REPORTING AND ENFORCEMENT ACTIONS

REPORTINGAndrew Nobleman&Halima Turner

Reporting Frequency: The Grants Officer, after coordination with the DOC operating unit, shall prescribe the frequency with which the performance reports shall be submitted. Performance reports shall not be required more frequently than quarterly or less frequently than annually.Required to submit report no later than 30 days after the required reporting period and 90 calendar days for annual or final reports.

PROGRESS REPORTS

Comparison of actual accomplishments with the goals and objectives established in the approved application. Whenever appropriate and the output of programs or projects can be readily quantified, such quantitative data should be related to cost data for computation of unit costs.Reasons why established goals were not met, if applicable.Other pertinent information including, analysis and explanation of cost deviation or budget costs.Recipients shall immediately notify the DOC operating unit of developments that have a significant impact on the award-supported activities. For example, notification of any problems, delays or adverse conditions preventing the objectives of the award

CONTENT

Ensure reports are received on timeReview reports Provide feedback and follow up on problemsVerify that the recipient: Provides sufficient information; andIs making adequate progress

PROGRAM OFFICER RESPONSIBILITY

Research Grants Require different reporting than other grant types, a Research Performance Progress Report (RPPR) format was developed to meet those needs.The RPPR resulted from an initiative of the Research Business Models (RBM) Subcommittee of the Committee on Science (COS), a committee of the National Science and Technology Council (NSTC)A need was identified to create consistent reporting among all Federal Agencies. Grants Online is working to implement this action by 2015.RESEARCH PERFORMANCE PROGRESS REPORT

Each DOC award shall require recipients to use the SF-425 Full Report or SF-425A Cash Flow Report to report the status of funding.Reporting Frequency: The DOC shall determine the frequency of the submission of the Financial Status Report for each project or program, taking into consideration the size and complexity.The report should be submitted biannually for periods October-March and April-September.Required to submit report no later than 30 days after the required reporting period and 90 calendar days for annual or final reports.FINANCIAL REPORTING

Evaluate for the following: Recipients are expending funds at an appropriate rate and that matching requirements are being met.Federal disbursements are comparable with the period covered by requests for payment.Recipients are not maintaining excess cash on hand.Reports submitted by the recipient agree with DOC accounting records of disbursements.Reports contain information on indirect costs and program income if included in original budget.Reports are completed correctly.Review of Financial Reports

The FFATA Subaward Reporting System (FSRS) is the reporting tool where:the prime recipients are required to report subawards;the prime contract reports subcontracts andexecutive compensation data.The FFATA is government-wide for both contracts (procurement) and grants.The Federal Funding Accountability and Transparency Act (FFATA)

The prime recipient is requiredto report any subrecipients or subcontractsgreater than or equal to $25,000 at the end of the month following the agreement.

Prime recipients report subaward information at the FFATA Subaward Reporting System(FSRS):http://www.fsrs.gov/.

The subaward information entered in FSRS will then be displayed onwww.usaspending.govassociated with the prime award furthering Federal spending transparency.

FFATA (Continued)

For Grantees not enrolled in ASAP System.For Grantees designated as High Risk.For Grantees with limited/poor financial history.

SF270 is designated to be a temporary means of receiving funds and is usually associated with a special award condition. SF 270 Request For Advance or Reimbursement

Failure to report after the 30/90 day windows will initiate emails from the Grants Online system to recipient.If report is still not submitted, the following enforcement actions can be taken by the Grants Officer:Corrective action plans (high risk SACs)Suspension of payments Suspension of the award (or both)Termination of the awardDebarment and suspension of the recipient (Recommendation)Enforcement Actions

SF-429 is used to for inventory/disposition of real property.SF-428 is the cover sheet.SF-428A if required, is used to provide annual inventory listing of Federally-owned propertySF-428B is used at closeout to report on Federally-owned propertySF-428C is to request disposition instructions at any time other than closeoutSF-428S is the supplemental sheet.Federally-owned property consist of property on loan from Federal government, acquired equipment with Federal funds and residual unused supplies with a fair market value exceeding $5,000Disposition is required if the recipient no longer needs equipment for project objectives or if there are not other Federally sponsored activities in need of equipmentSF-428/SF-429 Tangible Personal Property Report

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