the following information:

· Section III. Changes in Approach: Any changes in approach or aims and reasons for change. Any changes to the technical milestones and deliverables must be approved in advance by the Program Manager.

· Technologies/Techniques: Any new technologies or techniques developed under the Award. Briefly describe the new technologies or techniques the pre- commercialization history of the technologies and their potential application to current and future projects.

· Student Involvement/Participation: Briefly describe the number of undergraduate, graduate, and postdoctoral fellows that are engaged with the research team and obtain a hands-on learning experience. Describe the degree to promote student opportunities, such as internships, to increase interest in STEM careers within USSF and AFRL. If applicable, provide the financial amount invested in direct student involvement/participation (for example, direct costs for items such as stipends or subsistence, etc.).

· Publications: Any project-related articles, papers, or presentations that are authored or prepared by the Project Team and published or distributed (at a conference or otherwise). List author name; title; publication or conference;

volume, issue, and pages (if applicable); and year of publication. The Prime Recipient is required to send a copy of each publication to the program support designated Program Manager.

· Media Reports: Any media articles (e.g., newspapers, magazines, online media). List author, title, publication or website, page number (if applicable), and date of publication. The Prime Recipient is required to send a copy of any media report that discusses project results to the program support staff designated by the Program Manager.

· Websites Featuring Project Work or Results: Web site or other Internet sites that reflect the work or results of this project.

· Awards, Prizes, and Recognition: Any awards, prizes, or other recognition for project work or results, subjection inventions, patents, or patent applications, etc. List name of award/recognition/prize, name of sponsoring organization, date of receipt, and subject of award/prize/recognition

· Invention Disclosures, Patent Applications, Licensed Technologies, etc.

· Other Information: Additional project output, such as data or databases, physical collections, audio or video, software or netware, models, educational aid or curricula, instruments, or equipment, etc.

Submission deadline:

Within 30 calendar days after the end of the quarterly reporting period (January 30, April 30, July 30, October 30)

2. Federal Financial Report (SF-425) Every quarter, the Prime Recipient is required to submit a completed SF-425 for the project – i.e., the entirety of work performed by the Prime Recipient, Subrecipients, and contractors.

Submission deadline:

Within 30 calendar days after the end of the quarterly reporting period (January 30, April 30, July 30, October 30) and within 90 calendar days after expiration or termination of the award.

3. Request for Advance or Reimbursement (SF-270) Every month, the Prime Recipient is required to submit a completed SF-270 for the project – i.e., the entirety of work performed by the Prime Recipient, Subrecipients, and contractors.

4. Annual Audit (Financial) As required by 2 CFR 200 entity which expends $750,000 or more during their fiscal year in federal awards must have a compliance audit conducted for that year.

Submission deadline:

Within the earlier of 30 days after receipt of the auditor’s report(s) or after the end of the audit period.

5. Project Management Plan (PMP) The recipient is required to develop, update, and adhere to a project management plan. The purpose of the plan is to establish cost, schedule, and technical performance baselines, and to formalize the processes by which the project will be managed. These processes include considerations such as risk management, change management, and communications management. While it is primarily the project recipient’s responsibility to maintain the plan, Federal staff may request changes. The plan is intended to be a living document, modified as necessary, and comprising the following iterations:

· Proposal Draft. The recipient must submit a draft of the project management plan with the initial application/proposal.

· Negotiation Draft. The selected recipient may be called upon by the Contracting Officer to revise its project management plan during the negotiation phase.

· Active Plan. Following formal award of the financial assistance agreement, the recipient must submit an updated project management plan, to include any changes requested during negotiation and a timeline based upon the actual award date. An annual in person briefing on project management active plan is required.

Submission deadline:

As Applicable; Within five (5) calendar days after the event, or as specified by Program Manager and/or Contracting Officer.

B. SCIENTIFIC / TECHNICAL REPORTING

In coordination with the Government designated Program Manager, the Recipient shall coordinate and request approval from the designated Program Manager, 21 working days prior to release of any information relating to the contract, such release shall include a statement to the effect that the project or effort depicted was or is sponsored under this Award. For the purpose of this Award "information" includes but is not limited to material presented in news releases, articles, manuscripts, brochures, advertisements, still and motion pictures, speeches, presentations, meetings, conferences, symposia, etc. The recipient further agrees to include this requirement in any sub-awards or sub-contracts awarded as a result of this Award.

All scientific/technical products intended for public release should not contain protected Personally Identifiable Information (PII). Personally Identifiable Information is defined as any information about an individual which can be used to distinguish or trace an individual’s identity. Examples of Scientific/ Technical reports include, but is not limited to:

· Journal Article-Accepted Manuscript

· Scientific / Technical Conference Paper / Presentation / Proceeding

· Scientific / Technical Software & Manual

· Scientific / Technical Dataset

· Other (Dissertation / Thesis, etc.)

Submission deadline:

As Applicable; Within five (5) calendar days after the event, or as specified

C. CLOSEOUT REPORTING

1. Final Scientific / Technical Report (As Applicable) The Prime Recipient must submit a Final Scientific/Technical Report to AFRL. The Report must be submitted in Adobe PDF Format as one integrated PDF file that contains all text, tables, diagrams, photographs, schematic, graphs, and charts. The Report must contain the following information, but is not limited to:

· 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.

· Provide a comparison of the actual accomplishments with the goals and objectives of the project.

· 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.

· Identify products developed under the Award and technology transfer activities.

· For projects involving computer modeling, provide the following information with the final report:

· Model description, key assumptions, version, source and intended use;

· Performance criteria for the model related to the intended use;

· 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);

· Theory behind the model, expressed in non-mathematical terms;

· Mathematics to be used, including formulas and calculation methods;

· Whether or not the theory and mathematical algorithms were peer reviewed, and, if so, include a summary of theoretical strengths and weaknesses;

· Hardware requirements; and

· Documentation (e.g. user guides, model code).

Submission deadline:

A DRAFT version of the Final Scientific and Technical Report shall be delivered to the Government no later than 60 days prior to the end of the Technical Period of Performance.

The Government shall provide comments on the DRAFT version of the Final Scientific and Technical Report to the Recipient no later than 30 days after receiving DRAFT version report.

The Final Scientific and Technical Report shall be delivered to the Government no later than 90 days after the end of the Technical Period of Performance.

Note: The DRAFT and Final Scientific and Technical Report shall be in accordance to the AFRL American Standards Institute (ANSI)/ National Information Standards Organization (NISO) guide Z39.18 as a formatting guide for technical reports.

2. Final Property Report (SF-428, SF-428B, & SF-428C) The Prime Recipient must submit a final inventory of Government-furnished property, and property acquired with project funds, whether the property is in the possession of the Prime Recipient or Subrecipients. The inventory must include a description of the property, tag number, acquisition date, and acquisition cost, if purchased with project funds. The location of property should be listed under the Comments section. Any property with a fair market value below $5,000 may be omitted from the inventory.

The Prime Recipient may submit a disposition plan or request by submitting a completed SF- 428C. The Contracting Officer has sole and exclusive authority to approve disposition plans and requests.

3. Software Deliverable Submission (As Applicable) The Prime Recipient must submit all software deliverables created under this Award, as well as any accompanying documentation or manuals. 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.

Submission deadline:

Within 90 calendar days after expiration or termination of the award

D. OTHER REPORTING

1. Intellectual Property Reporting (As Applicable) The Recipient and subrecipient(s), if any, must complete the Intellectual Property Report when:

· Disclosing a subject invention, including anticipated uses and sales.

· Reporting publications, manuscript submissions, or other public disclosures concerning a subject invention.

· Electing (or declining) to retain title to a subject invention.

· Disclosing the filing or termination of patent applications on a subject invention (i.e., patent applications disclosing or claiming a subject invention).

Failure to submit Intellectual Property Reporting in a timely manner may result in forfeiture of the recipient’s or subrecipient’s rights in the subject inventions.

2. Invention Utilization Report (As Applicable) The recipient and subrecipient(s), if any, must provide Invention Utilization Reports for any subject inventions made under the award.

3. Annual Indirect Cost Proposal The Prime Recipient and Subrecipient must submit an Annual Indirect Cost Proposal, reconciled to its financial statements 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.

Submission deadline:

As Applicable; Within five (5) calendar days after the event, or as specified

4. Annual Property Inventory (SF-428) The Prime Recipient must submit an annual inventory of Government-furnished property and property acquired with project funding where the award specifies that the property vests in the Federal Government (i.e., Federally owned property), whether held by the Prime Recipient or Subrecipients. The inventory must include a description of the property, tag number, acquisition date, and acquisition cost, if purchased with project funds. The location of property should be listed under the Comments section. Any property with a fair market value of $5,000 or less may be omitted from the inventory.

Submission deadline:

Within 90 calendar days after the end of the annual reporting period.

NOTE: Research and Development Standards Forms (SF) such as property reports are available to download, via Grants.gov: https://www.grants.gov/web/grants/home.html