Appendix S - Info Reporting Requirements Checklist (applicable to Demos).pdf

DOE F

4600.2 (03/2017) All Other Editions Are Obsolete

APPENDIX S

U.S. Department of Energy

Advanced Reactor Demonstration Project (Demo)

FEDERAL ASSISTANCE REPORTING CHECKLIST AND

INSTRUCTIONS

1. Identification Number: TBD 2. Program/Project Title:

3. Recipient:

Advanced Reactor Demonstration Project

4. Reporting Requirements: Frequency Addresses

A. MANAGEMENT REPORTING

☑ Performance Progress Report Template

□ Progress Report (Non - RD & D Projects) ☑ Special Status Report

Q F

O https://fedconnect.net & (A D E F G) https://fedconnect.net & (A D E F G)

B. SCIENTIFIC/TECHNICAL REPORTING

(Dissemination of results is required for Demonstration projects. Reports & other S&T publications/products must be submitted using the appropriate DOE Announcement Notice(AN) located at: https:www.osti.gov/elink )

Product Announcement Notice(AN)

☑ Scientific & Technical Reporting Product

A. Journal Article-Accepted Manuscript DOE AN 241.3

B. Scientific/Technical Conference Paper /Presentation or Proceedings DOE AN 241.3

C. Scientific/Technical Software & Manual DOE AN 241.4

D. Other STI (e.g., dissertation/thesis, see instructions) DOE AN 241.3

☑ Final Scientific/Technical Report DOE AN 241.3

O

A

F https://www.osti.gov/elink-2413 https://fedconnect.net https://www.osti.gov/elink/241-4.jsp https://fedconnect.net

C. FINANCIAL REPORTING

☑ SF -425, Federal Financial Report

Q F https://fedconnect.net & (A D E F )

D. CLOSEOUT REPORTING

☑ Patent Certification ☑ SF -428 & 428B Final Property Report

□ Other (see special instructions)

E. OTHER REPORTING

☑ Annual Indirect Cost Proposal ☑ Audit of For-Profit Recipients ☑ SF -428 Tangible Personal Property Report Forms Family ☑ Other (see special instructions)

Y A

FREQUENCY CODES AND DUE DATES:

A - Within 5 calendar days after events or as specified F - Final; within 90 calendar days after expiration or termination of award.

Y - Yearly; within 90 days after the end of the reporting period. Y180 - Yearly; within 180 days after the end of the recipient’s fiscal year.

Q - Quarterly; within 30 days after end of the reporting period. S - Semiannually; within 30 days after end of reporting period.

O - Other; See special instructions for further details.

https://fedconnect.net/ http://www.osti.gov/elink https://www.osti.gov/elink-2413 https://fedconnect.net/ https://www.osti.gov/elink-2413 https://fedconnect.net/ https://www.osti.gov/elink/241-4.jsp https://fedconnect.net/ https://www.osti.gov/elink-2413 https://fedconnect.net/ https://www.osti.gov/elink-2413 https://fedconnect.net/ https://fedconnect.net/ https://fedconnect.net/

5. Special Instructions: [Insert special instructions to recipient for unique reporting requirements or reporting requirements with frequency of O]

Your performance in providing on-time report deliverables will be monitored by Procurement Services Division (PSD), Idaho Operations Office, Department of Energy. Reports not received by the specified due date are late.

Overdue, inaccurate, or non-conforming reports are not acceptable. PSD will withhold payments or take other administrative actions as needed for non-compliance with reporting requirements. Only the Contracting Officer may waive, or excuse required reports.

In order for accurate logging and processing of reports, it is critical that reports be sent to all the specified addressees and in the manner requested. PSD receives a copy of all reports via psdrept@id.doe.gov. The message subject line must include the award number.

Message Subject Line Example: DE-NE000XXXX, 4Q SF 269A Report.

The official award number must also be identified on all reports. A project number, if assigned by the program manager, may also be included, but is not a substitute for the official award number.

Special Instructions: See Award Attachment B3b for a template to complete the Performance Progress Report (PPR) (Demonstration Projects), listed under Section A. Management Reporting.

ADDITIONAL REPORTS – see attached Appendix S Continuation Sheet

REPORT ADDRESSEES

A. Procurement Services Division (PSD): psdrept@id.doe.gov B. DOE Project Manager:

C. DOE Headquarters Program Manager: direk.cairns-gallimore@nuclear.energy.gov D. Technical Project Officer:

E. Special Status Report:

SF-425 Federal Financial Report:

Closeout Reports:

Performance Progress Report (Demonstration Projects):

SF-428 Tangible Personal Property Report Forms Family:

mailto:psdrept@id.doe.gov mailto:psdrept@id.doe.gov

Federal Assistance Reporting Instructions

A. MANAGEMENT REPORTING

For awards involving Demonstration, a Performance Progress Report is required to be submitted. For all other awards, a Progress Report is required to be submitted.

Progress Report (Non-Demonstration Projects)

The Recipient must provide a concise narrative assessment of the status of work and include the following information and any other information identified under Special Instructions on the Federal Assistance Reporting Checklist:

1. The DOE award and report information:

a. The DOE Award Number (as it appears on the award face page)

b. Recipient Name (as it appears on the award face page)

c. Project Title

d. PD/PI Name, Title and Contact Information (e-mail address and phone number)

e. Name of Submitting Official, Title, and Contact Information (e-mail address and phone number), if other than PD/PI

f. Project Period (Start Date, End Date)

g. Report Submission Date

h. Reporting Period Start and End Date

2. A written comparison of the actual project accomplishments with the project goals and objectives established for the reporting period; if goals and/or objectives for the reporting period were not met, a detailed description of the variance shall be provided.

3. A discussion of what was accomplished under these goals and objectives established for this reporting period, including major activities, significant results, major findings or conclusions, key outcomes or other achievements. This section should not contain any proprietary data or other information not subject to public release. If such information is important to reporting progress, do not include the information, but include a note in the report advising the reader to contact the Principal Manager or the Project Director for further information.

4. Cost Status. A comparison of the approved budget by budget period and the actual costs incurred during the reporting period shall be provided. If cost sharing is required, the cost breakdown shall show the DOE share, recipient share, and total costs.

5. Schedule Status. List milestones, anticipated completion dates and actual completion dates. If you submitted a project management plan with your application, you must use this plan to report schedule and budget variances. You may use your own project management system to provide this information.

6. Describe any changes during the reporting period in project approach and the reasons for these changes. Remember, significant changes to the project objectives and scope require prior approval by the Contracting Officer.

7. Describe any actual or anticipated problems or delays and any actions taken or planned to resolve them.

8. Describe any absence or changes of key personnel or changes in consortium/teaming arrangement during the reporting period.

9. List and describe any product produced or technology transfer activities accomplished during this reporting period, such as:

a. Publications (list journal name, volume, issue); conference papers; or other public releases of results. Attach or send copies of public releases to the DOE Program Manager identified in Block 15 of the Assistance Agreement Cover Page.

b. Web site or other Internet sites (list the URL) that reflect the results of this project.

c. Networks or collaborations fostered.

d. Technologies/Techniques (Identify and Describe).

e. Inventions/Patent Applications (Identify and Describe with date of application)

f. Other products, such as data or databases, physical collections, audio or video, software or NetWare, models, educational aid or curricula, instruments or equipment (Identify and Describe).

Special Status Report

The recipient must report the following events by e-mail as soon as possible after they occur:

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

2. Problems, delays, or adverse conditions which materially impair the recipient’s ability to meet the objectives of the award or which may require DOE to respond to questions relating to such events from the public. The recipient must report any of the following incidents and include the anticipated impact and remedial action to be taken to correct or resolve the problem/condition:

a. Any single fatality or injuries requiring hospitalization of five or more individuals.

b. Any significant environmental permit violation.

c. Any verbal or written Notice of Violation of any Environmental, Safety, and Health statutes.

d. Any incident which causes a significant process or hazard control system failure.

e. Any event which is anticipated to cause a significant schedule slippage or cost increase.

f. Any damage to Government-owned equipment in excess of $50,000.

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

B. TECHNICALREPORTING

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 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). Access to and archival of DOE-funded STI are managed by the DOE Office of Scientific and Technical Information (OSTI). For information about OSTI see http://www.osti.gov

For more information on STI submittals, see http://www.osti.gov/stip/submittal

By properly notifying DOE OSTI about the published results, the information will be made publicly accessible and discoverable through DOE web-based products.

NOTE: TECHNICALPRODUCTS INTENDED FOR PUBLIC RELEASE MUST NOT CONTAIN PROTECTED

PERSONALLY IDENTIFIABLE INFORMATION (PII). PII is defined as any information about an individual which can be used to distinguish or trace an individual’s identity. Some information that is considered to be PII is available in public sources such as telephone books, public websites, university listings, etc. This type of information is considered to be Public PII and includes, for example, first and last name, address, work telephone number, e-mail address, home telephone number, and general educational credentials. In contrast, Protected PII is defined as an individual’s first name or first initial and last name in combination with any one or more of the following types of information: social security number, passport number, credit card numbers, clearances, bank numbers, biometrics, date and place of birth, mother’s maiden name, criminal, medical and financial records, educational transcripts, etc., which could be misused if made publicly available.

1. Scientific and Technical Reporting Products

a. Journal Article-Accepted Manuscript

Recipients are encouraged to publish their work in scholarly journals. When/if a recipient has an article accepted for publication in a peer-reviewed journal they are required to announce the publication to OSTI as detailed below. This Reporting Requirement will be denoted with the Frequency “O – Other” on the Checklist.

Public access to peer-reviewed scholarly publications can be achieved by following these instructions. If the Recipient has a journal article accepted for publication which contains information/data produced under the award, then the Recipient must submit an AN 241.3 for the author’s full-text version of the accepted manuscript, as described below, at the time the article meets the status of being “accepted” for publication. The Federal Government’s right to use the data produced under a Federal award is established in 2 CFR 200.315(d), U.S.

Government’s retained license to published results of federally funded research.

http://www.osti.gov/ http://www.osti.gov/stip/submittal

Content. The Recipient is to announce to DOE the final peer-reviewed accepted manuscript (AM), i.e., the version of the journal article content that has been peer reviewed and accepted for publication in a journal, by providing a persistent link to the accepted manuscript on the recipient’s publicly accessible institutional repository or submitting the full text (see Electronic Submission Process below). The Recipient should NOT submit the journal’s published version of the article, i.e., the Recipient should NOT submit a copyrighted reprint. The Recipient should not submit the content of peer reviews or a commitment to publish. The Recipient should provide only the accepted manuscript content intended to be the published article.

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

The Recipient is responsible for ensuring the suitability of the content for public release. The terms and conditions of award provide that PII, proprietary, export control or classified information shall be protected. DOE may choose to defer providing public access until an administrative interval period has passed.

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 disclaimer.

Electronic Submission Process. The Journal Article-Accepted Manuscript must be announced via the DOE Energy Link System (E-Link) by submitting a completed DOE Announcement Notice (AN)

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

Within the AN 241.3, provide relevant journal information (article title, journal name, volume, issue, and any other pertinent publication information). Also provide a persistent link to the repository location of the accepted manuscript. An example of an acceptable persistent link is a URL to the specific location of the Journal Article-Accepted Manuscript hosted on a public, openly accessible university research publications website. If a persistent link is not available or if the website has access restrictions (preventing public access), then the Recipient must upload the full-text of the Accepted Manuscript using the AN 241.3 and E-Link instructions.

Full-text of accepted manuscripts must be in Adobe Portable Document Format (PDF) and be one integrated PDF file that contains all text, tables, diagrams, photographs, schematics, graphs, and charts. Please refer to http://www.osti.gov/stip/best-practices-portable-document-format-pdf-creation for PDF document creation.

b. Technical Conference Paper/Presentation or Proceedings

Recipients are encouraged to announce Scientific and Technical Conference Papers/Presentations 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, or other STI. This Reporting Requirement will be denoted with the Frequency “O

– Other” on the Checklist. Instructions for how to announce such STI can be found below. In cases where the Recipient is required to create and submit a Conference Proceedings, the Frequency will be “F – Final.”

Content. The content should include: (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 disclaimer.

Electronic Submission Process. Technical conference papers/presentations or proceedings must be https://www.osti.gov/elink-2413 http://www.osti.gov/stip/best-practices-portable-document-format-pdf-creation submitted via the DOE Energy Link System (E-Link) with a completed DOE Announcement Notice (AN)

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

DOE will not review conference papers or presentations prior to making publicly available via OSTI since they were already presented in a public setting during a conference. The Recipient is responsible for ensuring the suitability of the content for public release. The terms and conditions of award provide that PII, proprietary, export control or classified information shall be protected. The Recipient must self-certify at the time of submission to DOE via E-Link that the content is appropriate for and has been publicly released.

Technical conference papers or proceedings that are textual documents must be submitted in Adobe Portable Document Format (PDF) and be one integrated PDF file that contains all text, tables, diagrams, photographs, schematics, graphs, and charts. Please refer to http://www.osti.gov/stip/best-practices-portable-document-format-pdf-creation for PDF document creation. Audiovisual formats, such as PowerPoint (PPT) or video presentations, may be submitted as a Microsoft PPT file or audiovisual file by selecting the appropriate format on the AN

241.3 for the file to be uploaded or, in the case of videos posted on a publicly available website, by providing a link to the specific video. Format options and other instructions can be found at http://www.osti.gov/stip/audiovisualsti.

c. Technical Software & Manual

Content. When a Recipient submits software to OSTI for dissemination, 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, unless otherwise specified in the award.

Submission Process. The software submission must be accompanied by a completed DOE Announcement Notice (AN) 241.4 “Announcement of U.S. Department of Energy Computer Software.” The announcement notice and instructions are available on E-Link at https://www.osti.gov/elink/241-4.jsp. The AN 241.4 may be filled online and submitted electronically, with a printed copy or note accompanying the shipped software package.

Software (including user guide or manual) must be submitted on computer disk (CD) shipped via regular mail to:

Energy Science and Technology Software Center P.O. Box 1020 Oak Ridge, TN 37831

d. Other STI

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, or other STI. This Reporting Requirement will be denoted with the Frequency “O – Other” on the Checklist.

Other types of STI produced which may be for 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 ( https://www.osti.gov/elink-2413).

https://www.osti.gov/elink-2413 http://www.osti.gov/stip/audiovisualsti https://www.osti.gov/elink/241-4.jsp https://www.osti.gov/elink-2413

2. Final Technical Report

For R&D type awards where a Final Technical Report is required, recipients are required to create and submit a final technical report. This Reporting Requirement will be denoted with the Frequency “F – Final” on the Federal Assistance Reporting Checklist.

The Technical report is intended to increase the diffusion of knowledge gained by DOE-funded research, and all requirements shall be interpreted in that light.

Content. Research findings and other significant STI resulting from the DOE-sponsored R&D project shall be included in the final Technical report, subject to the following provisions:

1. The Technical report is to cover the entire project period. For Small Business Innovation Research

(SBIR) and Small Business Technology Transfer (STTR) awards, a final Technical report must be submitted after the completion of each phase, e.g., Phase I, Phase II, and sequential Phase II, as described in the Special Instructions.

2. STI that is publicly accessible need not be duplicated in the report if a citation with a link to where the information may be found is included in the report. For example, articles found in PAGES (i.e., DOE’s Public Access Gateway for Energy and Science, http://www.osti.gov/pages/) are accessible to the public.

3. Provide identifying information: the DOE award number; sponsoring program office; name of recipient; project title; name of project director/Program Manager; and consortium/teaming members.

4. Include an acknowledgment of Federal support and a disclaimer, which must appear in the publication of any material as noted in the terms and conditions.

5. Include any limitations on public release of the report, if applicable. If the document being submitted contains patentable material or protected data (i.e., data first produced in the performance of the award that is protected from public release for a period of time by terms of the award agreement, e.g., SBIR protected data), then (1) prominently display on the cover of the report any authorized distribution limitation notices, such as patentable material or protected data (e.g., SBIR protected data) and (2) clearly identify patentable or protected data on each page of the report. Reports delivered without such notices may be deemed to have been furnished with unlimited rights, and the Government assumes no liability for the disclosure, use or reproduction of such reports. Any restrictive markings must also be noted in the distribution limitation section of the Announcement Notice (AN) 241.3 (see Electronic Submission Process, below). No protected PII should be included (see PII definition).

6. Provide an abstract or executive summary, which should be a minimum of one paragraph and written in terms understandable by an educated layperson. (Refer to http://www.osti.gov/stip/standards for ANSI/NISO guidance as needed.) The abstract included in an application may serve as a model for this.

7. Summarize project activities for the entire period of funding, including original hypotheses, approaches used, and findings. Include, if applicable, facts, figures, analyses, and assumptions used during the life of the project to support the results in a manner that conveys to the scientific community the STI created during the project. To minimize duplication, the report may reference http://www.osti.gov/pages/ http://www.osti.gov/stip/standards

STI, including journal articles, that is publicly accessible. See also #2.

8. For guidance offered by the National Information Standards Organization on typical attributes and content of a technical report, if needed, refer to ANSI/NISO Z39.18-2005 (R2010), Scientific and Technical Reports – Preparation, Presentation, and Preservation (see http://www.osti.gov/stip/standards).

Electronic Submission Process. The final Technical report must be submitted via the DOE Energy Link System (E-Link) with a completed electronic version of DOE Announcement Notice (AN) 241.3, “U.S.

Department of Energy (DOE), Announcement of Scientific and Technical Information (STI).” The Recipient can complete, upload, and submit the DOE AN 241.3 online via E-Link ( https://www.osti.gov/elink-2413).

The Recipient must mark the appropriate block in the “Intellectual Property/Distribution Limitations” Section of the DOE AN 241.3. Reports that are electronically uploaded must not contain any limited rights data (proprietary data), classified information, protected PII, information subject to export control classification, or other information not subject to release. During the upload process, the Recipient must self-certify that no content of this nature is being submitted. For assistance with reports containing such content, contact the Contracting Officer.

Text documents must be submitted in Adobe Portable Document Format (PDF) and be one integrated PDF file that contains all text, tables, diagrams, photographs, schematics, graphs, and charts. Please refer to http://www.osti.gov/stip/best-practices-portable-document-format-pdf-creation for PDF document creation.

C. FINANCIAL REPORTING

The Recipient must complete the SF-425 as identified on the Reporting Checklist in accordance with the report instructions. A fillable version of the form is available at https://www.grants.gov/web/grants/forms/post-award-reporting-forms.html.

D. CLOSEOUT REPORTS

Final Invention and Patent Report

The Recipient must provide a DOE Form 2050.11, “PATENT CERTIFICATION.” This form is available at http://energy.gov/management/office-management/operational-management/financial-assistance/financial-assistance-forms under Reporting Forms.

Final Property Report

See Instructions under SF-428 Tangible Personal Property Report Forms Family below.

E. OTHER REPORTING

Annual Indirect Cost Proposal and Reconciliation

Requirement. In accordance with the applicable cost principles, the recipient must submit an annual indirect cost proposal, reconciled to its financial statements, within six months after the close of the recipient’s fiscal year, 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. The format and content of the indirect cost proposal should follow the Defense Contract Audit Agency’s (DCAA) ICE Model in order to be considered an adequate proposal.

http://www.osti.gov/stip/standards https://www.osti.gov/elink-2413 http://www.osti.gov/stip/best-practices-portable-document-format-pdf-creation https://www.grants.gov/web/grants/forms/post-award-reporting-forms.html https://www.grants.gov/web/grants/forms/post-award-reporting-forms.html http://energy.gov/management/office-management/operational-management/financial-assistance/financial-assistance-forms http://energy.gov/management/office-management/operational-management/financial-assistance/financial-assistance-forms

DCAA’s ICE Model can be found on the DCAA website at: http://www.dcaa.mil/Home/ICEmodel.

Cognizant Agency. The Recipient must submit its annual indirect cost proposal directly to the cognizant agency for negotiating and approving its indirect costs. If the DOE awarding office is the cognizant agency, the Recipient must submit their annual indirect cost proposal to https://www.fedconnect.net/fedconnect/default.aspx.

Audit of For-Profit Recipients

As required by 2 CFR §§ 910.500 through 910.521, a For-Profit entity which expends $750,000 or more during their fiscal year in DOE awards must have a compliance audit conducted for that year.

Submission: The compliance audit report(s) must be submitted to DOE within the earlier of 30 days after receipt of the auditor’s report(s) or nine months after the end of the audit period (Recipient’s fiscal year-end). The compliance audit report must be submitted, along with audited financial statements (if applicable), to the appropriate DOE Contracting Officer at https://www.fedconnect.net/fedconnect/default.aspx as well as to the DOE Office of the Chief Financial Officer (CFO) at DOE-Audit-Submission@hq.doe.gov .

SF-428 Tangible Personal Property Report Forms Family

Requirement. The SF-428 is a forms family consisting of 5 forms: the SF-428, SF-428-A, SF-428-B, SF-428-C, and SF- 428S. Fillable versions of the SF-428 forms are temporarily available at https://www.reginfo.gov/public/do/PRAViewIC?ref_nbr=201002-3090-001&icID=192059. The SF-428 is the cover page and the submitter attaches the appropriate form or forms as listed on the SF-428.

• The SF-428A is the Annual report, due Oct 30th of each calendar year.

• The SF-428B is the Final Award Closeout Report, due 90 calendar days after completion or termination of the award.

• The SF-428C is the Disposition Report/Request.

• The SF-428S is the supplemental form for the SF-428-A, SF-428-B, and SF-428-C.

If at any time during the award the Recipient is provided Government-furnished property or acquires property with project funds and the award specifies that the property vests in the Federal Government (i.e., federally owned property), the Recipient must submit an annual inventory of this property to the DOE Administrator using the SF-428 and SF-428-A forms at the address on page 1 of this checklist no later than October 30th of each calendar year, to cover an annual reporting period ending on the preceding September 30th. The SF-428 and SF- 428-B reports are required 90 calendar days after completion or termination of award to complete the closeout process.

Content of Inventory. As required on the SF-428-A and SF-428-S forms, 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. The report must list all federally owned property, including property located at subcontractor’s facilities or other locations.

http://www.dcaa.mil/Home/ICEmodel https://www.fedconnect.net/fedconnect/default.aspx https://www.fedconnect.net/fedconnect/default.aspx mailto:DOE-Audit-Submission@hq.doe.gov https://www.reginfo.gov/public/do/PRAViewIC?ref_nbr=201002-3090-001&icID=192059

Attachment 1

Appendix for PPR

DEMOGRAPHIC INFORMATION FOR SIGNIFICANT CONTRIBUTORS

Agencies may require that recipients provide demographic data about significant contributors for a variety of purposes, including the following:

• to gauge whether our programs and other opportunities are fairly reaching and benefiting everyone regardless of demographic category;

• to ensure that those in under-represented groups have the same knowledge of and access to programs, meetings, vacancies, and other research and educational opportunities as everyone else;

• to gauge and report performance in promoting partnerships and collaborations;

• to assess involvement of international investigators or students in work we support;

• to track the evolution of changing science, technology, engineering and mathematics (STEM) fields at different points in the pipeline (e.g., medicine and law demographics have recently changed dramatically);

• to raise investigator and agency staff awareness of the involvement of under-represented groups in research;

• to encourage the development of creative approaches for tapping into the full spectrum of talent of the STEM workforce;

• to respond to external requests for data of this nature from a variety of sources, including the National

Academies, Congress, etc.; and

• to respond to legislatively-required analysis of workforce dynamics. Legislation requires at least one agency to routinely estimate scientific workforce needs. This analysis is accomplished through reviewing demographic data submitted for the existing workforce.

Demographic data (i.e., gender, ethnicity, race, and disability status) should be provided directly by significant contributors, with the understanding that submission of such data is voluntary. There are no adverse consequences if the data are not provided. Confidentiality of demographic data will be in accordance with agency’s policy and practices for complying with the requirements of the Privacy Act.

Gender: Male

Female Do not wish to provide

Ethnicity: Hispanic or Latina/o Not-Hispanic or not-Latina/o Do not wish to provide

Race (select one or more)

Disability Status:

American Indian or Alaska Native Asian Black or African American Native Hawaiian or other Pacific Islander White

Yes (check yes if any of the following apply to you)

• Deaf or serious difficulty hearing

• Blind or serious difficulty seeing even when wearing glasses

• Blind or serious difficulty seeing even when wearing glasses

• Other serious disability related to a physical, mental, or emotional condition No

This measure is designed as a binary measure; it encompasses all self-reported disabilities. Please do not use it to report the number of individuals who have different types of disabilities (e.g., hearing impairments).

Note: This construct is not designed to be used at an individual-level (i.e., it should not be used for determining accommodation needs or disability status for particular individuals associated with the project).