EECBG Program Notice

EECBG PROGRAM NOTICE 10-07B

EFFECTIVE DATE: September 17, 2010
SUBJECT: DOE RECOVERY ACT REPORTING REQUIREMENTS FOR THE
ENERGY EFFICIENCY AND CONSERVATION BLOCK GRANT
(EECBG) PROGRAM
REFERENCES:
(1)
OMB Memorandum M-09-21 Implementing Guidance for the Reports on the Use
of Funds Pursuant to the American Recovery and Reinvestment Act of 2009, June 22,
2009 (Reference 1)
(2)
OMB Memorandum M-10-08 Updated Guidance on the American Recovery and
Reinvestment Act – Data Quality, Non-Reporting Recipients, and Reporting of Job
Estimates, December 18, 2009 (Reference 2)
1.0 PURPOSE: Provides guidance to recipients of the Energy Efficiency and
Conservation Block Grant (EECBG) Program on the requirements of reporting under the
American Recovery and Reinvestment Act of 2009 (ARRA or Recovery Act; Pub. L. No.
111-5). This guidance supersedes EECBG Program Notice 10-07A and reduces the
monthly reporting requirements for relevant EECBG recipients (>$2M formula
allocation) and quarterly reporting requirements for all EECBG recipients.
2.0 SCOPE: The provisions of this guidance apply to prime recipients (i.e., States, units
of local government, and Indian tribes) named in a Notification of Grant Award as the
recipients of financial assistance under the Department of Energy (DOE) EECBG
Program. Note: This guidance applies solely to those performance metrics associated
with Recovery Act-supported EECBG Program activities as reported to DOE via the
Performance and Accountability for Grants in Energy (PAGE) system. This guidance is
supplemental to the guidance issued by the Office of Management and Budget (OMB) in
References 1 and 2. This guidance does not satisfy or replace the requirement to report to
OMB in accordance with Section 1512 of the Recovery Act to FederalReporting.gov.
This guidance does not address the annual reporting requirement necessary for
verification of compliance with Historic Preservation requirements nor does it address the
closeout reporting requirement. Guidance from DOE on these topics is forthcoming.
The monthly reporting requirements for EECBG recipients with formula allocations
>$2M outlined by this guidance are authorized under a six-month emergency approval by
OMB of an emergency Information Collection Request (ICR) that expires on September
30, 2010. In most cases, monthly data will be used internally for managerial purposes

EECBG Program Notice 10-07B
only, but where DOE does intend to publicize monthly data, it will clearly indicate it to
be "preliminary/informal and subject to change".1
3.0 LEGAL AUTHORITY: Title V, Subtitle E of the Energy Independence and Security
Act of 2007 (EISA; Pub. L. No. 110-140) establishes the EECBG Program under which
DOE makes funds available to States, units of local government, and Indian tribes to
develop and implement projects to improve energy efficiency and reduce energy use and
fossil fuel emissions in their communities. All EECBG awards shall comply with
applicable law including EISA, ARRA, and all other procedures applicable to this
program.

4.0 DEFINITIONS
Cost sharing or matching means the value of the third-party, in-kind contributions (i.e.,
goods or services) and the portion of the costs of a federally assisted project or program
not borne by the Federal Government. DOE does not require cost sharing as a
precondition of awarding EECBG formula funds. Any cost sharing volunteered by the
recipient is indicated in Block 12 “Total Amount: Cost Share” of the assistance
agreement with DOE, and is subsequently required to be provided and reported by the
recipient as a term of the grant award.
Leveraged funds means an estimate of the third-party, in-kind contributions and the
portion of the costs of a federally assisted project or program not borne by the Federal
Government, but does not include any cost sharing required as a term of the grant award
as defined above. While this value is an estimate, these funds should be:
• Demonstrably applied to the Recovery Act project, not assumed or projected; and
• Additional to Recovery Act funds (i.e., they would not have been applied to the
project in the absence of Recovery Act funds).
Obligations mean the amounts of orders placed, contracts and subgrants awarded, goods
and services received, and similar transactions during a given period that will require
payment by the prime recipient during the same or a future period. EECBG Program
Notice 09-02B details when funds used for financing programs are considered to be
obligated. Funds to be expended by a department internal to the prime recipient (i.e., not
expended to reimburse a vendor nor award a sub-recipient) and not used for a financing
program are considered obligated when they have been committed to the internal
department that will expend the funds.
Outlays (expenditures) mean charges made to the project or program. They may be
reported on a cash or accrual basis. For reports prepared on a cash basis, outlays are the
sum of actual cash disbursement for direct charges for goods and services, the amount of
indirect expense incurred and the amount of cash advances and payments made to
contractors and sub-recipients. For reports prepared on an accrued expenditure basis,
1 A normal ICR (36 month collection) is currently under review by OMB’s Office of Information and Regulatory Affairs. 
Regardless of the September 30th expiration of the emergency ICR, EECBG should continue to report both quarterly and 
monthly (>$2M formula allocation) pursuant to this guidance until further official communication from DOE OWIP (e.g., 
revised guidance or official letter). 

2

EECBG Program Notice 10-07B
outlays are the sum of actual cash disbursements, the amount of indirect expense incurred
and the net increase (or decrease) in the amounts owed by the recipient for goods and
other property received, for services performed by employees, contractors, sub-recipients,
subcontractors, and other payees, and other amounts becoming owed under programs for
which no current services or performance are required, such as annuities, insurance
claims, and other benefit payments.
Outlays should only capture the expenditure of federal funds and should not include cost
sharing or leveraged funds.
Program income means gross income earned by the recipient that is directly generated
by a supported activity or earned as a result of the award (see exclusions in 10 CFR
600.124 (e) and (h)). Program income includes, but is not limited to, income from fees
for services performed, the use or rental of real or personal property acquired under
federally-funded projects, the sale of commodities or items fabricated under an award,
license fees and royalties on patents and copyrights, and interest on loans made with
award funds. As noted in EECBG Program Notice 10-02B, interest earned on EECBG
funds used for financial programs (e.g. interest earned by a revolving loan fund or loan
loss reserve) shall be either be expended on other eligible activities or shall be returned to
the Federal Government.
Project cost means the sum of Federal (i.e., EECBG formula funds) cost sharing, and
estimated leveraged funds dedicated to completion of a Recovery Act project. Other
Federal funds (i.e., non-EECBG funds) applied to the project should not be counted under
project cost.
Prime recipients are non-Federal entities that receive Recovery Act funding as Federal
awards in the form of grants, loans, or cooperative agreements directly from the Federal
government. Federal agencies are not considered prime or sub-recipients.
Sub-recipient means a non-Federal entity that expends Federal awards received from
another entity to carry out a Federal program but does not include an individual who is a
beneficiary of such a program. Specifically, sub-recipients are non-Federal entities that
are awarded Recovery Act funding through a legal instrument from the prime recipient to
support the performance of any portion of the substantive project or program for which
the prime recipient received the Recovery Act funding. Additionally, the terms and
conditions of the Federal award are carried forward to the sub-recipient.
Unliquidated obligations for reports prepared on a cash basis mean the amount of
obligations incurred by the recipient that have not been paid. For reports prepared on an
accrued expenditure basis, they represent the amount of obligations incurred by the prime
recipient for which an outlay has not been recorded.
Vendor means a dealer, distributor, merchant, or other seller providing goods or services
that are required to conduct a Federal program. Prime recipients or sub-recipients may
purchase goods or services needed to carry out the project or program from vendors.
Vendors are not awarded funds by the same means as sub-recipients and are not subject
3

EECBG Program Notice 10-07B
to the terms and conditions of the Federal financial assistance award, except as required
by the prime recipient or sub-recipient.
The characteristics of a vendor that make it distinct from a sub-recipient are summarized
below. A vendor:
(1) Provides the goods and services within normal business operations;
(2) Provides similar goods or services to many different purchasers;
(3) Operates in a competitive environment;
(4) Provides goods or services that are ancillary to the operation of the Federal
program; and
(5) Is not subject to compliance requirements of the Federal program.
5.0 BACKGROUND
The EECBG Program funds provided through the Recovery Act represent an
unprecedented Federal investment in energy efficiency and renewable energy activities
designed and implemented by the States, Territories, units of local government, and
Indian tribes. Concomitant with this investment, the President has pledged that
transparency and accountability will be of paramount importance throughout the grant
process. DOE will effectively monitor and report the return on investment of EECBG
funds in terms of jobs created and energy saved. Pursuant to these objectives, new
reporting requirements are in place for all Federal Recovery Act programs.
For all EECBG recipients, these requirements are fulfilled through reporting via two
distinct but similar processes:
1. Quarterly reporting of data to OMB via FederalReporting.gov and
2. Quarterly and monthly (for prime recipients with formula allocations >$2M)
reporting of data to DOE via PAGE
6.0 GUIDANCE
The following sections detail how EECBG recipients will:
1. Report Section 1512 data to OMB quarterly
2. Report required data to DOE monthly and quarterly via PAGE
3. Summarize the timing and process relationship between OMB and DOE
reporting requirements.
6.1 QUARTERLY REPORTING TO OMB VIA FEDERALREPORTING.GOV
The Office of Management and Budget (OMB) requires the quarterly reporting of grant
information in accordance with Section 1512 of the Recovery Act as outlined in
Reference 1 & 2. The nominal reporting timeline (in days after the close of the reporting
quarter), while always subject to change, is as follows:
• 10th: Prime recipients (and sub-recipients with delegated reporting responsibility)
are required to submit their initial reports to FederalReporting.gov
• 11th-21st: Prime recipients can correct significant reporting errors or omissions
• 22nd-29th: Prime recipients are locked out from their reports and can only make
corrections if their agency reviewer comments on the report
4

EECBG Program Notice 10-07B
• 33 -75 : Prime recipients can correct submitted reports during the continuous
quality assurance (QA) period. 
rd

th

The DOE Recovery Act clearinghouse coordinates Section 1512 reporting for all DOE
Recovery Act projects. Further information on the content and process of Section 1512
reporting is available here:
http://www.energy.gov/recovery/ARRA_Reporting_Requirements.htm
Please note: Submitting information to DOE does NOT fulfill the OMB Section 1512
reporting requirement. DOE cannot forward the information to OMB for the recipient.
6.2 MONTHLY2 AND QUARTERLY REPORTING TO DOE VIA PAGE
6.2.1 Who is Required to Report
All prime recipients are responsible for reporting on a quarterly basis. Additionally,
prime recipients with formula allocations >$2M are responsible for reporting information
on a monthly basis. Prime recipients may, at their discretion, delegate the authority for
reporting to sub-recipients through creation of user accounts in PAGE. However,
regardless of how recipients decide to manage their reporting processes, prime recipients
ultimately retain the responsibility to ensure that reports are submitted accurately and on
time.
All prime recipients are required to report quarterly, even if no funds were expended or
no progress was made during the reporting quarter.
6.2.2 Reporting tool

PAGE (www.page.energy.gov) is the online system that provides all EECBG recipients

with the ability to electronically submit and manage grant performance and financial

information. A host of training tools to familiarize users with PAGE are readily

accessible from within the site, including help screens, FAQs, and a number of training

videos. These are available to guide recipients through each of the necessary reporting

steps.

6.2.3 Reporting Timeline

All monthly and quarterly reports are required to be submitted to DOE via PAGE no later

than the 30th day of the month following the end of the reporting period (i.e., month or

quarter).

6.2.4 Required Reports

DOE requires the submission of two major reports from prime recipients:

1. Federal Financial Report (SF-425): submitted quarterly at the level of the prime
recipient
2. Performance Report: submitted monthly (as applicable) and quarterly at the
level of the activity.
2

 Monthly reports are only required for EECBG recipients with formula allocations greater than or equal to $2M. 

5

EECBG Program Notice 10-07B

6.2.4.1 The Federal Financial Report (SF-425)

The SF-425 reports the aggregate (i.e., at the level of the recipient, not the activity) status

of financial activity on a quarterly basis. This report is accessed through the “Financial

Reporting” link in PAGE.

In several instances, the information requested by the SF-425 either matches or
corresponds to financial information provided for OMB Section 1512 reporting or DOE
Performance reporting. Each of the fields below corresponds to one line on the SF-425.
Federal Cash:
a. Cash Receipts: Enter the amount of Federal funds drawn down from ASAP (or
the VIPERS system) during the reporting period (e.g., January 1 –March 31, 2011)
in the data field under “This Period.”
b. Cash Disbursements: Enter the amount of Federal fund disbursements (such as
cash or checks) as of the reporting period end date. Disbursements are the sum of
actual cash disbursements for direct charges for goods and services, the amount of
indirect expenses charged to the award, and the amount of cash advances and
payments made to sub-recipients and contractors.
c. Cash on Hand: Automatically calculated in PAGE by subtracting Cash

Disbursements (Line b) from Cash Receipts (Line a).

Federal Expenditures and Unobligated Balance:
d. Total Federal Funds Authorized: Automatically determined in PAGE from
EECBG grant award and subsequent amendments.
e. Federal Share of Expenditures: Enter the amount of Federal fund expenditures.
For reports prepared on a cash basis, expenditures are the sum of cash
disbursements for direct charges for property and services; the amount of indirect
expenses charged; and the amount of cash advance payments and payments made to
sub-recipients. For reports prepared on an accrual basis, expenditures are the sum of
cash disbursements for direct charges for property and services; the amount of
indirect expense incurred; and the net increase or decrease in the amounts owed by
the recipient for
(1) goods and other property received;
(2) services performed by employees, contractors, sub-recipients, and other
payees; and
(3) programs for which no current services or performance are required.
Do not include program income expended in accordance with the deduction
alternative, rebates, refunds, or other credits. (Program income expended in
accordance with the deduction alternative should be reported separately on Line o.)
f. Federal Share of Unliquidated Obligations: Unliquidated obligations on a cash
basis are obligations incurred, but not yet paid. On an accrual basis, they are
6

EECBG Program Notice 10-07B
obligations incurred, but for which an expenditure has not yet been recorded. Enter
the Federal portion of unliquidated obligations. Those obligations include direct and
indirect expenses incurred but not yet paid or charged to the award, including
amounts due to sub-recipients and contractors. On the final report, this line should
be zero. Note: Do not include any amount in Line f that has been reported in Line e.
Do not include any amount in Line f for a future commitment of funds (such as a
long-term contract) for which an obligation or expense has not been incurred. If an
obligation has been incurred (e.g., contract executed, order placed), it should be
included in Line f regardless of the term of the contract.
g. Total Federal Share: Automatically calculated in PAGE by summing Federal
Share of Expenditures (Line e) and Federal Share of Unliquidated Obligations (Line
f).
h. Unobligated Balance of Federal Funds: Automatically calculated in PAGE by
subtracting Total Federal Share (Line g) from Total Federal Funds Authorized (Line
d).
Recipient Share:
Note: DOE does not require cost sharing as precondition of awarding EECBG
funds. However, if EECBG prime recipients elected to provide voluntary cost
sharing, they are required to provide that cost sharing as part of the terms of the
grant agreement and report the expenditure of cost sharing in the “Recipient Share
of Expenditures” field noted below. The total required recipient share is identified
in Block 12 “Total Amount: Cost Share” of the assistance agreement with DOE. If
an EECBG prime recipient believes that cost sharing was included in their
assistance agreement in error, the recipient should contact their contract specialist
for resolution. A majority of EECBG recipients is not required to provide cost
sharing (i.e. Block 12 of the assistance agreement reads “Cost Share: $0.00”) and
will not report any information under the Recipient Share section of the SF-425.
i. Total Recipient Share Required: The amount of cost share is identified in Block
12 of the assistance agreement and should be reflected in the “Cumulative” field. If
the value in the “Cumulative” field is different from the amount in Block 12 of the
assistance agreement, the recipient should enter the difference into the “This
Period” field in order to make the “Cumulative” field reflect Block 12. This amount
should not include cost sharing and match amounts in excess of the amount required
by the Federal agency (e.g., cost overruns for which the recipient incurs additional
expenses and, therefore, contributes a greater level of cost). For the purposes of
EECBG reporting, any cost sharing or match amounts in excess of the amount
required are classified as “leveraged funds” and should be considered when
reporting percentage of leveraged funds in the Performance Report.
j. Recipient Share of Expenditures: Enter the recipient share of outlays including
payments to sub-recipients and contractors. This amount may include the value of
7

EECBG Program Notice 10-07B
allowable third-party, in-kind contributions and recipient share of program income
used to finance the non-Federal share of the project or program.
Note: On the final report, this line should be equal to or greater than the amount of
Line i. Any amount reported in excess of that required in Line i meets the definition
of “leveraged funds” and should be considered when reporting percentage of
leveraged funds in the Performance Report.
k. Remaining Recipient Share to be Provided: Automatically calculated in PAGE by
subtracting Recipient Share of Expenditures (Line j) from Total Recipient Share
Required (Line i).
Program Income:
l. Total Federal Program Income Earned: Enter the amount of Federal program
income earned. Do not report any program income here that is being allocated as
part of the recipient's cost sharing amount included in Line j. Note: Program
income is defined in the definition section 4.0. With the exception of interest
accrued by revolving loan funds and loan loss reserve funds, it is unlikely that
program income is being earned by EECBG recipients as they are not generally
engaging in revenue-generating activities.
m. Program Income Expended in Accordance With the Deduction Alternative: This
field should generally not be used by EECBG recipients. Any program income
earned by EECBG recipients should be expended in accordance with the addition
alternative and put towards the completion of eligible activities.
n. Program Income Expended in Accordance With the Addition Alternative: Enter
the amount of program income that was added to funds committed to the total
project costs and expended to further eligible project or program activities. This
field will generally only include interest accrued by revolving loan funds and loan
loss reserve funds.
o. Unexpended Program Income: Automatically calculated in PAGE by subtracting
either Program Income Expended in Accordance With the Deduction Alternative
(Line m) or Program Income Expended in Accordance With the Addition
Alternative (Line n) from Total Federal Program Income Earned (Line l).
Indirect expenses:
Not included unless indirect costs have been approved by DOE and included in the
grant award Budget Information, SF-424A form.
6.2.4.2 Performance Report
The Performance Report (i.e., the Progress Report noted in the recipient’s Federal
Assistance Reporting Checklist) requires the following information, except outlays, at the
activity level on a quarterly basis. However, grantees >$2M are also required to report
outlays on a monthly basis.
8

EECBG Program Notice 10-07B
a. Activity Status
This section is required to help DOE understand the progress made on each activity
by providing general information about the status of the activity including the status
of the project (e.g., active, completed, dropped), the estimated percent of work
complete, the planned start and end dates as well as the actual start and end dates.
Note: the project description comes directly from the description listed on
the activity worksheets.
b. Activity Milestones
The activity milestones are optional but highly encouraged to offer more detailed
insights into the progress made on a specific activity. The fields include planned
start and completion dates, planned amount, actual amount, actual start and
completion dates and description box. The description box should include a detailed
description of a project milestone which should include specific steps in the activity
progress. Examples of detailed steps in a building retrofit project are "RFP
advertised," "contractor selected," equipment purchased," "equipment installed and
verified," "invoice received for equipment purchase," or "final payment draw
down."
c. Job metrics
This category of metrics allows DOE to capture the impact of EECBG funds on the
domestic labor market. To ensure the number of jobs is being reported consistently,
EECBG Program Notice 10-08A provides detailed instruction on how to calculate
and report job creation and retention. EECBG recipients are only required to report
job creation and retention on a quarterly basis. Recipients should use the
methodology in EECBG Program Notice 10-08A to calculate job creation for
quarterly reporting to DOE and quarterly reporting to OMB. Through adherence to
this standard methodology, consistency between the jobs figures reported to both
DOE and OMB can be maintained.
d. Financial metrics
In addition to the information reported on the SF-425, DOE requires the report of
outlays (i.e., funds expended), obligations (i.e., commitment of funds incurred), and
percentage of leveraged funds:
1. Outlays: Reported at the project activity level by period of performance
(i.e., those outlays occurring during the month or quarter, as applicable).
Recipients with formula allocations greater than or equal to $2 million
will report outlays on a monthly basis for outlays occurring during the
month in question. PAGE will automatically sum each of the monthly reports
to pre-populate the relevant fields in the Quarterly Performance Report
(QPR). In order to ensure the QPR reflects the most accurate data, the
monthly reports associated with the current reporting quarter will remain
freely editable by the recipient until the QPR is submitted to DOE for review.
Note: Where a prime recipient implementing a “Loans and Grants” activity
has sub-granted funds to another entity for the issuance of loans, the value of
9

EECBG Program Notice 10-07B
loans issued in any reporting quarter is to be reported as outlays for that
quarter. Refer to EECBG Program Notice 09-002B for further clarification.
2. Obligations: Reported at the project activity level by period of performance
(i.e., those obligations incurred during the quarter) on a quarterly basis. In
order to ensure the QPR provides an accurate reflection of cumulative
obligations, all recipients were required to report on obligations cumulative
thru 03/31/10 in the Q2 quarterly report due July 30, 2010. This metric should
have reflected the sum of all obligations of EECBG funds incurred in support
of the relevant activity through March 31, 2010, regardless of whether or not
those obligations were subsequently liquidated. If this metric (Obligations
cumulative through 3/31) was either not reported or reported incorrectly,
recipients should work with their Project Officer to amend the Q2 report.
3. Percentage of Leveraged Funds: Reported at the project activity level when
the recipient is able to accurately estimate the amount of leveraged funds to be
applied to the Recovery Act project. The most appropriate time for this metric
to be reported is when the federal funds allocated to that activity are fully
obligated (i.e., cumulative project activity obligations = proposed activity
budget) and the recipient has secured the leveraged funds that will be applied
to the project. In any case, this metric is to be reported prior to (or concurrent
with) the recipient reporting the project activity as “Completed”. While this
metric is intended to be reported one time, recipients will be able to revise this
metric in subsequent reports if necessary. This metric is to be expressed as a
percentage. The formula for this percentage is as follows:

e. Primary Process metrics
Process metrics are individual sets of programmatic outcomes that allow DOE to
monitor progress on the scope of work identified by recipients in each project
activity. Recipients are required to report on one primary process metric per project
activity on a quarterly basis. The full list of possible process metrics has been
expanded to accommodate a broader array of project activities and is listed in
Attachment 1. The primary process metric to be reported in the QPR is driven by
the recipient’s selection of the metric area on the associated activity worksheet.
How to choose a process metric: The recipient should choose a primary process
metric that best defines the project activity they are implementing.
For example, a project activity allocating $50,000 to update a building code and
allocating $5,000 to offer workshops to the building inspection department, the
recipient should select the metric area of “Building Codes and Standards.” This
selection of metric area will allow the recipient to report the correct primary
10

EECBG Program Notice 10-07B
process metrics (e.g., name of new code adopted, name of old code adopted,
number of new and existing buildings covered by new code).
In order to report on a primary process metric, recipients must have selected the
metric area associated with that primary process metric on their activity worksheet.
The relationship between metric areas and process metrics is outlined in Attachment
1. The selection of metric areas should be driven by the primary process metric that
best defines the project, regardless of the activity category chosen for that project
activity (i.e., one of the fourteen eligible activities outlined in EISA). Recipients
should avoid reporting on the user-defined “Other” metric under the “Other” metric
area as this limits the ability of DOE to track and report progress on the associated
project activity.
For specific questions about how to classify process metrics, what is required and
how to enter the information in PAGE, grantees, DOE Project Officers and
Technical Assistance providers can email [email protected].
What to report: Recipients are required to report on the progress completed in the
primary process metric during the reporting quarter. If no progress was made in any
individual quarter, a recipient should enter zero.
Note: Where a prime recipient is implementing a loan activity (e.g., revolving loan
fund) classified under the “Loans and Grants” metric area, and has subcontracted
with a third party to administer the loans, the primary process metric should reflect
the number and dollar value of the loans issued by the third party to beneficiaries of
the loans and not the amount of the subcontract between the prime recipient and the
third party.
For example, a prime recipient has subcontracted with a third-party to administer a
$3M revolving loan fund. The entire revolving loan fund is capitalized in Q2 2010.
The third-party entity issues 20 loans for the amount of $2M in Q3 2010. The prime
recipient should report both the 20 loans issued and the $2M for the monetary
value of the loans as the primary process metrics on the Q3 2010 reporting.
Additionally, certain process metric areas require reporting of process metrics by
sector. These sectors include:
•
•
•
•
•
•
•
•
•

Agricultural 
Commercial 
Industrial 
Institutional (e.g., hospital, educational, correctional) 
Other 
Public 
Residential 
Transportation 
All sectors 
11

EECBG Program Notice 10-07B
For example, if a building retrofit is occurring in the public sector and the
commercial sector, the recipient will need to report the required primary process
metric (e.g., number of buildings retrofitted and square feet of buildings retrofitted)
by both the public sector and the commercial sector.
When to report: To avoid “double counting”, the primary process metrics
associated with any portion of project completion should be reported once for the
reporting quarter in which that discrete portion was completed and once only. What
constitutes a “discrete portion” of the project is left to the discretion of the recipient,
but DOE prefers process metrics resulting from a portion of project completion be
reported as soon after completion as possible.
For example, a recipient implementing a project to retrofit 20 buildings should
choose the metric area “Building Retrofits.” If the 20 buildings are completed in
sets of five buildings (i.e., “discrete portions”) over the course of four quarters,
DOE prefers that the recipient report the primary process metrics (i.e. number and
square feet of building retrofitted) associated with the buildings completed in each
of the four respective quarterly reports.
f. Impact metrics
This category of metrics allows DOE to gauge the impact of the projects
implemented by recipients on energy savings, energy cost savings, renewable
energy generation, and emissions reductions as applicable. The full list of available
impact metrics is as follows:

12

EECBG Program Notice 10-07B
Impact Metrics
Metric Area

Metric
1a. Reduction in natural gas
consumption, by sector
1b. Reduction in electricity
consumption, by sector
1c. Reduction in electricity
demand, by sector
1d. Reduction in fuel oil
consumption, by sector
1e. Reduction in propane
consumption, by sector
1f. Reduction in gasoline and
diesel fuel consumption, by sector

Impact Metric Item To Report On
Reduction in natural gas consumption
(MMcf/year)
Reduction in electricity consumption
(MWh/year)
Reduction in electricity demand
(MW/year)
Reduction in fuel oil consumption
(gallons/year)
Reduction in propane consumption
(gallons/year)
Reduction in gasoline and diesel fuel
consumption (gallons/year)

2. Energy Cost
Savings

2a. Dollars Saved

Dollars Saved ($/year)

3. Renewable
Energy
Capacity and
Generation

3a. Amount of electricity generated
from wind systems
3b. Amount of electricity generated
from photovoltaic systems
3c. Amount of electricity generated
from other renewable sources

Amount of electricity generated from
wind systems (MWh/year)
Amount of electricity generated from
photovoltaic systems (MWh/year)
Amount of electricity generated from
other renewable sources (MWh/year)
Amount of greenhouse gases reduced
(metric tons CO2 equivalent/year)3
Amount of criteria air pollutants
reduced (tons/year)4

1. Energy
Savings

4. Emissions
Reductions

4a. Greenhouse gases reduced
4b. Criteria air pollutants reduced

What to report: Recipients are required to report an annual estimate of how that
discrete portion of the project activity completed during the quarter contributes to
any of the impact metrics listed above.
For example, if a recipient completes the retrofit of 20 buildings in January 2011
that is estimated to save 415 MWh of electricity saved annually, 215.2 Mt of CO2eq.
reduced annually and 1.94 tons of criteria pollutants reduced annually, the
recipient will report those metrics in the first quarter QPR (due April 30, 2011) for
the project activity associated with the retrofits.
The estimate of each impact metric should be based off the project cost and not just
that portion supported by EECBG formula funds or cost sharing. However,
recipients should not report the estimated impact of any other federal funds (e.g.,
EPA or HUD funds).
For example, if the recipient completing the building retrofits in the example above
used EECBG funds to provide for 80% of the project cost and leveraged funds for
the other 20% of the project cost, the recipient would report the full estimated
3 In addition to CO2, DOE requires reporting of the following greenhouse gases (with associated global warming potentials over 

a 100‐yr timeframe): CH4 (25), N20 (298).  All GHG should be converted into CO2 equivalents and reported as an aggregate 

number.

4 DOE requires reporting of the following Criteria Pollutants: SOx, NOx, CO.

13

EECBG Program Notice 10-07B
impact (415 MWh of electricity saved annually, 215.2 Mt of CO2eq. reduced
annually, and 1.94 tons of criteria pollutants reduced annually) of the 20 building
retrofits and not a pro-rated share based on funding source.
On the final QPR, the cumulative energy savings should reflect the full annual
energy savings estimated to accrue from the project activity implementation.
DOE requires only the report of impact estimates that accrue directly from the
implementation of Recovery Act projects; not estimates that attempt to quantify the
secondary or indirect impacts of project implementation. As such, it is likely that
certain project activities, particularly those associated with the metric area of
“Clean Energy Policy”, will report no energy savings from project implementation.
However, project activities falling under the metric activities of “Loans and Grants”
and “Financial Incentives for Energy Efficiency and Other Covered Investments”
should report impact estimates for the underlying activity being financed through
the project activity (e.g., building retrofits completed by municipal grants).
How to report: Under the assumption that recipients are readily able to accurately
estimate impact metrics, DOE prefers that recipients utilize their own methodology
for estimating impact metrics. In these instances, recipients should take care to
account for other determinant factors (e.g., weather variation) when making impact
estimates.
For those instances where recipients find determination of impact metrics difficult,
DOE has developed the Recovery Act Benefits Calculator to help recipients create
an estimate of impact metrics (with the exception of energy demand reduction and
energy cost savings) from a simple list of user-defined inputs. The Benefits
Calculator is available as both a web-based tool and in an Excel spreadsheet format:
Web-based Tool
http://www1.eere.energy.gov/wip/solutioncenter/calculator/default.aspx
Excel Spreadsheet
http://www1.eere.energy.gov/wip/docs/arra_benefits_reporting_calculator.xls
In order to facilitate the determination of the energy demand reduction and energy
cost savings impact metrics, DOE has developed another Excel spreadsheet
calculator to translate energy savings into the necessary metrics:
http://www1.eere.energy.gov/wip/docs/owip_energy_calculator.xls
These tools are also available in both the Reference Library section of PAGE and as
a link from the Metrics Wizard within PAGE. Recipients are not required to utilize
these tools to determine critical metrics.
Please note: The Recovery Act Benefits Calculator supersedes all previous editions
of benefit calculators provided by DOE.
14

EECBG Program Notice 10-07B

In addition to these resources, recipients can also submit a technical assistance
request to the DOE Solution Center if they encounter difficulty developing an
estimate of impact metrics. Technical assistance requests can be submitted here:
http://www1.eere.energy.gov/wip/solutioncenter/
When to report: To avoid “double counting” the impact metrics associated with any
portion of project completion should be reported once for the reporting quarter in
which that discrete portion was completed and once only. What constitutes a
“discrete portion” of the project is left to the discretion of the recipient, but DOE
prefers that impact metrics resulting from a portion of project completion be
reported as soon after completion as possible.
For example, if a recipient retrofits 20 buildings in sets of five buildings (i.e.,
“discrete portions”) over the course of four quarters, DOE prefers that the
recipient report the impact of each set of five buildings in each of the four
respective quarterly reports.
However, in the instance that recipients are using methodologies that utilize “pre”
(to establish a baseline of energy consumption) and “post” utility data to refine their
energy savings estimates, they will have to allow a few months to pass in order to
measure the “post” energy consumption. In this case, the best practice is to leave
the “Activity Status” block in the associated QPR as “Active” until such time as the
estimate can be properly completed. On the subsequent QPR, the recipient can
report the energy savings and then note the “Activity Status” as “Completed”.
Recipients are reminded to take care to account for other determinant factors (e.g.,
weather variation) when making impact estimates.
g. Optional process metrics
While only the primary process metric is required per project activity, recipients
may (at their discretion) choose to report additional process metrics to more
comprehensively capture the scope of work. This is often useful when an activity is
accomplishing multiple goals under a single activity.
Example 1: A recipient managing a “Codes and Inspections” activity that is both
implementing a new building code and training building code inspectors may
choose “Building Codes and Standards” as the primary process metric area. In
order to fully capture the activity’s scope of work, the recipient should choose
“Workshops, Training and Education” as an optional process metric.
Example 2: A recipient providing grants for residential building retrofits would be
required to report “Loans and Grants” as their primary process metric area but
could choose to report “Building Retrofits” as an optional process metric area.
A recipient cannot choose to report optional process metrics under the metric area
associated with the primary process metric, but is otherwise unconstrained in the
15

EECBG Program Notice 10-07B
number of optional process metrics on which they may report. Recipients can both
commence and conclude reporting on optional process metrics at their own
discretion.
f. Qualitative descriptions

This section includes a set of narrative fields meant to accomplish two tasks:

1. Identify the project activity as infrastructure investment and explain the
purpose and rationale behind the selection of this infrastructure project.
Note: There is no standard federal or DOE definition of infrastructure. Recipients
should use their own discretion in determining if an individual project activity
qualifies as infrastructure investment.
2. Provide qualitative information to DOE (particularly Project Officers) on the
status of project activity implementation. Which of these narrative fields are
necessary to fill out and at what frequency is left to the discretion of the Project
Officer.
6.3 TIMELINE AND PROCESS FOR REPORTING TO OMB AND DOE
The respective OMB5 and DOE reporting timelines are illustrated below:

The OMB Section 1512 reporting requires the report of two fields, “Total Federal
Amount of ARRA Expenditure” and “Total Federal Amount ARRA Funds
Received/Invoiced” that match financial information provided to DOE for financial
reporting or performance reporting. Recipients should minimize any discrepancy between
the reports of these metrics made to DOE and OMB. It is understood that as time passes
from the close of the reporting period, recipients are able to obtain an increasingly
accurate picture of grant performance during the reporting period.

5 The nominal OMB reporting timeline is shown. The actual OMB reporting timeline is subject to change and will vary quarter
to quarter 

16

EECBG Program Notice 10-07B
If information regarding either of these fields is updated after the 21st of the month, the
recipient should contact their Project Officer to coordinate correction of the report
submitted to FederalReporting.gov and ensure consistency with the information to be
submitted to DOE. In cases where the prime recipients have delegated the ability to
report via FederalReporting.gov to a different authority (e.g., State Recovery Act office)
and receive updated information on these two fields, they should coordinate with the
other authority to make the necessary changes to the report in FederalReporting.gov.
The OMB reporting module in PAGE can be used as a ready tool to help ensure the
consistency of information reported to OMB and DOE.
In any situation, recipients should prioritize the accuracy of data submitted to DOE over
the consistency of data being submitted to various sources.
7.0 CONCLUSION
Recovery Act funding supports initiatives by States, units of local government, and
Indian tribes, as part of an unprecedented opportunity to deploy energy efficiency and
renewable energy projects across the country. On a quarterly and monthly (where
applicable) basis, it is required that EECBG recipients report jobs, financial information,
process and impact metrics. This is an important component to demonstrating the impact
and success of the EECBG program.

Tobias Russell
Acting Program Manager
Office of Weatherization and Intergovernmental Program
Energy Efficiency and Renewable Energy
Attachment 1: EECBG & SEP – Process Metric List

17

EECBG 10‐07B/SEP 10‐006A Attachment 1: Process Metrics List 
Metric Area

Metric
1a. Buildings retrofitted, by sector

1. Building
Retrofits

1b. Energy management systems installed, by sector
1c. Building roofs retrofitted, by sector
1d. Water management systems installed, by sector
1e. Water conservation retrofits, by sector
2a. Loans given

2. Loans and
Grants

2b. Loans given that are supported by Loan Loss
Reserves
2c. Grants given
3a. Solar energy systems installed
3b. Wind energy systems installed
3c. Solar thermal systems installed
3d. Ground source geothermal systems installed

3. Renewable
Energy Market
Development

3e. Biomass (non-transport) system installed
3f. Biofuel systems installed
3g. Hydropower systems installed
3h. Other systems installed (BTU/h)
3i. Other systems installed (kW)

Primary or Optional Metric Item(s) to Report On
Number of buildings retrofitted
Square footage of buildings retrofitted
Number of energy management systems installed
Square footage of buildings under management
Number of building roofs retrofitted
Square footage of building roofs retrofitted
Number of water management systems installed
Number of water conservation retrofits completed
Number of loans given
Total monetary value of loans given
Number of loans supported by loan loss reserves
Total monetary value of loans supported by loan loss reserves
Number of grants given
Total monetary value of grants given
Number of solar energy systems installed
Total capacity of solar energy systems installed (kW)
Number of wind energy systems installed
Total capacity of wind energy systems installed (kW)
Number of solar thermal systems installed
Total capacity of solar thermal systems installed (square feet)
Number of ground source geothermal systems installed
Total capacity of ground source geothermal systems installed (tons)
Number of biomass (non-transport) systems installed
Total capacity of biomass (non-transport) systems installed (kW)
Number of biofuel systems installed
Total capacity of biofuel systems installed (gallons/year)
Number of hydropower systems installed
Total capacity of hydropower systems installed (kW)
Number of other systems installed
Total capacity of other systems installed (BTU/h)
Number of other systems installed
Total capacity of other systems installed (kW)
1 

EECBG 10‐07B/SEP 10‐006A Attachment 1: Process Metrics List 
Metric Area
4. Building
Codes and
Standards

5. Clean Energy
Policy

6. Building
Energy Audits
7. Energy
Efficiency
Rating and
Labeling

8. Government,
School,
Institutional
Procurement

Metric
4a. Building Code Adoption
5a. Alternative energy plans developed or improved
5b. Renewable portfolio standards established or
improved
5c. Interconnection standards established or improved
5d. Energy efficiency standards established or improved
5e. Climate Action Plans developed or improved
5f. GHG inventories completed
5g. Renewable energy feasibility studies completed
5h. Transportation feasibility studies completed
5i. Other policies developed or improved
5j. Energy Efficiency and Conversation strategies
(EECS) completed
6a. Building energy audits, by sector
7a. Energy-consuming devices for which energyefficiency rating and labeling systems were
endorsed by grantee

8a. Units purchased, by type

Primary or Optional Metric Item(s) to Report On
Name of new code adopted
Name of old code replaced
Number of new and existing buildings covered by new code
Number of alternative energy plans developed or improved
Number of renewable portfolio standards established or improved
Number of interconnection standards established or improved
Number of energy efficiency standards established or improved
Number of Climate Action Plans developed or improved
Number of GHG inventories completed
Number of renewable energy feasibility studies completed
Number of transportation feasibility studies completed
Number of other policies developed or improved
Number of Energy Efficiency and Conservation strategies
completed
Number of audits performed
Floor space audited
Auditor’s projection of energy savings (kWh)
Types of energy-consuming devices for which energy-efficiency
rating and labeling systems were endorsed
Number of energy efficient exit signs purchased
Number of energy efficient HVAC units purchased
Number of energy efficient pieces of office equipment purchased
Number of energy efficient streetlights purchased
Number of alternative-fuel vehicles purchased
Number of energy efficient water heating units purchased
Number of energy efficiency refrigerators purchased
Number of energy tracking software packages purchased
Number of energy efficient IT systems or software packages
purchased
Number of energy efficient outdoor area lights purchased
2 

EECBG 10‐07B/SEP 10‐006A Attachment 1: Process Metrics List 
Metric Area
9. Industrial
Process
Efficiency
10. Financial
Incentives for
Energy
Efficiency and
Other Covered
Investments
11. Technical
Assistance

12.
Transportation

Metric
9a. Reduction in natural gas consumption
9b. Reduction in fuel oil consumption
9c. Reduction in electricity consumption
10a. Financial incentives provided, by incentive type
and sector
10b. Total value of investments incentivized, by
incentive type and sector
11a. Information contacts (e.g., webinars, site visits,
media fact sheets) in which energy efficiency or
renewable energy measures were recommended, by
sector
11b. Energy management staff hired
12a. Alternative fuel vehicles purchased
12b. Conventional vehicles converted to alternative fuel
use
12c. New alternative refueling stations emplaced
12d. New carpools and vanpools formed
12e. Energy efficient traffic signals installed

Primary or Optional Metric Item(s) to Report On
Reduction in natural gas consumption (MMcf/year)
Reduction in fuel oil consumption (gallons/year)
Reduction in electricity consumption (MWh/year)
Monetary value of financial incentives provided
Total value of investments incentivized
Number of information contacts (e.g., webinars, site visits, media
fact sheets) in which energy efficiency or renewable energy
measures were recommended
Number of sustainability officers or energy managers hired
Number of alternative fuel vehicles purchased
Number of conventional vehicles converted to alternative fuel use
Number of new alternative refueling stations emplaced
Number of new carpools and vanpools formed
Number of energy efficient traffic signals installed

12f. Street lane-miles for which synchronized traffic
signals were installed

Number of street lane-miles for which synchronized traffic signals
were installed

12g. Energy efficient streetlights installed
12i. Energy efficient street signs installed
12j. Bike lanes installed
12k. Vehicle miles traveled reduced
12i. Sidewalks installed

Number of energy efficient streetlights installed
Number of energy efficient street signs installed
Length of bike lanes installed (linear feet)
Number of vehicle miles traveled reduced annually (VMT/year)
Length of sidewalks installed (linear feet)

3 

EECBG 10‐07B/SEP 10‐006A Attachment 1: Process Metrics List 
Metric Area

13. Workshops,
Training, and
Education

14. Other

Metric
13a. Workshops, training, and education sessions held,
by sector

Primary or Optional Metric Item(s) to Report On
Number of workshops, training, and education sessions held
Number of people attending workshops, training, and education
sessions

13b. People contacted

Number of people contacted via webinar, direct mail, or other
marketing/outreach efforts

14a. Waste diverted
14b. Trees planted
14c. Administrative

Amount of waste diverted annually (tons/year)
Number of trees planted
Administrative (no associated metric)

14d. Other

Pertinent metric information for any activity not defined above
should be captured and included as needed

4