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REPORTING

All award recipients are required to submit accurate and timely financial and programmatic performance/progress reports throughout the life of the grant. Required reports must meet content requirements to fulfill the grantee's obligations. Delinquent reports may affect current payment requests and future funding. Reporting terms such as when the report is to be submitted, the frequency of reporting, and the deadline for submission may vary depending on the grant program. A full explanation of the reporting requirements can be found in the program guidance and the special conditions sections of the award package. The following is a non-inclusive list of reports that may be required:

  • Financial Status Report (FSR) - The requirements of this report differ depending on the grant program. The Notice of Award will specify the frequency and due date. FSR forms SF-269 and SF-269A will be used by recipients of non-construction grant awards to report expenditures, unobligated balances, and other information on the status of funds.  Other types of grant management forms may be found at the following links:

    http://www.whitehouse.gov/omb/grants_forms
    http://www.grants.gov/agencies/aforms_repository_information.jsp
  • Categorical Assistance Progress Report (CAPR) - The grantee is responsible for completing and submitting this form semi-annually to communicate updated expenditure information.
  • Initial Strategy Implementation Plan (ISIP) - Within 45 days of the award date, the grantee is responsible for the online submission of updated expenditure information to meet the pass-through requirement.
  • Biannual Strategy Implementation Reports (BSIR) - The grant recipient is responsible for completing and submitting updated expenditure information showing progress made towards meeting strategic goals and objectives on a semi-annual basis. The BSIR report is a component of, and satisfies, the narrative requirement of the CAPR.
  • Financial and Compliance Audit Report - In compliance with the Office of Management and Budget (OMB) Circular A-133, Audits of States, Local Governments, and Non-Profit Organizations, grant recipients that expend $500,000 or more of federal funds during their fiscal year are required to submit an organization-wide financial and compliance audit report. OMB Circular A-133 is a valuable resource describing the non-federal entities responsibilities for managing federal assistance programs.

Post assistance requirements including reports, audits, and records for an individual grant program can be found on the CFDA.gov grants detail page.

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ACCESSING FUNDS

The method used to request and secure grant funds varies depending on the grantor agency. Detailed information on how to access funding is included in the program guidance and/or post-award instructions as specified by the Notice of Award.

For example, HHS provides several advance payment methods including SMARTLINK II/ACH, CASHLINE/ACH, cash request, or cash request on a reimbursement basis. Generally, payments under grants are made as advance payments.

Grant recipients should request and accept funds based upon immediate disbursement requirements; not in a lump sum. Upon receipt, funds should be fully expended immediately, or within a few days, to limit federal cash on hand.

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ACCOUNTABILITY

Grantees may be monitored both programmatically and financially through a combination of office-based reviews and onsite visits. Monitoring ensures that the project goals, objectives, performance requirements, timelines, milestones, budgets, and other related program criteria are being met while identifying areas where technical assistance and other support may be beneficial.

The grant recipient is responsible for oversight of award activities, which includes sub-awards, to ascertain that the federal award is administered in compliance and appropriate stewardship. Obligations include the precise accounting of receipts and expenditures, cash management, maintaining of adequate/accurate financial records, and refunding expenditures disallowed by audits.

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CLOSEOUT

The grantee must submit Grant Closeout Reports and/or other required final performance reports within 45-90 days after the end of the period of performance, depending on the type of grant. This date is included in the Notice of Grant Award. Grant Closeout Reports include financial information and a narrative detailing all the programmatic accomplishments throughout the project.

Once the grantor reviews and approves the final reporting, a closeout notice indicating the project is closed will be completed. Any remaining funds will be included in the closeout notice. Grantees must retain all records pertinent to the grant for three years from the submission date of the final reports.

Failure to submit timely and accurate final reports may negatively impact any chance for future funding, the withholding of funding of other eligible projects, activities involving the grantee organization, or the principle investigator.

For additional resources on grant management, please visit the Other Resources page.

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