ESBD_404455_1749755149867_Exhibit 1 - FARC_HOMES.pdf

Federal Assistance Reporting Checklist Attachment 2

December 2024

1. Award Number: DE-SE0000066.0001 2. Program/Project Title: SCEP- IRA 50121 ALRD-2022 - Home Energy Rebates: Home Efficiency Rebates

3. Recipient: State of Texas

4. Reporting Requirements (see also the Special Instructions) Frequency Addresses

I. PROJECT MANAGEMENT REPORTING

A. Performance Report - Narrative B. Performance Report - Quantitative

Q Q

A. PAGE System B. PAGE System

C. Financial Report (SF-425) F, Q C. PAGE System D. Scientific and Technical Reporting

1. Accepted Manuscript of Journal Article(s) A5, P D.1. OSTI E-Link

2. Conference Product(s) A5, P D.2. OSTI E-Link

3. Technical Report(s) A5, P D.3. OSTI E-Link

4. Software & Manual(s) A5, P D.4. DOE CODE

5. Dataset(s) A5, P D.5. OSTI E-Link Datasets

6. Other STI (Dissertation / Thesis, etc.) A5, P D.6. OSTI E-Link

E. Intellectual Property Reporting

1. Intellectual Property Reporting A5, P E.1. iEdison

2. Invention Utilization Report A5, P E.2. iEdison

F. Project Management Plan (PMP) F. PAGE System G. Special Status Report A5 G. See section I.G. for instructions and due dates H. Progress Tranche Summary Report A5 H. PAGE System I. Other Project Management Reporting (see Special Instructions)

1. Deferred Narrative Document Responses

2. Privacy and Risk Assessment of State Systems

3. Outreach and Education Strategy

4. Utility Data Access Plan (Only required for 50121)

5. Consumer Protection Plan

6. Market Transformation Plan

7. Community Benefits Plan

8. Security and Privacy Controls documentation

9. Evaluation Plan (Not required if participating in DOE-led impact evaluation)

10. Pre-Launch Information

11. Rebate Transaction Data

12. Programmatic Data Tracking

13. Final Evaluation Results (Not required if participating in DOE-led impact evaluation)

14. IRA Supplemental Annual Data Report

15. IRA Home Energy Rebates Program Planned Activities

A5 A5 A5 A5 A5 A5 A5 A5 Q A5 A5 A5 Q Y Q

I. See Special Instructions

1. PAGE System

2. PAGE System

3. PAGE System

4. PAGE System

5. PAGE System

6. Determined by DOE

7. PAGE System

8. PAGE System

9. PAGE System

10. DOE Project Officer

11. PNNL

12. PAGE System

13. PAGE System

14. PAGE System

15. PAGE System

II. AWARD MANAGEMENT REPORTING

A. Current and Pending Support A5 A. PAGE System B. Demographic Reporting C. Financial Conflict of Interest Report

A5 A5

B. PAGE System C. PAGE System

D. Tangible Personal Property Report - Annual Property Report (SF-428 & SF- 428A)

D. PAGE System

E. Tangible Personal Property Report – Disposition Request/Report

(SF-428 & SF-428C)

A5 E. PAGE System

F. Uniform Commercial Code (UCC) Financing Statements A5 F. See section II. F. for instructions and due dates G. Federal Subaward Reporting System (FSRS) A5 G. FSRS H. Annual Incurred Cost Proposal Y180 H. See section II. H. for instructions and due dates I. DOE For-Profit Compliance Audit I. See section II. I. for instructions and due dates J. Single Audit: States, Locals, Tribal Governments, and Non-Profits O J. See section II. J. for instructions and due dates

Attachment 2, Reporting Checklist

DE-SE0000066.0001

https://www.page.energy.gov/ https://www.page.energy.gov/ https://www.page.energy.gov/ http://www.osti.gov/elink-2413 http://www.osti.gov/elink-2413 http://www.osti.gov/elink-2413 https://www.osti.gov/doecode/ https://www.osti.gov/elink/2416-submission.jsp http://www.osti.gov/elink-2413 http://www.iedison.gov/ http://www.iedison.gov/ https://www.page.energy.gov/ https://www.page.energy.gov/ https://www.page.energy.gov/ https://www.page.energy.gov/ https://www.page.energy.gov/ https://www.page.energy.gov/ https://www.page.energy.gov/ https://www.page.energy.gov/ https://www.page.energy.gov/ https://www.page.energy.gov/ https://www.pnnl.gov/projects/rebate-tools https://www.pnnl.gov/projects/rebate-tools https://www.page.energy.gov/ https://www.page.energy.gov/ https://www.page.energy.gov/ https://www.page.energy.gov/ https://www.page.energy.gov/ https://www.page.energy.gov/ https://www.page.energy.gov/ https://www.page.energy.gov/ https://www.page.energy.gov/ https://www.fsrs.gov/

2 December 2024

K. Other Award Management Reporting (see Special Instructions)

1. Invoice documentation

2. Trafficking in Persons

A5

K. See Special Instructions

1. Determined by DOE

III. CLOSEOUT REPORTING

A. Final Scientific/Technical Report F A. OSTI E-Link B. Invention Certification (DOE F 2050.11) B. PAGE System C. Tangible Personal Property Report – Final Report (SF-428 & SF-

428B) F C. PAGE System

D. Verification of Receipt of Accepted Manuscripts F D. See section III.D. for instructions and due dates E. Other Closeout Reporting (see Special Instructions) E. See Special Instructions

IV. POST-PROJECT REPORTING

A. Scientific and Technical Reporting B. Intellectual Property Reporting

P P

A. OSTI E-Link B. iEdison

V. Bipartisan Infrastructure Law/Inflation Reduction Act Reporting A. Community Benefits Report B. Boosting Domestic Manufacturing C. Quality Job Creation

1. Direct Jobs

2. Training Outcomes

3. Good Jobs Outcomes

4. Permanent Jobs

D. Equity and Justice

1. Community Engagement Process

2. Engagement Events and Technical Assistance

3. Community Ownership

E. Pathway to Net-Zero

1. Infrastructure Supported

2. Hydrogen Production

3. Carbon Capture, Removal, and Storage

4. Energy Saved

F. Davis Bacon Act Semi-Annual Labor Compliance Report G. Locations of Work

A5, Y, F

A5, Y, F

A. PAGE System B. PAGE System

C.1. LCPtracker C.2. PAGE System C.3. PAGE System C.4. PAGE System

D.1. PAGE System D.2. PAGE System D.3. PAGE System

E.1. PAGE System E.2. PAGE System E.3. PAGE System E.4. PAGE System F. PAGE System G. Applicable only to OCED & FECM. Program

Offices to complete

Attachment 2, Reporting Checklist

DE-SE0000066.0001

http://www.osti.gov/elink-2413 https://www.page.energy.gov/ https://www.page.energy.gov/ http://www.osti.gov/elink-2413 http://www.iedison.gov/ https://www.page.energy.gov/ https://www.page.energy.gov/ http://www.lcptracker.com/ https://www.page.energy.gov/ https://www.page.energy.gov/ https://www.page.energy.gov/ https://www.page.energy.gov/ https://www.page.energy.gov/ https://www.page.energy.gov/ https://www.page.energy.gov/ https://www.page.energy.gov/ https://www.page.energy.gov/ https://www.page.energy.gov/ https://www.eere-pmc.energy.gov/SubmitReports.aspx

3 December 2024

FREQUENCY CODES AND DUE DATES:

A5 – As Specified or within five (5) calendar days after the event.

F – Final; within 120 calendar days after expiration or termination of the award.

O – Other: See instructions for further details.

P – Post-project (after the period of performance); within five (5) calendar days after the event, or as specified.

Q – Quarterly; within 30 calendar days after the end of the federal fiscal year quarter.

S – Semiannually; within 30 days after end of the reporting period.

Y – Yearly; within 90 calendar days after the end of the federal fiscal year.

Y180 – Yearly; within 180 calendar days after the close of the recipient’s fiscal year.

FULL URLS:

OSTI E-Link: http://www.osti.gov/elink-2413 OSTI E-Link Datasets: https://www.osti.gov/elink/2416-submission.jsp DOE CODE: https://www.osti.gov/doecode/ iEdison: http://www.iedison.gov DOE PAGE: https://page.energy.gov FSRS: https://www.fsrs.gov LCPtracker: https://www.lcptracker.com

Special Instructions:

PROJECT MANAGEMENT REPORTING

I.I. Other Project Management Reporting (Special Instructions)

1. Deferred Narrative Document Reponses: All Narrative Document responses deferred at the time of application must be resubmitted to DOE as part of the State Implementation Blueprint 60 days prior to planned rebate program launch.

State Implementation Blueprint (found in Home Energy Rebate (HER) Program Requirements & Application Instructions) : The State Implementation Blueprint consists of the documents outlined below. Each of these is due 60 days prior to planned rebate program launch, unless otherwise noted. All State Implementation Blueprint documents should be submitted through the DOE PAGE system. State Implementation Blueprint documents:

2. Privacy and Risk Assessment of State Systems

3. Outreach and Education Strategy

4. Utility Data Access Plan (Only required for 50121)

5. Consumer Protection Plan (Consumer Protection Plan must be reviewed every 2 years, adjusted based on lessons learned, and changes must be shared with DOE, contractors, aggregators, and third-party inspectors.)

6. Market Transformation Plan – Market Transformation Plan can be submitted up to 1 year after award date.

7. Community Benefits Plan

8. Security and Privacy Controls documentation (found in the HER Program Requirements & Application Instructions) is due upon DOE request.

9. Evaluation Plan (found in HER Program Requirements & Application Instructions) is due within three months of rebate program launch and submitted through PAGE. The Evaluation Plan is submitted through PAGE. If a state chooses to participate in DOE-led impact evaluation an Evaluation Plan is not required.

10. Pre-Launch Information (found in Data & Tools Requirements Guide) is due at least 60 days before program launch and submitted to DOE Project Officer.

i. Note: If the state chooses to submit an alternative workflow instead of the DOE/PNNL workflows, the alternative needs to be submitted at least 60 days prior to program launch. For states not using the CESJT to designate disadvantaged communities, they must propose an alternative map for DACs and provide a shapefile to DOE/PNNL no later than 60 days prior to launch.

11. Rebate Transaction Data (found in Data & Tools Requirements Guide) is due monthly on 30 days after the last day of the prior month if the DOE/PNNL Rebate Tracking and Reporting Tool Real Time API connection is not used. Data should be submitted on PNNL Administrative Portal.

12. Programmatic Data (found in Data & Tools Requirements Guide) Tracking is due monthly and submitted through DOE PAGE.

13. Final Evaluation Results (found in the HER Program Requirements & Application Instructions) are due within 18 months of evaluation approval, or the agree-upon timeline in the evaluation plan. DOE may require another evaluation depending on the results of their first evaluation. The results are submitted through PAGE. If a state chooses to participate in DOE-led impact evaluation, Final Evaluation Results are not required.

14. The IRA Supplemental Annual Data Report form will be used to uniformly collect data on the outputs and outcomes of IRA-funded activities.

The IRA Supplemental Annual Data Report shall be submitted annually within 90 days of the end of each IRA Program Year, which is a 365-day period upon the day rebates become available to consumers. Grantees should only complete the portions of the form that correspond to the grantee’s activities. A template report will be provided to grantees by the DOE Project Officer.

15. IRA Home Energy Rebates Program Planned Activities will be used to collect performance data of IRA Home Energy Rebates Program activities and outputs on a quarterly basis. Information is to be submitted via PAGE System at each quarterly reporting period, which is within 30 calendar days after the end of the quarterly reporting period (Due dates would thus be January 30, April 30, July 30, October 30).

AWARD MANAGEMENT REPORTING

II.K. Other Award Management Reporting (Special Instructions)

Attachment 2, Reporting Checklist

DE-SE0000066.0001

http://www.osti.gov/elink-2413 http://www.iedison.gov/ https://www.fsrs.gov/ http://www.lcptracker.com/ https://www.energy.gov/sites/default/files/2023-07/Home_Energy_Rebates_Program_Requirements_and_Application_Instructions.pdf https://www.energy.gov/sites/default/files/2023-07/Home_Energy_Rebates_Program_Requirements_and_Application_Instructions.pdf https://www.energy.gov/sites/default/files/2023-07/Home_Energy_Rebates_Program_Requirements_and_Application_Instructions.pdf https://www.energy.gov/sites/default/files/2023-07/IRA-50121-%2050122-Home-Energy-Rebates-Data-Tools-Requirements-Guide.pdf https://www.energy.gov/sites/default/files/2023-07/IRA-50121-%2050122-Home-Energy-Rebates-Data-Tools-Requirements-Guide.pdf https://www.pnnl.gov/projects/rebate-tools https://www.pnnl.gov/projects/rebate-tools https://www.energy.gov/sites/default/files/2023-07/IRA-50121-%2050122-Home-Energy-Rebates-Data-Tools-Requirements-Guide.pdf https://www.energy.gov/sites/default/files/2023-07/Home_Energy_Rebates_Program_Requirements_and_Application_Instructions.pdf

4 December 2024

1. Invoice documentation (found in the HER Program Requirements & Application Instructions) for work performed is as due upon request in the event of an audit. Invoice documentation refers to the documentation that provides details about the work that was carried out.

Table of Contents

I. Project Management Reporting

A. Performance Report Narrative (PRN)

1. Cover Page

2. Summary

3. Special Reporting

B. Performance Report Quantitative (PRQ)

1. Organizations

2. Tasks and Milestones

3. Contractual Cost Summary

4. Cost Summary

5. Spend Plan

6. Earned Value Management

7. Products

8. Participants

9. Special Reporting Requirements

C. Financial Report SF-425 Federal Financial Report

D. Scientific and Technical Reporting

1. Accepted Manuscript of Journal Article

2. Conference Product(s)

3. Technical Report(s)

4. Software & Manual(s)

5. Dataset(s)

Attachment 2, Reporting Checklist https://www.energy.gov/sites/default/files/2023-07/Home_Energy_Rebates_Program_Requirements_and_Application_Instructions.pdf

5 December 2024

6. Other STI (Dissertation / Thesis, etc.)

E. Intellectual Property Reporting

1. Intellectual Property Reporting

2. Invention Utilization Report

F. Project Management Plan (PMP)

1. Revised Plan(s)

2. Content of revised PMP

G. Special Status Reports

H. Progress Summary Report

I. Other (see Special Instructions)

II. Award Management Reporting

A. Current and Pending Support

B. Demographic Reporting

C. Financial Conflict of Interest Report

D. Tangible Personal Property Report – Annual Property Report (SF-428 & SF-428A)

E. Tangible Personal Property Report – Disposition Request/Report (SF-428 & SF-428C) .. 31

F. Uniform Commercial Code (UCC) Financing Statements

G. Federal Subaward Reporting System (FSRS)

H. Annual Incurred Cost Proposals

I. DOE For-Profit Compliance Audit

J. Single Audit: States, Local Government, Tribal Governments, Institution of Higher Education (IHE), or Non-Profit Organization

K. Other (see Special Instructions)

III. Closeout Reporting

A. Final Scientific/Technical Report

B. Invention Certification (DOE F 2050.11)

C. Tangible Personal Property Report – Final Report (SF-428 & SF-428B)

D. Verification of Receipt of Accepted Manuscripts

E. Other (see Special Instructions)

IV. Post-Project Reporting

A. Scientific and Technical Reporting

B. Intellectual Property Reporting

V. Bipartisan Infrastructure Law/Inflation Reduction Act Reporting

6 December 2024

A. Community Benefits Report

B. Boosting Domestic Manufacturing

C. Quality Job Creation

1. Direct Jobs

2. Training Outcomes

3. Good Jobs Outcomes

4. Permanent Jobs

D. Equity and Justice

1. Community Engagement Process

2. Engagement Events and Technical Assistance

3. Community Ownership

E. Pathways to Net Zero

1. Infrastructure Supported

2. Hydrogen Production

3. Carbon Capture, Removal, Storage

4. Energy Saved

F. Davis Bacon Act Semi-Annual Labor Compliance Report

G. Location(s) of Work

VI. Appendix A: Notice To Recipients (Prime Recipients And Subrecipients) Regarding Protected Data, Limited Rights Data And Protected Personally Identifiable Information

7 December 2024

Reporting Instructions

Throughout the performance of the project, it is important that you mark Protected Data/Limited Rights Data as described in Appendix A. It is equally important that you not submit Protected Personally Identifiable Information (Protected PII) to DOE. See Appendix A for guidance on Protected PII.

I. Project Management Reporting

A. Performance Report Narrative (PRN)

Submit to: https://page.energy.gov Submission deadline:

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

Every quarter, the prime recipient is required to submit a Performance Report - Narrative (PRN) and a Performance Report Quantitative (PRQ) for the project. Together these two documents summarize the entirety of work performed by the prime recipient, subrecipients, and contractors. The Performance Report - Narrative contains qualitative information on the project progress. The Performance Report - Quantitative captures quantitative information on the project progress. The PRN must include the following information. A PRN Template is available at https://www.energy.gov/infrastructure/reporting-checklists with the intent to reduce the administrative burden by promoting the use of common formats.

1. Cover Page

a. Federal Agency and Organization Element to Which Report is Submitted

b. Federal Grant or Other Identifying Number Assigned by Agency

c. Project Title

d. Program Director/Principal Investigator/Lead Project Manager (PD/PI) Name, Title, and Contact Information (e-mail address and phone number)

e. Business Contact Name, Title, and Contact Information (e-mail address and phone number)

f. Submission Date

g. Recipient Organization (Name and Address)

h. Period of Performance (Start Date, End Date)

i. Budget Period (Start Date, End Date)

j. Reporting Period (Start Date, End Date)

Attachment 2, Reporting Checklist

DE-SE0000066.0001

https://page.energy.gov/ https://www.energy.gov/infrastructure/reporting-checklists

8 December 2024

k. Certification by the Submitting Official that includes: Signature of Submitting Official (electronic signatures (i.e., Adobe Acrobat) are acceptable); date of signature; and the following certification statement:

By signing this report, I certify to the best of my knowledge and belief that the report is true, complete, and accurate. I am aware that any false, fictitious, or fraudulent information, misrepresentations, half-truths, or the omission of any material fact, may subject me to criminal, civil or administrative penalties for fraud, false statements, false claims or otherwise. (U.S. Code Title 18, Section 1001, Section 287 and Title 31, Sections 3729- 3730). I further understand and agree that the information contained in this report are material to Federal agency’s funding decisions and I have an ongoing responsibility to promptly update the report within the time frames stated in the terms and conditions of the above referenced Award, to ensure that my responses remain accurate and complete.

2. Summary The purpose of the Summary is to describe a high-level status on the items listed below.

This section should be a mix of short paragraphs and bullet points.

Major Goals and Objectives Provide a summary of the major project goals and objectives. This should be the same from quarter to quarter and align with the Statement of Project Objectives (SOPO)/Statement of Work (SOW).

Technical Achievement(s) Provide a summary of all significant technical progress of the project in achieving objective and programmatic goals during the life of the project. This should include key outcomes or other achievements, such as major findings, developments, or conclusions (both positive and negative), information dissemination, etc. This section should be a cumulative summary of technical achievements with newly added comments for the current reporting period highlighted.

Impact State how the findings, results, or techniques developed in this project will continue to make an impact on the specific fields of research in this project and in other disciplines, which may include training and educational experiences; human resource development in science, engineering, and technology; technology transfer; and societal impacts.

Project Schedule Status Provide a narrative summary of the status of tasks with respect to the plan for the quarter and budget period. If deviations from the schedule are noted, describe the

9 December 2024 impacts and mitigation alternatives that are in place or planned in the Changes/Problems section below.

Project Budget Status Provide a summary of the project expenditures and costs with respect to the plan for the quarter and budget period. If applicable, describe the variance, associated impacts, and mitigation alternatives that are in place or planned in the Changes/Problems section below.

Changes/Problems Include any planned or anticipated changes to scope, schedule, or budget. Proposed award modifications noted solely within a Performance Report do not constitute a proposed award modification. Significant changes to the award scope, schedule, and budget must be submitted to the Grants Management Specialist and the Project Officer and must be approved by the Grants Officer. If there is nothing significant to report during this reporting period, state “Nothing to Report.”

Key Personnel Changes Describe planned or actual changes in principal investigator, business contacts, or senior/key personnel and the impact to achieving project objectives.

Scope Issues Describe issues with completing the required project scope identified in the SOPO/SOW, the impacts to achieving project objectives and program goals if applicable, and proposed mitigation alternatives. The quantitative impact to achievement of Technical Milestones and Go/No Go decision points and key deliverables should also be addressed.

Schedule Issues Describe issues with achieving the planned activities identified in the project schedule and the impact to the award budget period end dates and the overall award period of performance. The quantitative impact to the timing of Technical Milestones and Go/No Go decision points, and key deliverables should also be addressed.

Budget Issues Describe changes during the reporting period that may have a significant positive or negative impact on expenditures or the overall budget.

3. Special Reporting Respond to any special reporting requirements specified in the award Terms and Conditions, as well as any award specific reporting requirements outlined in the FARC Special Instructions.

10 December 2024

B. Performance Report Quantitative (PRQ) deadline:

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

Every quarter, the prime recipient is required to submit a Performance Report Narrative (PRN) and a Performance Report - Quantitative (PRQ) for the project. Together these two documents summarize the entirety of work performed by the prime recipient, subrecipients, and contractors. The Performance Report - Narrative contains qualitative information on the project progress. The Performance Report - Quantitative captures quantitative information on the project progress. The PRQ must include the following information. A PRQ Template is provided at https://www.energy.gov/infrastructure/reporting-checklists with the intent to reduce the administrative burden by promoting the use of common formats.

1. Organizations

Identify all subrecipients, contractors, U.S. National Laboratories, partners, and collaborating organizations. Recipients must also include all foreign collaborators as outlined in the Foreign Collaboration Considerations term of the award Terms and Conditions. For each, provide name, UEI, zip code or latitude/longitude, role in the project, contribution to the project, and start and end date.

2. Tasks and Milestones Enter all tasks and milestones identified in your Statement of Project Objectives (SOPO) Project Management Plan (PMP), or other document which outlines your project scope, schedule and budget, Community Benefits Plan (CBP), and Cybersecurity Plan (if directed by your DOE Project Team). Each quarter, update the status of the task/milestone, the physical percent complete, and, when applicable, the actual month complete.

3. Contractual Cost Summary

For each subrecipient and contractor working on the project (excluding FFRDCs), provide a summary of the work, approved budget, and actual expenses.

4. Cost Summary

Using your approved budget, enter the project costs by budget category and report actual expenses each quarter. Also include budgeted and actual recipient cost share.

5. Spend Plan

For both federal and recipient cost share, enter the planned spending for the entire project period. Planned spend means when the project team anticipates incurring costs.

Each quarter, update with actual federal and recipient spend.

Attachment 2, Reporting Checklist

DE-SE0000066.0001

https://www.energy.gov/infrastructure/reporting-checklists

11 December 2024

6. Earned Value Management

When required by your DOE project team, complete the table for Earned Value Management.

7. Products

What has the project produced?

List any products resulting from the project during the reporting period. Specific product submission instructions can be found in Scientific and Technical Reporting. Examples of products include: publications, conference papers, and presentations; website(s);

technologies or techniques; inventions, patent applications, and/or licenses; and other products, such as data or databases, physical collections, audio or video products, software or NetWare, models, educational aids or curricula, instruments or equipment, research material, interventions (e.g., clinical or educational), new business creation or any other public release of information related to the project.

a. Publications, conference papers, and presentations

Report the publication(s) resulting from the work under this award.

Please note: Recipients must use the DOE acknowledgement and legal disclaimer language as described in the Special Terms and Conditions.

The recipient is reminded that all data produced under the award should comply with the award’s plan (DMP) if applicable. The DMP provides a plan for making all research data displayed in publications resulting from the proposed work digitally accessible at the time of publication. At a minimum, the DMP (1) describes how data sharing and preservation will enable validation of the results from the proposed work, how the results could be validated if data are not shared or preserved and (2) has a plan for making all research data displayed in publications resulting from the proposed work digitally accessible at the time of publications.

i. Accepted Manuscript(s) of Journal Article

List peer-reviewed articles or papers that have been submitted for publication in scientific, technical, or professional journals. Include any paper submitted for peer-reviewed publication in the periodically published proceedings of a scientific society, a conference, or the like. A publication in the proceedings of a one-time conference, not part of a series, should be reported under “Books or other non-periodical, one-time publications.”

Identify for each publication: Author(s); title; journal; volume: year; page numbers; status of publication (published; accepted, awaiting publication;

submitted, under review; other); acknowledgement of federal support (yes/no);

12 December 2024 legal disclaimer language (yes/no). Also see instructions under II.

Scientific/Technical Reporting regarding the submission of accepted manuscripts and other STI as appropriate.

ii. Books or other non-periodical, one-time publications

Report any book, monograph, dissertation, abstract, or the like published as or in a separate publication, rather than a periodical or series. Include any significant publication in the proceedings of a one-time conference or in the report of a one-time study, commission, or the like.

Identify for each one-time publication: author(s); title; editor; title of collection, if applicable; bibliographic information; year; type of publication (book, thesis or dissertation, other); status of publication (published; accepted, awaiting publication; submitted, under review; other); acknowledgement of federal support (yes/no); legal disclaimer language (yes/no).

iii. Other publications, conference papers and presentations

Identify any other publications, conference papers and/or presentations not reported above. Specify the status of the publication as noted above.

b. Website(s) List the URL for any Internet site(s) that disseminates the results of the research activities. A short description of each site should be provided. It is not necessary to include the publications already specified above in this section.

c. Technologies or techniques

Identify technologies or techniques that have resulted from the research activities.

Describe the technologies or techniques and how they are being shared.

d. Inventions, patent applications, and/or licenses

Identify inventions, patent applications with date, and/or licenses that have resulted from the research. Submission of this information as part of an interim report or Final Technical Report is not a substitute for any other invention reporting required under the terms and conditions of an award.

e. Other products

Identify any other significant products that were developed under this project.

Describe the product and how it is being shared. Examples of other products are:

Data or databases; Physical collections; Audio or video products; Software or NetWare; Models; Educational aids or curricula; Instruments or equipment;

Research material (e.g., germplasm, cell lines, DNA probes, animal models);

Interventions (e.g. clinical, educational); new business creation; and Other.

8. Participants

13 December 2024

The following information on participants (individuals) was provided during award negotiations. On a quarterly basis, provide updates as needed. For changes to covered individuals, please refer to the Current and Pending Support reporting for additional requirements.

a. What individuals have worked on the project?

Provide the following information for individuals at the prime recipient and subrecipient level: (1) all covered individuals as defined in the Terms and Conditions, and (2) each person who has worked or is expected to work at least one person month per year on the project regardless of the source of compensation (a person month equals approximately 160 hours of effort).

i. Name

ii. Organization

iii. Job Title

iv. Role in the project

v. Start and end date (month and year) working on the project

vi. State, U.S. territory, and/or country of residence

vii. Whether this person collaborated with an individual or entity located in a foreign country in connection with the scope of this Award, and

viii. If yes to a.vii, whether the person traveled to the foreign country as part of that collaboration, and, if so, where and what the duration of stay was.

9. Special Reporting Requirements Respond to any special reporting requirements specified in the award terms and conditions, as well as any award specific reporting requirements.

C. Financial Report SF-425 Federal Financial Report deadline:

Within 30 calendar days after the end of the quarterly reporting period (January 30, April 30, July 30, October 30) and within 120 calendar days after expiration or termination of the award

Every quarter, the prime recipient is required to submit a completed SF-425 for the project to DOE, covering the entirety of work performed by the prime recipient, subrecipients, and contractors – to DOE. A fillable version of the SF-425 is available at Post-Award Reporting Forms | Grants.gov.

D. Scientific and Technical Reporting

The dissemination of scientific and technical information (STI) ensures public access to the results of federally funded research. STI refers to information products in any medium or format used to convey results, findings, or technical innovations from research and

Attachment 2, Reporting Checklist

DE-SE0000066.0001

https://page.energy.gov/ https://www.grants.gov/forms/forms-repository/post-award-reporting-forms

14 December 2024 development or other scientific and technological work that are prepared with the intention of being preserved and disseminated in the broadest sense applicable (i.e., to the public or, in the case of controlled unclassified information or classified information, disseminated among authorized individuals). By properly submitting STI to DOE Energy Link System (E- Link), the information will be made available to the public through OSTI.GOV.

NOTE: SCIENTIFIC/TECHNICAL PRODUCTS INTENDED FOR PUBLIC RELEASE MUST NOT

CONTAIN PROTECTED PERSONALLY IDENTIFIABLE INFORMATION (PII). Please refer to Appendix A for more information.

NOTE: For awards made after August 8, 2024, the digital persistent identifier (e.g., ORCID iD) for individuals must be used when publishing products (when that is an option). The digital persistent identifier for individuals must be provided when reporting outputs to the Department of Energy Office of Scientific and Technical Information (DOE OSTI).

1. Accepted Manuscript of Journal Article

Submit to: DOE Energy Link System (E-Link) available at http://www.osti.gov/elink-2413 deadline:

No later than the published online date of the article

Public access to scholarly publications is enabled by providing the Accepted Manuscript (AM) of the Journal Article to DOE OSTI and is consistent with the U.S. Government's retained license to published results of federally-funded research. If the recipient has a journal article accepted for publication which includes information/data produced under the award, then the recipient must submit an AN 241.3, as described below, no later than the published online date of the article.

Content. The recipient is to provide the final peer-reviewed AM, i.e., the version of a journal article that has been peer reviewed and accepted for publication in a journal. Do NOT submit the journal’s published version of the article, i.e., do NOT submit a copyrighted reprint.

DOE will make no additional review of the content of the AM because the AM is the version of the journal article with the content to be published (i.e., publicly released) by the journal publisher.

The recipient must self-certify at the time of submission to DOE via E-Link that the content is appropriate and that it is not a copyrighted reprint, i.e., the final version of the published article. Recipients are reminded that the article is to include an acknowledgement of federal support and a legal disclaimer as required in the “Publications” Term in the award Special Terms and Conditions.

http://www.osti.gov/elink-2413

15 December 2024

The recipient is also reminded that all data produced under the award should comply with the award’s data management plan (DMP). The DMP provides a plan for making all research data displayed in publications resulting from the proposed work digitally accessible at the time of publication. At a minimum, the DMP (1) describes how data sharing and preservation will enable validation of the results from the proposed work, how the results could be validated if data are not shared or preserved and (2) has a plan for making all research data displayed in publications resulting from the proposed work digitally accessible at the time of publications.

Electronic Submission Process. The AM of the Journal Article must be provided electronically via the DOE Energy Link System (E-Link) and must be accompanied by a completed DOE Announcement Notice (AN) 241.3 (http://www.osti.gov/elink-2413).

2. Conference Product(s)

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

The recipient must submit a copy of any scientific/technical conference papers, proceedings, or presentations.

Content: The content should include a copy of the paper, presentation, or proceeding and: (1) name of conference; (2) location of conference; (3) date of conference; and (4) conference sponsor. Also include an acknowledgement of federal support and a legal disclaimer as described in the Special Terms and Conditions.

Electronic Submission Process: Scientific/technical conference proceedings, papers/presentations or must be submitted via the DOE Energy Link System (E-Link) with a completed DOE Announcement Notice (AN) 241.3 (https://www.osti.gov/elink- 2413).

The recipient is responsible for ensuring the suitability of the content for public release.

The terms and conditions of award provide that submissions must not contain any Protected Personally Identifiable Information (PII), limited rights data (proprietary data), classified information, information subject to export control classification, or other information not subject to release.

3. Technical Report(s) http://www.osti.gov/elink-2413 http://www.osti.gov/elink-2413 https://www.osti.gov/elink-2413 https://www.osti.gov/elink-2413

16 December 2024

The recipient must submit a copy of any scientific/technical reports.

Content: The content should include a copy of the report as well as an acknowledgement of federal support and a legal disclaimer as described in the Special Terms and Conditions.

Electronic Submission Process: Scientific/technical reports must be submitted via the DOE Energy Link System (E-Link) with a completed DOE Announcement Notice (AN)

241.3 (https://www.osti.gov/elink-2413).

The recipient is responsible for ensuring the suitability of the content for public release.

The terms and conditions of award provide that submissions must not contain any Protected Personally Identifiable Information (PII), limited rights data (proprietary data), classified information, information subject to export control classification, or other information not subject to release.

4. Software & Manual(s)

Submit to: DOE CODE: https://www.osti.gov/doecode/

The recipient must submit all software deliverables created under the award, as well as any accompanying documentation or manuals.

DOE CODE is DOE’s software services platform for submitting and searching for software resulting from DOE-funded research. Through submission to DOE CODE, users have the option to obtain a Digital Object Identifier (DOI) for the code, making it more easily discoverable, citable, and shared.

Content. When a recipient submits software to OSTI through DOE CODE, a set of required metadata elements and a link to the software repository must be provided.

Submission Process. Recipients will submit software by going to https://www.osti.gov/doecode/. Before submissions can be made, the recipient will be required to create an account. The recipient may create an account by visiting the top right of the DOE CODE homepage. Once the account is created, submissions may be made through the submit software/code link on the homepage. For more information about DOE CODE please visit https://www.osti.gov/doecode/faq.

5. Dataset(s) https://www.osti.gov/elink-2413 https://www.osti.gov/doecode/ https://www.osti.gov/doecode/ https://www.osti.gov/doecode/faq

17 December 2024

Submit to: DOE Energy Link System (E-Link) available at https://www.osti.gov/elink/241-6-submission.jsp

Submission

Scientific/technical datasets (data-streams, data files, etc.) support the technical reports and published literature resulting from DOE-funded research. They are also recognized as valuable information entities in their own right that, now and in the future, need to be available for citation, discovery, retrieval, and reuse. The assignment and registration of a Digital Object Identifier (DOI) is a free service for DOE-funded researchers which is provided by OSTI to enhance access to this important resource. In order to obtain a DOI, provide to OSTI the specific data elements relevant to the dataset, as specified in DOE

AN 241.6.

Content. If the recipient generates publicly available datasets resulting from work funded by DOE, they may announce these datasets to OSTI and have them registered with DataCite to obtain a DOI, which ensures long-term linkage between the DOI and the dataset’s location. To register and publicly announce a dataset, the recipient must provide an AN 241.6, including the required data elements needed for describing the dataset. Note: Do NOT submit the dataset itself, only the metadata for registering the dataset, obtaining a DOI, and announcing its availability.

Electronic Submission Process. Notification of scientific datasets must be submitted electronically via the DOE Energy Link System (E-Link) and must be accompanied by a completed DOE Announcement Notice (AN) 241.6 (https://www.osti.gov/elink/241-6-submission.jsp). Within the AN 241.6, provide relevant information about the dataset as well as the URL where the dataset can be accessed.

6. Other STI (Dissertation / Thesis, etc.)

Submit to: http://www.osti.gov/elink-2413

Recipients are encouraged to announce other forms of STI especially if they are the primary means by which certain research results are disseminated or if they contain research results not already announced to DOE by the recipient in technical reports, accepted journal articles, conference products, software, and datasets.

https://www.osti.gov/elink/241-6-submission.jsp https://www.osti.gov/elink/241-6-submission.jsp https://www.osti.gov/elink/241-6-submission.jsp https://www.osti.gov/elink/241-6-submission.jsp

18 December 2024

Other types of scientific and technical information produced which may be used for public dissemination of project results include: dissertation/thesis, patent, book, or other similar products. These types of STI may also be announced using DOE AN 241.3 by following instructions on the E-Link website (http://www.osti.gov/elink-2413).

E. Intellectual Property Reporting

1. Intellectual Property Reporting

Submit to: http://www.iEdison.gov iEdison requires a login and password. If the recipient’s organization does not already have an iEdison administrator account, the recipient may register for one at: iEdison Registration.

In accordance with the patent rights clause of the award, the recipient and subrecipient(s), if any, must complete the following intellectual property reports in iEdison when applicable:

Disclosing a subject invention, including anticipated uses and sales (use iEdison’s Invention Report);

Reporting publications, manuscript submissions, or other public disclosures concerning a subject invention (add documents to the Invention Report);

If authorized by the award agreement, electing (or declining) to retain title to a subject invention (modify the Invention Report and input “Title Election Date” or “Not Elect Title Reason”);

Disclosing the filing or termination of patent applications on a subject invention (i.e., patent applications disclosing or claiming a subject invention). Patent disclosures must be made (using iEdison’s Patent Report) for filing the following patent applications:

• An initial domestic patent application (including provisional or non-provisional);

• A domestic divisional or continuation patent application;

• A domestic continuation-in-part application; and

• A foreign patent application.

Discontinuing prosecution of a patent application, maintenance of a patent, or defense in a patent reexamination or opposition proceeding, regardless of jurisdiction (modify the Patent Report); and, Requesting an extension of time to:

Attachment 2, Reporting Checklist

DE-SE0000066.0001

http://www.osti.gov/elink-2413 http://www.iedison.gov/ https://public.era.nih.gov/iedison/public/institution/registration/RegistrationRequestForm.jsp https://public.era.nih.gov/iedison/public/institution/registration/RegistrationRequestForm.jsp

19 December 2024

• Elect (or decline) to retain title to a subject invention (modify the Invention Report); and

• File an initial domestic or foreign patent application (modify the Invention Report).

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

2. Invention Utilization Report

Submit to: http://www.iEdison.gov

For each subject invention, reports are due annually once the recipient or subrecipient elects to retain title to the subject invention and must continue to be provided for 10 years thereafter

The recipient and subrecipient(s) must provide Invention Utilization Reports for each subject invention that the recipient or subrecipient retains ownership. Reports are due annually starting one year after the recipient or subrecipient elects to take title and must continue to be provided for 10 years thereafter or until the recipient or subrecipient informs DOE in writing that it no longer wants to retain title in the subject invention.

Failure to submit Invention Utilization Reports in a timely manner may result in forfeiture of the recipient’s or subrecipient’s rights in the subject inventions.

F. Project Management Plan (PMP)

Within six (6) weeks of the effective date of the award

Iterations and Maintenance 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, Attachment 2, Reporting Checklist

DE-SE0000066.0001

http://www.iedison.gov/

20 December 2024 federal staff may request changes. The plan is intended to be a living document, modified as necessary, and comprising the following iterations:

Application Draft The recipient must submit a draft of the project management plan with the initial application for financial assistance.

Negotiation Draft The selected recipient may be required by the selecting Office 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.

1. Revised Plan(s)

During the life of the project the recipient must submit a revised project management plan based on the following circumstances:

a. Developments that have a significant favorable impact on the project.

b. Problems, delays, or adverse conditions which materially impair the recipient’s ability to meet the objectives of the award or which may require the program office to respond to questions relating to such events from the public. Specifically, the recipient must update the plan when any of the following incidents occur:

i. Any event which is anticipated to cause significant schedule or cost changes, such as changes to the funding and costing profile or changes to the project timeline.

ii. Any change to Technology Readiness Level.

iii. Any significant change to risk events (including both potential and realized events) or to risk management strategies.

iv. Failure to meet a milestone or milestones; any dependencies should be adjusted.

v. Any changes to partnerships.

vi. Any significant change to facilities or other project resources.

vii. Any other incident that has the potential for high visibility in the media.

2. Content of revised PMP

Project Title: The DOE award number and project title Recipient Organization: Official name of the recipient organization Principal Investigator: The name and title of the project director/ principal investigator

21 December 2024

Date of Plan: The date the plan or plan revision was completed

The revised PMP must describe changes to any of the following sections of the PMP as well as provide updated versions of any logs, tables, charts, or timelines.

a. Executive Summary:

Provide a description of the project that includes the objective, project goals, and expected results. The description should include a high-level description of the technology, potential use or benefit of the technology, location of work sites and a brief discussion of work performed at each site, along with a description of project phases (if the project includes phases).

b. Technology Readiness Levels (TRLs):

Identify the readiness level of the technology associated with the project as well as the planned progression during project execution. A detailed explanation of the rationale for the estimated technology readiness level should be provided. Specific entry criteria for the next higher technology readiness level should be identified.

c. Risk Management:

Provide a summary description of the proposed approach to identify, analyze, and respond to potential risks associated with the proposed project. Project risk events are uncertain future events that, if realized, impact the success of the project. At a minimum, include the initial identification of significant technical, resource, and management issues that have the potential to impede project progress and strategies to minimize impacts from those issues. The risk management approach should be tailored to the TRL. If a project or task is expected to progress to a higher TRL, then the risk plan should address the retirement of any risks associated with the first TRL and identify new risks related to moving to the next TRL. Additionally, the risk management approach should include risk opportunities that if realized, could benefit the project.

d. Milestone Log:

Provide milestones for each budget period (or phase) of the project. Each milestone should include a title and planned completion date. Milestones should be quantitative (e.g., a date, a decision to be made, a key event) and show progress toward budget period and/or project goals. Milestones should also be important and few. Higher TRL projects (Demonstration and Deployment) typically have the most detailed milestone logs compared to lower TRL level projects (Research and Development). If applicable, milestones chosen should clearly reflect progress through various TRL stages.

Note: The Milestone Status must present actual performance in comparison with the Milestone Log, and include:

• The actual status and progress of the project,

• Specific progress made toward achieving the project's milestones, and

22 December 2024

• Any proposed changes in the project's schedule required to complete milestones.

e. Funding and Costing Profile:

Provide a table (the Project Funding Profile) that shows, by budget period, the amount of government funding going to each project team member.