§ 200.329 - Monitoring and reporting program performance.

§ 200.329 Monitoring and reporting program performance.

(a) Monitoring by the non-Federal entity. The non-Federal entity is responsible for recipient and subrecipient. The recipient and subrecipient are responsible for the oversight of the operations of the Federal award supported activities. The non-Federal entity recipient and subrecipient must monitor its their activities under Federal awards to assure compliance with applicable Federal ensure they are compliant with all requirements and meeting performance expectations are being achieved. Monitoring by the non-Federal entity recipient and subrecipient must cover each program, function, or activity. See also § 200.332.

(b) Reporting program performance. The Federal awarding agency must use OMB-approved common information collections , as applicable, when providing financial and performance reporting information. As appropriate and in accordance with above mentioned information collections, the Federal awarding agency must require the recipient to relate financial data and accomplishments to (for example, Research Performance Progress Reports) when requesting performance reporting information. The Federal agency or pass-through entity may not collect performance reports more frequently than quarterly unless a specific condition has been implemented in accordance with § 200.208. To the extent practicable, the Federal agency or pass-through entity should align the due dates of performance reports and financial reports. When reporting program performance, the recipient or subrecipient must relate financial data and project or program accomplishments to the performance goals and objectives of the Federal award. Also, in accordance with above mentioned common information collections, and when required by the terms and conditions of the Federal award, recipients the recipient or subrecipient must provide cost information to demonstrate cost-effective practices (e.g.for example, through unit cost data) when required by the terms and conditions of the Federal award. In some instances (e.g.for example, discretionary research awards), this will may be limited to the requirement to submit technical performance reports (to be evaluated in accordance with Federal awarding agency policy). Reporting requirements must be clearly articulated such that, where appropriate, performance during the execution of the Federal award has clearly indicate a standard against which non-Federal entity the recipient's or subrecipient's performance can be measured.

(c) Non-construction performance reports. The Federal awarding agency must use standard, governmentwide OMB-approved data elements for collection of performance information including performance progress reports, Research Performance Progress Reports.

(1) The non-Federal entity must submit performance reports at the interval required by the Federal awarding agency or pass-through entity to best inform improvements in program outcomes and productivity

Reporting requirements should not solicit information from the recipient or subrecipient that is not necessary for the effective monitoring or evaluation of the Federal award. Federal agencies should consult monitoring framework documents such as the agency's Evaluation Plan to make that determination. As noted in OMB Circular A-11, Part 6, Section 280, measures of customer experience are of co-equal importance as traditional measures of financial and operational performance.

(c) Submitting performance reports.

(1) The recipient or subrecipient must submit performance reports as required by the Federal award. Intervals must be no less frequent than annually nor more frequent than quarterly except in unusual circumstances, for example where more frequent reporting is necessary for the effective monitoring of the Federal award or could significantly affect program outcomes. if specific conditions are applied (See § 200.208). Reports submitted annually by the non-Federal entity and/or pass-through entity recipient or subrecipient must be due no later than 90 calendar days after the reporting period. Reports submitted quarterly or semiannually must be due no later than 30 calendar days after the reporting period. Alternatively, the Federal awarding agency or pass-through entity may require annual reports before the anniversary dates of multiple-year Federal awards. The final performance report submitted by the non-Federal entity and/or pass-through entity recipient must be due no later than 120 calendar days after the period of performance end date. A subrecipient must submit a final performance report to the a pass-through entity , no later than 90 calendar days after the conclusion of the period of performance end date, all final performance reports as required by the terms and conditions of the Federal award. See also § 200.344. If a justified request is submitted by a non-Federal entity, the Federal agency The Federal agency or pass-through entity may extend the due date for any performance report with justification from the recipient or subrecipient.

(2) As appropriate in accordance with above mentioned performance reporting, these reports will contain, for each Federal award, brief applicable, performance reports should contain information on the following unless other data elements are approved by OMB in the agency information collection request:

(i) A comparison of actual accomplishments to the objectives of the Federal award established for the period. Where the accomplishments of the Federal award can be quantified, a computation of the cost reporting period (for example, related comparing costs to units of accomplishment) may be required if that information will be useful. Where performance trend data and analysis would be informative to the Federal awarding agency program, the Federal awarding agency should include this as a performance reporting requirement.

(ii) The reasons Explanations on why established goals or objectives were not met, if appropriate.; and

(iii) Additional pertinent information including, when appropriateanalysis, analysis and explanation of cost overruns or high higher-than-expected unit costs.

(d) Construction performance reports. For the most part, onsite Federal agencies or pass-through entities rely on on-site technical inspections and certified percentage of completion data are relied on heavily by Federal awarding agencies and pass-through entities to monitor progress under Federal awards and subawards for construction. The Therefore, the Federal awarding agency or pass-through entity may require additional performance reports only when considered necessarynecessary to ensure the goals and objectives of Federal awards are met.

(e) Significant developments. Events may occur between the scheduled performance reporting dates that have significant impact upon the supported activity. In such cases, the non-Federal entity must inform the Federal awarding agency or pass-through entity as soon as the following types of conditions become known:

(1) Problems

When a significant development that could impact the Federal award occurs between performance reporting due dates, the recipient or subrecipient must notify the Federal agency or pass-through entity. Significant developments include events that enable meeting milestones and objectives sooner or at less cost than anticipated or that produce different beneficial results than originally planned. Significant developments also include problems, delays, or adverse conditions which will

materially impair the

impact the recipient's or subrecipient's ability to meet milestones or the

objective

objectives of the Federal award.

This disclosure must include a statement of the action taken, or contemplated,

When significant developments occur that negatively impact the Federal Award, the recipient or subrecipient must include information on their plan for corrective action and any assistance needed to resolve the situation.

(

2) Favorable developments which enable meeting time schedules and objectives sooner or at less cost than anticipated or producing more or different beneficial results than originally planned.

(f) Site visits. The Federal awarding agency may make or pass-through entity may conduct in-person or virtual site visits as warranted by program needs.

(g) Performance report requirement waiver. The Federal awarding agency may waive any performance report required by this part if not neededthat is not necessary to ensure the goals and objectives of the Federal award are being achieved.