U.S. Department of Justice, Office of Justice Programs

Part III - Chapter 11: Reporting Requirements

HIGHLIGHTS OF CHAPTER

  • Background
  • Financial Status Reports
  • Program Reports
  • Progress Reports/American Recovery and Reinvestment Act of 2009 (Recovery Act)
  • Government Performance and Results Act

BACKGROUND

The Office of Justice Programs (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 (also known as the "SF-269A" form or "FSRs") are due every calendar quarter. All reports should be submitted online through the FSR 269 module in the Grants Management System (GMS) unless otherwise specified. Program (Progress) Reports are generally due semiannually for discretionary awards and annually for block/formula awards. Final Reports (financial and program reports) are due at the time of grant closeout, which should be completed not later than 90 days after the end of the award.

When Financial Status Reports and Progress Reports are delinquent, funds will be withheld from those grants and requests for drawdown will be denied. In addition, any new awards for all OJP programs will be prohibited or restricted. Also, any Grant Adjustment Notices that releases funds to retire special conditions will not be approved until the grantee is in administrative/financial compliance (e.g., until financial and progress reports are current).

FINANCIAL STATUS REPORTS

Quarterly Financial Status Reports (SF-269A) should be submitted online through the Grants Management System (GMS) in the FSR 269 module. A copy of the SF-269A report is available in Appendix II of this guide. The use of the FSR 269 module in GMS enables authorized users to view current and past SF-269As, and allows them to file or amend the SF-269A for the current quarter. Once you have submitted the SF-269A online, do not submit additional paper copies to OJP unless asked to do so by OJP staff.

The SF-269A contains the actual expenditures and unliquidated obligations 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.

Effective for the quarter beginning October 1, 2009, grant recipients must report expenditures online using the Federal Financial Report (FFR-425) Form no later than 30 days after the end of each calendar quarter. The final report must be submitted no later than 90 days following the end of the grant period.

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 15

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 however, a final report may be submitted as soon as all of the expenditures are completed.

An e-mail confirmation of OJP's 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, go to https://grants.ojp.usdoj.gov or contact OJP, Office of the Chief Financial Officer, Customer Service Center, by phone at 1-800-458-0786 (option 2) or by e-mail at ask.ocfo@usdoj.gov.

  1. Penalty for Noncompliance. Future awards, fund draw downs, and grant adjustments will be withheld if the SF-269A information is delinquent.
  2. 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, Southwest Border and Bulletproof Vest Partnership Program. All other grant programs are required to submit this report quarterly to remain in financial compliance.

PROGRAM REPORTS

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 must be submitted online through the Grants Management System (GMS) using the "Application" module. Questions concerning GMS may be addressed to the GMS Helpdesk at 1-888-549-9901.

Penalty for Noncompliance. Future awards, fund draw downs, and grant adjustments will be withheld if progress reports are delinquent.

  1. 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.
  2. 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.
  3. Crime Victims Compensation Program. A State receiving fund 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.
  4. 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.
  5. 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.

  6. 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 Bulletproof Vest Partnership Program, State Criminal Alien Assistance Programs and Southwest Border Prosecution Initiative.

PROGRESS REPORTS/AMERICAN RECOVERY AND REINVESTMENT ACT OF 2009 (RECOVERY ACT)

In addition to the normal reporting requirements, grantees receiving Recovery Act funding must submit quarterly reports, which require both financial and programmatic data. Reports are due within 10 calendar days after the end of each calendar quarter, beginning with the July to September 2009 reporting period. Please note the October 10, 2009 report must also include the cumulative activities and projects funded since the enactment of the Act, or February 17, 2009. For additional information about the Recovery Act reporting requirements, refer to Chapter 20 of this Guide or go to http://FederalReporting.gov.

 Reporting PeriodsDue Dates 
 July - SeptemberOctober 10 
 October - DecemberJanuary 10 
 January - MarchApril 10 
 April - JuneJuly 10 

GOVERNMENT PERFORMANCE AND RESULTS ACT

The funding recipient agrees to collect data appropriate for facilitating reporting requirements established by Public Law 103-62 for the Government Performance and Results Act. The funding recipient will ensure that valid and auditable source documentation is available to support all data collected for each performance measure specified in the program solicitation.

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