Financial Guide 2006 - Part III - Chapter 11: Reporting Requirements
Highlights of Chapter
- Financial Status Reports
- Program Reports
- Government Performance and Results Act
The Office of Justice Program (OJP) requires award recipients to submit both financial and program reports. These reports describe the status of the funds, the status of the project, comparison of actual accomplishments to the objectives, or other pertinent information. The specific requirements, reporting periods, and submission deadlines are identified below.
Financial Status Reports (SF 269A) are due every calendar quarter. All reports should include the award recipient's name, award number, reporting period, and the name of the person submitting the report. Program (Progress) Reports are generally due semiannually for discretionary awards and annually for block/formula awards. Final Reports (financial and program reports) are due 90 days after the end of the award. "Yes" should be marked to indicate that this is a final report when appropriate.
When SF 269s are delinquent, funds will be withheld from those grants and new awards for all OJP programs will be prohibited or restricted. Additionally for any Progress Reports that are delinquent, the grantees may not be permitted to drawdown funds. Also, any Grant Adjustment Notice (GAN) that releases funds to retire special conditions will not be approved until the grantee is in administrative compliance (e.g., until financial and progress reports are current).
Financial Status Reports
Quarterly Financial Status Report (SF 269A) Forms should be filed online. The online SF 269A, the Web-based 269 (Appendix II), requires the same reporting information as the paper version. The use of this online application enables authorized users to view current and past SF 269As, and allows them to file or amend the SF 269A for the current quarter.
These reports will contain the actual expenditures and unliquidated obligations as incurred (at the lowest funding level) for the reporting period (calendar quarter) and cumulative for the award. The award recipients will report program outlays and revenue on a cash or accrual basis in accordance with their accounting system.
The quarterly SF 269As should be submitted online no later than 45 days after the last day of each quarter. The due dates for submission of Financial Status Reports are:
Reporting Period: Due not later than:
First Quarter - January 1 thru March 31 May-14
Second Quarter - April 1 thru June 30 August-14
Third Quarter - July 1 thru September 30 November-14
Fourth Quarter - October 1 thru December 31 February-14
The final SF 269A report is due within 90 days after the end date of the award.
An e-mail confirmation of OJP receipt of the SF 269A will be sent to the grantee at the e-mail address listed by the grantee's registered user. Once the SF 269A is submitted online, it is not necessary for grantees to mail or fax a paper SF 269A to OJP unless requested to do so.
Grant recipients who do not submit SF 269As by the due date will not be permitted to drawdown funds. The payment system contains an edit that checks for SF 269A delinquency and will reject a drawdown attempt if the SF 269A is not up to date. If SF 269As are delinquent, an e-mail notification will be sent to the grantee.
For general information concerning online filing of SF 269A reports, contact the Customer Service Center, by phone at 1–800–458–0786 (option 2) or by e-mail at firstname.lastname@example.org.
- Penalty for Noncompliance. Future awards, fund drawdowns, and grant adjustments will be withheld if the SF 269A information is delinquent.
- Subawards. The State must report to the awarding agency the cumulative total Federal funds subawarded for the award being reported. This information is required on all block and formula awards and shall be reported in item 12 of the SF 269A.
Note: Financial Status Reports are not applicable to SCAAP awards and Bulletproof Vest Partnership Program.
These reports present information relevant to the performance of a plan, program, or project, and are due at the intervals noted below. Unless otherwise noted, the final report is due within 90 days after the end date of the award.
Program reports will usually be submitted online through the Grants Management System (GMS) using the "Application" module. Questions concerning GMS maybe addressed to the GMS Helpdesk at 1–888–549–9901.
Penalty for Noncompliance. Beginning with the reporting periods ending on or after June 30, 2002, future awards, fund drawdowns, and grant adjustments will be withheld if progress reports are delinquent.
- Crime Control Act Block and Formula Funds—Annual Performance Reports. The States shall submit annually to BJA a report which contains information as required by the legislation and the Director. This report must be submitted to BJA no later than December 31 for the activities undertaken and results achieved during the prior Federal fiscal year.
- Narrative Report for Juvenile Justice Act (JJA) Formula Funds. The reporting requirement of Sections 223(2) and 223(a)(22) may be met through the submission of the Annual Plan and its updates. The Annual Plan may provide a performance report on the previously planned activities utilizing JJA formula funds. Instructions for the preparation of the SF 424 by the State are contained in 28 CFR Part 31 and in the JUVENILE JUSTICE AND DELINQUENCY PREVENTION AWARD APPLICATION KIT. These documents are available from OJJDP.
- Crime Victims Compensation Program. A State receiving funds for a crime victims compensation program will be required to submit an annual performance report on the effect the Federal funds had on the program. The report will be due by November 30 each year and must report on activities for the prior Federal fiscal year (October 1 through September 30). Please see the Crime Victims Compensation Guidelines for specific reporting instructions.
- Crime Victims Assistance Program. Crime victims assistance program reporting requirements are set forth in the Victims Assistance Award Program Guidelines. The State crime victims assistance agency receiving Federal victims assistance award funds is required to submit a performance report 90 days after the end of each award. The performance report will provide information on the effect the Federal funds have had on services to crime victims in the State and serve as a basis for information prepared for the Report to Congress on the Victims of Crime Act.
- Categorical Assistance Progress Report, OJP Form 4587/1. This report is prepared twice a year and is used to describe the performance of activities or the accomplishment of objectives as set forth in the approved award application.
Reporting Period: Progress reports must be submitted within 30 days after the end of the reporting periods, which are June 30 and December 31 for the life of the award. The awarding agency may opt, by special condition to the award, to combine the first report into the subsequent reporting period. For example, if the begin date on the award is June 1, the awarding agency may opt to receive the first report 30 days after the December 31 reporting period.
- Special Reports. In the review and approval process for plans and applications, it is sometimes necessary for the awarding agency to require that special or unique conditions be met in order to make an award. These special conditions will vary from award to award; however, acceptance of the award by the recipient/subrecipient constitutes an agreement that the conditions will be met either prior to the project or during the course of the award period. When this is the case, special reports on the meeting of these conditions are required for submittal to the awarding agency. They are prepared free form; however, the timing, content, and process for their submittal are detailed in the award package.
Note: Progress Reports are not applicable to SCAAP awards.