US Department of Education Grant Performance Report Form (ED 524B)

INSTRUCTIONS FOR GRANT PERFORMANCE REPORT (ED 524B)

PURPOSE

Recipients of multi-year discretionary grants must submit an annual performance report for each year funding has been approved in order to receive a continuation award. The annual performance report should demonstrate whether substantial progress has been made toward meeting the project objectives and the program performance measures. The information described in these instructions will provide the U.S. Department of Education (ED) with the information needed to determine whether recipients have demonstrated substantial progress. ED program offices may also require recipients of “forward funded” grants that are awarded funds for their entire multi-year project up-front in a single grant award to submit the Grant Performance Report (ED 524B) on an annual basis. In addition, ED program offices may also require recipients to use the ED 524B to submit their final performance reports. Performance reporting requirements are found in 34 CFR 74.51, 75.118, 75.253, 75.590 and 80.40 of the Education Department General Administrative Regulations (EDGAR).

GENERAL INSTRUCTIONS

• Please read the attached “Dear Colleague Letter” from your program office carefully. It contains specific instructions for completing the ED 524B for your program.

• You must submit the ED 524B Cover Sheet, Executive Summary, and Project Status Chart. You may reference sections and page numbers of your approved application rather than repeating information.

• Please follow the appropriate instructions depending on whether you are submitting an annual performance report or a final performance report.

• If you are submitting a paper copy of the ED 524B, please submit one original and one copy. ED program offices will notify grant recipients of the due date for submission of annual performance reports; however, general guidelines are provided below in the instructions for ED 524B Cover Sheet, item 7. Reporting Period. Final performance reports are due 90 days after the expiration of the grant’s project period (performance period).

Note: For the purposes of this report, the term “project period” is used interchangeably with the term “performance period,” which is found on the Grant Award Notification (GAN).

• Many programs provide grantees with the option of completing and submitting the ED 524B online through e-Reports. Please follow instructions from your program office regarding the use of e-Reports for submitting your ED 524B.

• For those programs that operate under statutes or regulations that require additional or different reporting for performance or monitoring purposes, ED program offices will inform you when this additional or different reporting should be made.

INSTRUCTIONS FOR THE ED 524B COVER SHEET

Complete the ED 524B Cover Sheet with the appropriate information. Instructions for items 1, 3 and 4 are included on the ED 524B Cover Sheet. Instructions for items 2 and 5 and items 6 through 12 are included in this instruction sheet.

2. Grantee NCES ID Number

-- Annual and Final Performance Reports:

Please enter the current National Center for Education Statistics (NCES) ID number of the grantee. Grantees that are State Educational Agencies (SEA) should enter their state's FIPS (Federal Information Processing Standards) code in item 2. Item 2 only applies to grantees that are Institutions of Higher Education (IHE), SEAs, Local Educational Agencies (LEA), public libraries, and public, charter, and private elementary or secondary schools. Leave blank, if this item is not applicable.

Please go to the applicable website listed below to obtain the grantee’s NCES ID number or FIPS code. Depending on your organization type, this number will range from 2 to 12 numeric digits.

• IHEs (IPEDS ID); Public Libraries (Library ID); and Public, Charter and Private Schools (NCES School ID): http://nces.ed.gov/globallocator

• LEAs (NCES District ID): http://nces.ed.gov/ccd/districtsearch/

• SEAs (FIPS code): To obtain your state's FIPS code, please search on any public school district in your state at: http://nces.ed.gov/ccd/districtsearch/. The FIPS code is the first two digits of the NCES District ID number for any public school district in a state.

Note: Newly established organizations that do not have an NCES ID number yet should leave item 2 blank. However, once the organization's NCES ID number has been established, it must be entered on all future submissions of the ED 524B.

5. Grantee Address

Instructions for Submitting Address Changes

-- Annual and Final Performance Reports:

If the address that is listed in Block 1 of your GAN has changed and you are submitting a paper copy of the

ED 524B, either submit the new address in Section C (Additional Information) of the Project Status Chart or

submit the change through e-Administration (annual performance reports only), the administrative action

function of e-Grants.

If you are submitting the ED 524B electronically through e-Reports, you may update your address in e-Reports.

6. Project Director

-- Annual and Final Performance Reports:

Please enter the name, title, phone number, fax number and email address of your approved Project Director listed in Block 3 of your GAN. These fields are pre-populated and updatable in the e-Reports system. Please note, however, that changing the approved Project Director requires prior approval from ED and may only be requested for a grant whose performance period has not ended. See instructions under Section C (Additional Information) of the Project Status Chart for requesting a change to the Project Director with the ED 524B. You may also submit a request for a change in your Project Director through e-Administration.

7. Reporting Period Information

-- Annual Performance Reports:

Due Date: Annual performance reports are typically due seven to ten months after the start of the grant’s current budget period. Please follow instructions from your program office regarding the specific due date of the annual performance report for your grant.

The reporting period for the annual performance report is from the start of the current budget period through 30 days before the due date of the report. The start date for your current budget period may be found in Block 6 of the GAN. Please note, however, that complete data on performance measures for the current budget period must be submitted to ED, either with this report or as soon as they are available, but no later than the final due date specified by your ED program office. Please see instructions for items 11a. and 11b. of the ED 524B Cover Sheet and Section A (Project Objectives Information and Related Performance Measures Data) of the Project Status Chart for specific reporting requirements for performance measures data.

-- Final Performance Reports:

Due Date: Final performance reports are due 90 days after the expiration of the grant’s project period. If you receive a no-cost time extension from ED for this grant, the final performance report is due 90 days after the revised project period end date. Program offices may also request an annual performance report that covers the original final budget period from grantees that receive no-cost time extensions.

Please enter the start and end date for the final budget period of your grant from Block 6 of the GAN. The reporting period for your final performance report covers the entire final budget period of the project, except for the information in the Executive Summary and Section C (Additional Information) of the Project Status Chart, which covers the entire project period (performance period) of the project.

7. Budget Expenditures [Also see Section B (Budget Information) of the Project Status Chart]

The budget expenditure information requested in items 8a. – 8c. must be completed by your Business Office.

Note:

Budget Expenditures: For the purposes of this report, the term budget expenditures means allowable grant obligations incurred during the periods specified below. (See EDGAR, 34 CFR 74.2; 75.703; 75.707; and 80.3, as applicable.)

For budget expenditures made with Federal grant funds, you must provide an explanation in Section B (Budget Information) of the Project Status Chart, if you have not drawn down funds from ED’s G5 System to pay for these budget expenditures.

Non-Federal Funds (Match/Cost Share): If you are required to provide non-Federal funds or resources for this grant because the funding program has a statutory (legislative) matching or cost sharing requirement or you voluntarily committed to providing non-Federal funds or resources in your approved grant application, you must complete the “Non-Federal Funds (Match/Cost Share)” column in items 8a. – 8c., as applicable. (You are encouraged to review the following information regarding allowable cost sharing/matching contributions: the funding program’s statute and regulations (if any); ED’s general cost sharing and matching regulations, which include specific limitations, in 34 CFR 74.23, applicable to non-governmental entities, and 80.24, applicable to governments; and the applicable Office of Management and Budget (OMB) cost principles for your entity type regarding donations, capital assets, depreciation and use allowances. OMB cost principle circulars are available on OMB’s website at: http://www.whitehouse.gov/omb/circulars/index.html.)

--Annual Performance Reports:

• Report your actual budget expenditures for the entire previous budget period in item 8a. Please separate expenditures into Federal grant funds and non-Federal funds (match/cost-share) expended for the project during the entire previous budget period.

Note: If you are reporting on the first budget period of the project, leave item 8a. blank.

• Report your actual budget expenditures for the current budget period to date (i.e., through 30 days before the due date of this report) in item 8b. Please separate expenditures into Federal grant funds and non-Federal funds (match/cost-share) expended for the project during the current budget period to date.

--Final Performance Reports:

• Report your actual budget expenditures for the entire previous budget period in item 8a. Please separate expenditures into Federal grant funds and non-Federal funds (match/cost-share) expended for the project during the entire previous budget period.

• Report your actual budget expenditures for the entire final budget period in item 8b. Please separate expenditures into Federal grant funds and non-Federal funds (match/cost-share) expended for the project during the entire final budget period.

• Report your actual budget expenditures for the entire project period (performance period) in item 8c. Please separate expenditures into Federal grant funds and non-Federal funds (match/cost-share) expended for the project during the entire project period. Your project period (performance period) start and end dates are found in Block 6 of the GAN.

7. Indirect Cost Information

The indirect cost information requested in Items 9a. – 9d. must be completed by your Business Office.

--Annual and Final Performance Reports:

• Item 9a -- Please check “yes” or “no” in item 9a. to indicate whether or not you are claiming indirect costs under this grant.

• Item 9b. -- If you checked “yes” in item 9a., please indicate in item 9b. whether or not your organization has an Indirect Cost Rate Agreement that was approved by the Federal government.

• Item 9c. -- If you checked “yes” in item 9b., please indicate in item 9c. the beginning and ending dates covered by the Indirect Cost Rate Agreement. In addition, please indicate whether ED or another Federal agency (Other) issued the approved agreement. If you check “Other,” please specify the name of the Federal agency that issued the approved agreement. For final performance reports only, check the appropriate box to indicate the type of indirect cost rate that you have – Provisional, Final, or Other. If you check “Other,” please specify the type of indirect cost rate.

• Item 9d. – For grants under Restricted Rate Programs (EDGAR, 34 CFR 75.563), please indicate whether you are using a restricted indirect cost rate that is included on your approved Indirect Cost Rate Agreement or whether you are using a restricted indirect cost rate that complies with 34 CFR 76.564(c)(2). Note: State or Local government agencies may not use the provision for a restricted indirect cost rate specified in EDGAR, 34 CFR 76.564(c)(2). Check only one response. Leave blank, if this item is not applicable.

10. Human Subjects (Annual Institutional Review Board (IRB) Certification)

--Annual Performance Reports Only:

Annual IRB certification is required if Attachment HS1, Continuing IRB Reviews, was attached to the GAN.

Check "yes" if annual IRB certification is required and attached to the ED 524B as instructed in Attachment HS1. Check "no" if annual IRB Certification is required by Attachment HS1, but is not attached to the ED 524B. Please indicate the reason why the IRB certification is not attached (e.g., the research has been completed) under Section C (Additional Information) of the Project Status Chart.  Check "N/A" if annual IRB certification does not apply to your grant (i.e., no human subjects research is being conducted under this grant or Attachment HSI was not attached to the GAN.) 

11. Performance Measures Status

--Annual Performance Reports:

Please check “yes” or “no” in item 11a. to indicate whether complete data (i.e., all of the data that you anticipate will be collected) on performance measures for the current budget period are included in this report in Section A of the Project Status Chart. If no, please indicate in item 11b. the date when the information will be available and submitted to ED. Complete data must be submitted for any performance measures established by ED for the grant program (included in the attached “Dear Colleague Letter”) and for any project specific performance measures that were included in your approved application.

If complete data on performance measures for the entire current budget period have not been obtained when

you submit the ED 524B, please submit available data for the budget period to date with this report, unless

instructed otherwise by your program office. Complete performance measures data for the current budget

period should be submitted by the date you indicated in item 11b.

Note: Your program office will inform you of the final date by which performance measures data must be

submitted to the Department for this program.

--Final Performance Reports:

You must check “yes” in item 11a. Complete data on performance measures for the final budget period must be submitted with the final performance report in Section A of the Project Status Chart. Leave item 11b. blank.

Complete data must be submitted for any performance measures established by ED for the grant program (included in the attached “Dear Colleague Letter”) and for any project-specific performance measures that were included in your approved grant application.

12. Certification

--Annual and Final Performance Reports:

The grantee’s authorized representative must sign the certification for the ED 524B. If the grantee has any known internal control weaknesses concerning data quality (as disclosed through audits or other reviews), this information must be disclosed under Section C (Additional Information) of the Project Status Chart as well as the remedies taken to ensure the accuracy, reliability, and completeness of the data.

INSTRUCTIONS FOR THE EXECUTIVE SUMMARY

--Annual and Final Performance Reports:

Provide a one to two page Executive Summary for annual performance reports and a two to three page Executive Summary for final performance reports. Provide highlights of the project's goals, the extent to which the expected outcomes and performance measures were achieved, and what contributions the project has made to research, knowledge, practice, and/or policy. Include the population served, if appropriate.

Note: The Executive Summary for final performance reports covers the entire project period.

INSTRUCTIONS FOR THE PROJECT STATUS CHART

General Instructions for Section A -- Project Objectives Information and Related Performance Measures Data

-- Annual and Final Performance Reports:

In your approved grant application, you established project objectives stating what you hope to achieve with your funded grant project. Generally, one or more performance measures were also established for each project objective that serve to demonstrate whether you have met or are making progress towards meeting each project objective. In addition to project-specific performance measures that you may have established in your approved grant application, performance measures may have been established by ED for the grant program [included in the attached “Dear Colleague Letter”] that you are required to report on.

In Section A of the Project Status Chart, you will report on the results to date of your project evaluation as required under EDGAR, 34 CFR 75.590. According to the instructions below, for each project objective included in your approved grant application, provide quantitative and/or qualitative data for each associated performance measure and a description of preliminary findings or outcomes that demonstrate that you have met or are making progress towards meeting the performance measure. You will also explain how your data on your performance measures demonstrate that you have met or are making progress towards meeting each project objective.

Note: Complete data must be submitted for any performance measures established by ED for the grant program (included in the attached “Dear Colleague Letter”) and for any project-specific performance measures that were included in your approved grant application

For Annual Performance Reports: If complete data on performance measures for the entire current budget period have not been obtained when you submit the ED 524B, please submit available data for the budget period to date with this report, unless instructed otherwise by your program office. Complete performance measures data for the current budget period should be submitted by the date you indicated in item 11b on the ED 524B Cover Sheet.

Your program office will inform you of the final date by which performance measures data must be submitted to the Department for this program.

For Final Performance Reports: Complete data on performance measures for the final budget period must be submitted with the final performance report.

For final performance reports, the information in Section A of the Project Status Chart covers the final budget period of the grant. Additional questions for final performance reports covering the entire project period are found in the instructions for Section C of the Project Status Chart.

Instructions for Section A

• Project Objective:

Enter each project objective that is included in your approved grant application. Only one project objective should be entered per row. Project objectives should be numbered sequentially, i.e., 1., 2., 3., etc.

Update Box

If instructed by your program office in the attached “Dear Colleague Letter,” please provide an update on the status of your project objectives for any period of time that you did not report on in your previous annual performance report.

Check the “Update Box” next to each project objective for which you are providing an update. Do not check the “Update Box” if you are reporting on a project objective for the current reporting period. If you are providing a status update on your project objectives for the previous budget period and reporting on those same objectives for the current reporting period, please use separate pages (Section A) to separate previous and current information.

Do not combine information for the previous budget period and for the current reporting period on the same page.

Example: Last year’s annual performance report covered 8 months of the previous budget period. The program office requests that you report on the status of your project objectives for the last 4 months of the previous budget period in this annual performance report.

• Performance Measure:

For each project objective, enter each associated performance measure. There may be multiple performance measures associated with each project objective. Enter only one performance measure per row. Each performance measure that is associated with a particular project objective should be labeled using an alpha indicator. Example: The first performance measure associated with project objective “1” should be labeled “1.a.,” the second performance measure for project objective “1” should be labeled “1.b.,” etc.

• Measure Type:

For each performance measure you are reporting on, enter the type of performance measure. Enter one (1) of the following measure types: GPRA; PROGRAM; or PROJECT.

The specific measures established by ED for the grant program that you are required to report on are included in the attached “Dear Colleague Letter.” The measure type is also specified.

There are two types of measures that ED may have established for the grant program:

1. GPRA: Measures established for reporting to Congress under the Government Performance and Results Act; and

2. PROGRAM: Measures established by the program office for the particular grant competition.

In addition, report on any project-specific performance measures (PROJECT) that you, the grantee, established in your approved grant application to meet your project objectives.

• Quantitative Data:

Target and Actual Performance Data

Provide the target you established for meeting each performance measure and provide actual performance data demonstrating progress towards meeting or exceeding this target. Only quantitative (numeric) data should be entered in the Target and Actual Performance Data boxes. If ED has approved revised targets for a performance measure, the revised target should be used when entering data.

The Target and Actual Performance Data boxes are each divided into three columns: Raw Number; Ratio; and Percentage (%).

For performance measures that are stated in terms of a single number (e.g., the number of workshops that will be conducted or the number of students that will be served), the target and actual performance data should be reported as a single number under the Raw Number column (e.g., 10 workshops or 80 students). Please leave the Ratio and Percentage (%) columns blank.

For performance measures that are stated in terms of a percentage (e.g., percentage of students that attain proficiency), complete both the Ratio column and the Percentage (%) column. Please leave the Raw Number column blank.

In the Ratio column (e.g., 80/100), the numerator represents the numerical target (e.g., the number of students that are expected to attain proficiency) or actual performance data (e.g., the number of students that attained proficiency), and the denominator represents the universe (e.g., all students served). Please enter the corresponding percentage (e.g., 80%) in the Percentage (%) column.

If the collection of quantitative data is not appropriate for a particular performance measure, please leave the Target and Actual Performance Data boxes blank and provide an explanation and any relevant qualitative data for the performance measure in the block entitled, Explanation of Progress.

Note: If you are using weighted data, please indicate how the data are weighted in the block entitled, Explanation of Progress.

Special instructions for grants in their first budget period: If baseline data for a performance measure were not included in your approved application and targets were not set for the first budget period, then enter either the number 999 under the Raw Number column or the ratio 999/999 under the Ratio column of the Target box, depending on how your data will be reported in the future. The 999 or 999/999 indicates that baseline data are being collected on the measure during the first budget period and targets have not yet been set. Unless otherwise instructed by your program office in the attached “Dear Colleague Letter,” report baseline data collected during the first budget period under either the Raw Number column or the Ratio and Percentage (%) columns of the Actual Performance Data box, as appropriate. After baseline data have been collected during the first budget period, grantees are expected to set targets for the second and any subsequent budget periods and report actual performance data in their annual performance reports.

• Explanation of Progress (Includes Qualitative Data and Data Collection Information):

1. For each project objective and associated performance measures, indicate what data (quantitative and/or qualitative) were collected and when they were collected, the evaluation methods that were used, and how the data were analyzed. Clearly identify and explain any deviations from your approved evaluation plan, including changes in design or methodology, or the individual or organization conducting the evaluation.

2. Based on your data, provide a description of preliminary findings or outcomes, including information to show whether you are making progress towards meeting each performance measure. Further, indicate how your performance measures data show that you have met or are making progress towards meeting the stated project objective. In your discussion, provide a brief description of your activities and accomplishments for the reporting period that are related to each project objective.

3. If expected data were not attained, expected progress was not made toward meeting a performance measure or project objective, or a planned activity was not conducted as scheduled, provide an explanation. Include a description of the steps and schedules for addressing the problem(s) or issue(s).

4. Indicate how you used your data and information from your evaluation to monitor the progress of your grant, and if needed, to make improvements to your original project plan (e.g., project activities and milestones) which are consistent with your approved objectives and scope of work.

Instructions for Section B – Budget Information

-- Annual and Final Performance Reports:

• Report budget expenditure data in items 8a. – 8c. of the ED 524B Cover Sheet, as applicable. Please follow the instructions for completing items 8a. – 8c. included in this instruction sheet.

• For budget expenditures made with Federal grant funds, you must provide an explanation if funds have not been drawn down from GAPS to pay for the budget expenditure amounts reported in items 8a. – 8c of the ED 524B Cover Sheet.

• Provide an explanation if you did not expend funds at the expected rate during the reporting period.

• Describe any significant changes to your budget resulting from modification of project activities.

• Describe any changes to your budget that affected your ability to achieve your approved project activities and/or project objectives.

-- Annual Performance Reports Only:

• Do you expect to have any unexpended funds at the end of the current budget period? If you do, explain why, provide an estimate, and indicate how you plan to use the unexpended funds (carryover) in the next budget period.

• Describe any anticipated changes in your budget for the next budget period that require prior approval from the Department (see EDGAR, 34 CFR 74.25 and 80.30, as applicable).

Instructions for Section C – Additional Information

-- Annual Performance Reports Only:

• If applicable, please provide a list of current partners on your grant and indicate if any partners changed during the reporting period. Please indicate if you anticipate any change in partners during the next budget period. If any of your partners changed during the reporting period, please describe whether this impacted your ability to achieve your approved project objectives and/or project activities.

• If instructed by your program office, please report on any statutory reporting requirements for this grant program.

• Describe any changes that you wish to make in the grant’s activities for the next budget period that are consistent with the scope and objectives of your approved application.

• If you are requesting changes to the approved Project Director listed in Block 3 of your GAN and/or to other approved key personnel listed in Block 4 with a proposed effective date during the remainder of the current budget period or the next budget period, please indicate the name, title and percentage of time of the requested key personnel. Please indicate whether the proposed Project Director or other key personnel change would be effective during the current or next budget period. Additionally, please attach a resume or curriculum vitae for the proposed key personnel when you submit your performance report.

Note: Do not report on any key personnel changes that were already made during the current or previous budget period(s). Departmental approval must be requested and received prior to making key personnel changes.

• Provide any other appropriate information about the status of your project including any unanticipated outcomes or benefits from your project.

-- Final Performance Reports Only:

(This information covers the entire project period.)

Note: All grantees submitting a final performance report must answer question 1. The attached “Dear Colleague Letter” specifies any additional questions that you must answer from the list below, if any.

1. Utilizing your evaluation results, draw conclusions about the success of the project and its impact. Describe any unanticipated outcomes or benefits from your project and any barriers that you may have encountered.

2. What would you recommend as advice to other educators that are interested in your project? How did your original ideas change as a result of conducting the project?

3. If applicable, describe your plans for continuing the project (sustainability; capacity building) and/or disseminating the project results.

4. Report on any statutory reporting requirements for this grant program.

Public Burden Statement:

According to the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless such collection displays a valid OMB control number. Public reporting burden for this collection of information is estimated to average 22 hours per response for annual performance reports and 23 hours per response for final performance reports including time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. The obligation to respond to this collection is required to obtain or retain benefit. Send comments regarding the burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to the U.S. Department of Education, 400 Maryland Ave., SW, Washington, DC 20210-4537 or email [email protected] and reference the OMB Control Number 1894-0003.

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