Guidelines

Progress Reports and Final Report

Progress Reports:

For multiyear grants, yearly progress or continuation reports are required annually after the initial renewal year through the next to last year of the project period in order to provide funding. As long as the continuation budgets are within 25% of the budgets provided in the renewal, AND no new scope is involved, any progress reports and any additional materials should be emailed directly to SC.HEPProgressReports@science.doe.gov. If you want to propose continuation of the grant with new scope or funding that exceeds the budget threshold above, you MUST submit this request as a supplemental proposal through grants.govExternal link.

HEP Progress Report Format

DO NOT include any personally identifiable information (e.g. birth dates, SSN #s) in your report.  Reports may be included in publically searchable databases and we cannot ensure confidentiality of information provided.

1. DOE award # and name of the recipient (Institution).

2. Project Title and name and contact info (email, phone #) of the lead PI.

3. Date of the report and period covered by the report.

4. A brief description of accomplishments supported by this award over the past budget period, and planned activities for the current budget period. This can be in bullet form or whatever you think is useful and appropriate to indicate the sense of progress and near-term goals. Please limit this section to no more than 5 pages per co-investigator (co-PI), usually tenured or tenure-track faculty members. For grants with multiple co-PI's, please be specific about individual roles and accomplishments within the group.

5. A list of papers (already published, in press, submitted) in which DOE support is acknowledged as follows:

a) Papers which exclusively acknowledge HEP support.

b) Papers which acknowledge HEP and other agency support - Indicate briefly the role of each acknowledged agency in supporting the research described in the publication.

In the case of multi-institution publications, only list those papers in which your group has made a significant contribution and indicate the nature of that contribution.

6. A current list of people working on this research activity - graduate students, post-docs, visitors, technicians, etc. Indicate for each whether they are receiving full or partial support from this award.

a) In case of partial support, indicate number of months of DOE support, and also list other support (current and pending, federal and non-federal.) Briefly indicate the overlap, if any, and/or distinctiveness of the other support with the DOE-supported project.

b) Note any transitions that have occurred or are planned to occur in the past or current budget period (students graduating, new postdoc arriving, etc.)

7. Unexpended funds: Indicate the amount of unexpended funds, if any, that are anticipated to be left at the end of the current budget period.

8. Budget (use standard DOE budget forms.pdf file (584KB) , 1 per research area)

a) Provide estimated actual costs for the current budget period - the one which ends at your next grant renewal date -- including all funds (base, supplemental, one-shot, etc.,) awarded for that period.

b) Provide a spending plan for the upcoming budget period (the one which starts at your next grant renewal date) . The total spending for the grant must match your planned grant total funding for this year based on your most recent grant renewal.  If unexpended funds from prior year(s) are being applied to offset finding for the next budget period, please make note of that in your submission. 

c) Provide a brief outline of high priority supplemental activities that do not fit within your current budget plan.

Preferably the budget data for items 8a and 8b above should be provided as neighboring columns on one table.
Note: When submitting progress reports to the office, please email them to
SC.HEPProgressReports@science.doe.gov

Progress Reports must be submitted at least 90 days prior to the anticipated continuation funding date to our office.

Final Reports:

DO NOT include any personally identifiable information (e.g. birth dates, SSN #s) in your report. Reports may be included in publically searchable databases and we cannot ensure confidentiality of information provided.

A final report that summarizes the entire project must be submitted by the recipient within 90 days after the final project period ends or the award is terminated. Satisfactory completion of an award will be contingent upon the receipt of this report. The final report shall follow the same outline as a progress report. A list of manuscripts prepared for publication should be appended. Submit one copy of the Final Report to the DOE Project Officer (Block 11 of the Notice of Financial Assistance Award). The final Scientific/Technical Report must be submitted electronically-via the DOE Energy Link System (E-Link) accessed at http://www.osti.gov/elink-2413.

The report must be accompanied by a completed electronic version of DOE Form 241.3, "U.S. Department of Energy (DOE), Announcement of Scientific and Technical Information (STI)." You can complete, upload, and submit the DOE F.241.3 online via E-Link.

Reports must be submitted in the ADOBE PORTABLE DOCUMENT FORMAT (PDF) and be one integrated PDF file that contains all text, tables, diagrams, photographs, schematic, graphs, and charts. Materials, such as prints, videos, and books, that are essential to the report but cannot be submitted electronically, should be sent to the Contracting Officer at the address listed in Block 12 of the Notice of Financial Assistance Award.

Please note the following:

  • Your report becomes the public record of the taxpayer-funded research.
  • You are responsible for uploading the report to ELink. As a courtesy, you should send an electronic version to your Grant Monitor.
  • Your final closeout report should cover your research conducted during your last renewal period. Many HEP grants have been renewed multiple times, but only the last renewal period, typically three years, needs to be covered.
  • Your final report should emphasize the last budget year and include important results and highlights from your last renewal period. Consider using the progress report format and limit the length to no more than five pages per Principle Investigator.
  • Include a list of those students partially or fully supported by your grant who were awarded a PhD during your final renewal period.
  • Do not include budget sheets or estimates of unexpended funds.

Final Reports must be submitted within 90 days after the final project period ends

Last modified: 6/6/2013 12:26:52 PM