Grant progress reporting

NOAA National Estuarine Research Reserve
FY2012 Performance Progress Report and Post Award Guidelines
Introduction
This document provides guidance for the content and submission of NERR award progress
performance reports. These reports are required on a semi-annual basis and provide information
to the Estuarine Reserves Division (ERD) and the Grants Management Division (GMD) to
determine if NERR programs are adhering to the terms of financial assistance awards, making
appropriate progress toward award tasks, supporting the goals and objectives of the management
plan, and addressing CZMA Section 312 Evaluation necessary actions.
OCRM’s National Policy and Evaluation Division will not be conducting Section 312
Evaluations in FY12. A work group with representatives from OCRM, NERRs and CZMPs are
updating the evaluation process to increase efficiency, timeliness and reduce resources used
when conducting evaluations. High quality, complete, consistent progress reports will be
foundational documents for understanding and evaluating progress of all CZM programs.

Reporting Requirements
Award recipients are responsible for upholding the standard terms and conditions for all NOAA
awards including timely submission of semi-annual progress reports, financial reports, and post
award action requests. Performance progress reports should be submitted every six months from
the start of the award via NOAA’s Grants Online System https://grantsonline.rdc.noaa.gov/.
Reports must be submitted no later than 30 days after the end of the performance period. For
example, if the award starts July 1, the reporting period is July 1 through December 31 and the
progress report is due by January 31. Final reports are not comprehensive; they cover only the
last six month period of the award and are due within 90 days after the end of the award period.
All financial and progress report requirements should be met during this period so that the award
can be closed out in a timely manner. Please note that post award action requests will not be
processed if progress and financial reports are not up to date. NOAA’s Grants Management
Division will suspend payment on awards if reports are late.

Progress Report Contents
All recipients should follow the format below for consistency providing valuable, comparable
information across the system. Each semi-annual report should include:
A. Report Heading
Reserve name
Report contact name, email and phone number
Grant or cooperative agreement number
Reporting period
Date of submission
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B. Progress and Status of Award Tasks
The status of each task should be described following the CAMMP format of the award for the
six month reporting period only. The reports should describe the activities that have taken place
to achieve the outcomes outlined within each task of the grant. Outcomes, the results and/or
products from conducting activities, should be described when appropriate. Given that outcomes
are written for each award based on a 12 month scope of work, some outcomes may not be fully
realized until the end of the award. While awards are 18 months long, most tasks should be
completed and reported on within the 12 month time frame. If anticipated milestones are not
being met, the challenges or obstacles should be explained. Post award action request approvals
will be made based on this information.
This section should provide a summary of progress on each task. Each entry should include the
task title, description of activities, status of milestones (not started, in progress/on schedule, not
on schedule, completed) and challenges related to meeting milestones if appropriate, and
outcomes gleaned from the tasks when appropriate.
C. Section 312 Evaluation Progress
The status and progress of any necessary actions identified in the most recent 312 Evaluation
Findings should be described. Additionally, reserves are encouraged to report on how they are
addressing program suggestions, but this is not mandatory. This section should be detailed
enough to provide ERD notice if programs are not on schedule to meet the requirements of the
Section 312 Evaluation Findings. We recognize that not every necessary action or program
suggestion will need to be reported on during every performance report.
This section should provide a summary of progress on each necessary action or program
suggestion. Each entry should include the title of each necessary action and/or program
suggestion, description of activities to address it, and status of effort (not started, in progress/on
schedule, not on schedule, completed) and challenges related to addressing the actions and
suggestions. If no activity has occurred, simply indicate the status of this finding.
D. Performance Measures
The activity of collecting performance measures falls in an operations and management task. All
performance measures should be reported in the performance measure database. All measures
should be reported on for the first two six-month periods of each operations award, except the
two research measures which are reported only at the twelve-month report period. The
Performance Measure Guidance can be found in Appendix 1. The NERRS Performance
Measures Database Guidance Document for Reserve Users can be found in Appendix 2. Reserve
personnel can use the NERRS Performance Measures Database throughout the reporting period
to keep draft reports before submitting their semi-annual reports.
Managers are expected to ensure that all required elements are submitted for a given time
period. A Manager Summary Report has been created to assist you in viewing in one place all
the performance measures for a given reporting period and verify that all reports are submitted.
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Instructions for creating a Manager Summary Report can be found in Appendix 2, pages 28-30.
Requirement: Once you have created your Manager Summary Report and verified that all
reports have been submitted, select ‘Print’ and save the summary report as a Word document.
Attach this document to your Grants Online Progress Report. This will provide verification that
you have met the Performance Measures Reporting Special Award Condition of your
cooperative agreement.
Overview of Performance Measures
Report Name

Requirement

Reporting Frequency

Notes

Volunteer and
REQUIRED
Research Measures

Volunteers - every six months
Research - once a year at
second reporting period

The Research and
Monitoring Database must
be up-to-date in order for
accurate values to be
submitted in the
performance measures
database report.

CTP Training
Activities

REQUIRED

Every six months

Every training activity must
be submitted.

CTP Outcomes

REQUIRED

One Success Story required
for FY2011 grant

Reporting outcomes is
optional.

CTP Technical
Assistance

OPTIONAL

Submit as they occur

If reserves submit a CTP
Success Story associated
with a Technical Assistance
activity, you will need to
submit a CTP Technical
Assistance report for that
activity.

Education Program OPTIONAL
Description

Encouraged to submit one for This can be submitted at
anytime during the grant
FY2011

Education Output
Indicators

Every six months

REQUIRED

period.

E. Success Stories
Success stories that describe program impacts on coastal management are effective ways to
communicate the value of our people and programs. Providing recent and relevant success stories
that highlight these values to a variety of stakeholders will be important, especially in a
challenging resource environment.
The Coastal Training Program sector is requiring 1 story submitted annually. The Education
sector is strongly encouraging 1 success story annually. Both of these entries are submitted via
the performance measure database. To capture the full breadth and value of all programs and
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efforts at reserves, ERD is strongly encouraging submission of at least one story annually that
illustrates the power of integrated, collaborative work making a difference in coastal
management. This may be one of the following above or a different story, but should aim to
illustrate integration and impact. Please see guidelines below for crafting these stories.
There are many types of stories that can be drafted for this section. You could write a story
about: (1) the challenges you faced in implementing a program; (2) a story of how you got
started; (3) striving-to-improve story; (4) emblematic success story; (5) making a difference
story; or (6) a where you are going story. Whichever story you choose to write, make sure that
you include the basics: who, what, where, when and why. Stories can also be broad or narrow in
scope: impact on community or on one individual. To protect the privacy of persons, don’t use
names but describe them in some way that gives credibility to the data. For example, a parent,
administrator, employer, etc.
What is a success story?
A success story is the successful – favorable or desired result or outcome of a program. In other
words, you want to paint a picture as to how NERRS makes a difference in the lives of the
people it serves.
Consider these factors when you write a success story:
* Pretend the reader knows nothing whatsoever about your program. Don’t assume anything!
* Remember… you are telling a short story about what you want to achieve or have achieved.
What are the elements of a Success Story? A success story includes these elements:
Situation: What prompted the program or action? What is the coastal issue you are
addressing? Why does the program exist to address this issue? What are you trying to achieve?
Why is this program important to the people in the community you serve? Who cares? Who are
the key stakeholders? Where is this taking place?
Response: How did NERRS respond? Briefly describe the most important actions you took, the
kind of resources you used (inputs) and the products or outputs you generated. Provide any
numbers that demonstrate reach or scale (where appropriate). Describe partnerships and external
funding sources. In short, spell out the Reserve’s role.
Results: Who benefited? What resulted? Use quantitative and qualitative data to describe
important outcomes (changes and benefits) achieved as a result of the Reserve’s response. Who
benefited and how? Outcomes include changes in knowledge, skills, motivation, behavior,
decision making, practices, policies, social action, social, economic and environmental
conditions. Describe outcomes in terms of value or meaning. For example, “Thirty participants
increased their knowledge of safe food-handling practices (outcome). This should lead to better
food-handling practices and fewer food-borne illnesses” (expected value). In other words, help
the reader understand the meaning behind the change. Link to existing research, if possible, and
include future plans or lessons learned based on results.
Evidence: What’s the evidence? Briefly describe how you evaluated the program to attain the
reported evidence. Include the data collection method (pre- or post-test surveys, interviews, and
testimonials), sample (number and how selected), response rate and the date of data collection.
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Remember – a good success story depends on credible information.
F. Optional Addendum
OCRM understands that it often takes more than the NOAA federal and state cost share to
operate a reserve. We encourage reserves to describe activities relevant to the mission of the
reserve, but may be outside the scope of the operations grant. This information will enable ERD
to capitalize on opportunities within and outside of NOAA and share this information with
NOAA partners and leadership about innovative projects and challenges at the reserve. It would
be advantageous to describe the partners and leveraged funds that support this work.

Annual reports
Annual comprehensive reports are not required by ERD per the award reporting guidelines. For
those sites that produce an “annual report”, please make them available to the NERR community.

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Post award requests
List of Award Action Requests
The actions below may be initiated by the recipient within NOAA’s Grants Online System.
*indicates that an amendment is required
Bold indicates most commonly conducted actions. Additional guidance on these actions is
provided below.
* No Cost Extension – Prior Approval
Required
Reprogram or Rebudget
Extension to Close Out
* Change in Scope
* Transfer of Award
Change in Principal Investigator
Change in Institution Name

No Cost Extension - Prior Approval Waived
(Research Terms and Conditions)
Satisfied Special Award Conditions
Equipment Purchase
Foreign Travel
Sole Source Contract
Other
Absence of more than 3 months or 25% by
project director or PI
Inclusion of cost that require prior approval
based on cost principles
* Sub award, transfer or contracting out of any
work under the award if not described in the
approved application
*Termination for Convenience

Change in Key Person Specified in the
Application
Transfer of funds allotted for training to other
categories of expenses
Pre-Award Cost

No-Cost Extension (GMD Approval Required- i.e. Prior Approval Required)
A formal request to extend an award must be submitted by the award recipient authorized
representative via the NOAA Grants Online System 30 days prior to the end date of the
award. Approval by the Federal Program Office (ie.ERD) and Grants Management Division
(GMD) is required. The recipient proceeds at its own risk of incurring costs beyond the
award expiration if the request is not submitted to NOAA at least
30 days prior to the expiration.
Any extension request submitted to NOAA after the expiration of the award will be denied.
Requests for reconsideration of extreme circumstances that resulted in failure to request an
extension before the end of the award period must be submitted in writing and will only be
considered by the Grants Officer on a case- by-case basis. Awards which are not in
compliance with all terms and conditions of the award, including submission of all
required reports, will not be reconsidered.
All no-cost extension requests must clearly justify why the extension is needed and explain
what activities are remaining to be accomplished under the award and what funds are still
available to support the activity. In addition, the award must be in compliance with all
terms and conditions of the award, including submission of all required reports. The
justification block within the GOL system must be filled out, and a budget (SF424A) of
remaining funds must be attached. See example below.
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Key Points
State reason for request- need to say
more than “we need more time to
expend funds.”

Due to a State Department of Environmental Affairs hiring freeze, we have
been unable to hire an education assistant to complete activities within the
education and outreach task, specifically production of the estuary literacy
concepts brochure, community outreach product and completion of the K-12
Estuary Education Program market analysis and needs assessment. The hiring
freeze has been lifted and we will be able to hire the education assistant and
complete the project within the next six months. Additionally, the State
Department of Environmental Affairs is requiring additional review of
equipment purchases and we have not been able to purchase the YSI 6600
instrument, as indicated in the System-wide Monitoring Program task. We
have recently gotten preliminary approval for this purchase and will be able to
complete the acquisition shortly. Hence, we request a six-month no-cost
extension, extending the award from December 31, 2010 to June 30, 2010.
The budget of remaining funds is below.

Object Class Categories
a. Personnel
b. Fringe Benefits
c. Travel
d. Equipment
e. Supplies
f. Contractual
g. Construction
h. Other
i. Total Direct Charges (sum of a-h)
j. Indirect Charges
k. TOTALS (sum of 6 and j)

Federal
20,000
2,000

State
15,000
1,500

7,000

State specifically the work that has yet
to be achieved. This should be
commensurate with what is designated
in the award. If a new activity will be
performed, a reprogramming request
should be made. If there is a departure
from original intent, a change of scope
may be warranted.
Indicate the length of extension request
and dates.

Total
35,000
3,500
7,000

29,000

16,500

45,500

29,000

16,500

45,500

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Provide a budget of
remaining funds showing
federal and non- federal
amounts by object class
category that clearly relate
to the text above.

Re-Programming or Re-budgeting Request
Creation of a new direct cost line item category within an approved budget for costs allowable
under the applicable cost principles will not require prior approval from the Grants Officer
unless the new direct cost category exceeds 10% of the total Federal share of the award.
A reprogram request must be submitted for NOAA approval when:
●reprogramming funds to a new, not identified in the original budget, direct cost line item
category where the amount exceeds 10% of the total Federal share of the award.
●reprogramming a cumulative amount greater than 10% of the total (Federal and non-Federal
shares) budget last approved for awards with a Federal share exceeding $100,000. If you
reprogram 10% or less, you do not need to request GMD approval; however, an account of
reprogram activities under 10% needs to be maintained for when you exceed the 10%, you are
combining what you have done and what you intend to do over the 10% so the cumulative
transfer is transparent.
These requests shall include an SF-424A showing the total budget for the award along with a
detailed budget narrative explaining the funds transferred. It is advisable to submit the last
approved 424A and the new 424A for a clear comparison of last approved budget and
proposed budget. All remaining federal and non-federal shares should be illustrated on the
revised 424A as this will serve as the budget for the rest of the award. The supporting text
should clearly describe where the funds are moving from and to and the activities that will take
place that support the intent of the award. The narrative request needs to describe the reason
for these changes and ensure that the original scope of work is not being altered. If the scope
of work is changing, then a change of scope request is required.
The reprogramming request is submitted to the Program Officer who forwards the request,
along with a recommendation, to the Grants Officer, who will make the final determination.
The approval of a reprogram request does not normally result in an amendment to the award.
The recipient’s Authorized Representative(s) will be notified by Grants Online of the
approval or rejection of the request.
NOTE: A reprogram request and a no-cost extension request may be submitted under one
action – a reprogram request. A detailed justification for the scope of the request should be
included and be accompanied by the revised 424A as well as detailed budget narrative
explaining the funds transferred.
Extension to Close-Out Period
The close-out period starts the day after the award has closed and provides 90 days to submit
all reports required by the terms and conditions of the award and liquidate all obligations
incurred. Once the award is closed, the only action you can take in Grants Online is to extend
the close-out period. You can do this at any point during the 90 day close-out period and the
maximum request for extension is 60 days.
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An extension to the closeout period should only be requested to complete the preparation of
final reports and make final payments. During this time, you can draw down funds from the
Department of Treasury ASAP payment system.
An approval of the Extension to Closeout does not result in an amendment to the award. The
recipient’s Authorized Representative will be notified by Grants Online of the approval or
rejection of the request. Additional work on the award project is prohibited during the closeout
period.
Satisfied Special Award Conditions
Some awards contain Special Award Conditions that require evidence of completion.
Examples are environmental assessments, property deeds and associated documents,
and building permits.
The Special Award Conditions are available in a drop-down list on the Award Action Request
details page. Once selected, the SAC Description text box will automatically be filled out with
the Special Award Condition details. You will need to fill out the justification in the provided
text area and attach associated files.
The approval of a Satisfied Special Award Conditions request does not normally result in an
amendment to the award. The Recipient Authorized Representative(s) will be notified by
Grants Online of the approval or rejection of the request.
No-Cost Extension (GMD approval waived –i.e. Prior Approval Waived)
All recipients covered under 15 CFR Part 14 (e.g., educational institutions/non-profits), with
non- construction awards are herein granted authority to initiate a one-time no-cost extension to
the award period of up to one year without prior approval as long as the recipient notifies the
Grants Officer through Grants Online using the “No-cost Extension Prior Approval Waived
(Research Terms and Conditions)” link least 10 days prior to expiration of the award with an
explanation of the reason for the extension. Grants Online will prohibit you from requesting an
extension any less than 10 days in advance of award expiration. If an additional no-cost
extension is required, you must request a no-cost extension GMD approval required. The FPO
and GMD review and approve this request.
Only certain organizations, which are conducting research, are eligible for No-cost
Extension Prior Approval Waived (Research Terms and Conditions). Grants Online
enforces this business rule. If your organization is not an eligible type, the link to create
the No Cost Extension – Prior Approval Waived (Research Terms and Conditions) will be
disabled. The following organization types are eligible for Research Terms and
Conditions:
o Public/State Controlled Institution of Higher Education
o Nonprofit with 501C3 IRS Status (Other than Institution of Higher Education)
o Private Institution of Higher Education
o Individual
o For-Profit Organization (Other than Small Business) and Small Business

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o Hispanic-serving Institutions, Alaska Native and Native Hawaiian Serving Institutions
o Historically Black Colleges and Universities and Tribally Controlled Colleges and Universities
o Non-domestic (non-US) Entity

The execution of the No Cost Extension - Prior Approval Waived (Research Terms and
Conditions) by the recipient is completely automatic in Grants Online. Once the notification is
submitted to NOAA by the recipient’s Authorized Representative, the new award end date is
immediately reflected in Grants Online and in the ASAP system. Notifications are sent to the
Program Officer and the Grants Officer of the new award end date. This action does not result
in an amendment to the Award.

Resources
NOAA’s Acquisition and Grants Home Page
http://www.ago.noaa.gov/ago/index/cfm
The grantee link includes information and links to policies, manuals, Grants.Gov, Grants Online,
training, federal forms and the ASAP (Automated Standard Application Program). The
Department of Treasury Financial Management Services ASAP allows grantee organizations
receiving federal funds to draw from accounts pre-authorized by NOAA and other federal
agencies.
NERRS Intranet
https://www8.nos.noaa.gov/nerrsintranet/
All guidance documents and reporting tools can be found on the intranet under the Grants and
Performance Measurement tab within the ‘NERRS Guidance, Policy and Planning Documents’
section.
NERRS Research Database
https://www8.nos.noaa.gov/nerrs/
The NERRS Research Database houses reserve research and monitoring projects and products.
Products should be entered using “add publication” function. There will soon be the capability of
generating a brief report for each project, which can be attached to the progress report.
NERRS Performance Measure Database
https://www8.nos.noaa.gov/ERDPM
Reserves will submit all performance measures through the NERRS Performance Measures
Database and will no longer use the spreadsheet reporting tool. Reports should be submitted in
accordance with the Grants Online reporting timeline: reports are due thirty days after the
reporting period ends. Reserve personnel can use the NERRS Performance Measures Database
throughout the reporting period to before submitting performance measures reports to ERD.

Appendices
1. Performance Measure Guidance
2. NERRS Performance Measures Database Guidance Document for Reserve Users
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