Increasing the Capacity of Individuals, Families and Communities

Managing Public Grants

Developing an Operational Plan | Financial Management

Meeting Goals and Objectives

Project performance will be evaluated based on your progress regarding stated goals and objectives and fiscal performance. You will be required to provide project performance information at regular reporting intervals as specified in your grant or cooperative agreement. Tracking project activities, outputs and timelines is critical to meeting your project goals and objectives. For more information about project evaluation, see the Measuring Outcomes and Identifying and Promoting Best Practices guidebooks, part of the National Resource Center's Intermediary Development Series.

Self-monitoring
Utilizing an operational plan, work plan or strategic plan to track activities, timelines and outputs is an efficient way to self-monitor your project. If any developments arise that have a significant impact on the award-supported activities (such as problems, delays, or adverse conditions that materially impair your ability to meet the objectives of the award), you must immediately notify your program officer and grants management officer. Notification should include a statement of the action taken or contemplated and any assistance needed to resolve the situation.

Evaluation Process
Most Federal awarding agencies require evaluation because it is critical to ensuring program compliance and progress toward goals and objectives. The evaluation section of your application for funding described the amount of time needed to evaluate, how the feedback will be distributed among the proposed staff and a schedule for review and comment for this type of communication. To be successful, most evaluations require the collection of appropriate data before and during program operations. Systems for such data collection generally must be developed prior to the start of the funded project. However, your organization must absorb the costs for setting up data collection systems prior to the start of the award because the official use of Federal funds begins at the award start date.

Evaluation requires both coordination and agreement among program decision makers. Above all, the Federal awarding agency's requirements should be highlighted in the evaluation design. If you have questions or concerns after the grant award has been made, your assigned program officer and grants management officer can provide specific information about evaluation requirements. Generally, the Criteria for Selecting Application for funding section of a program announcement in the Federal Register provides a detailed description of the exact evaluation methods to be required for funded programs.

Two-part Evaluation Product evaluation: addresses results that can be attributed to the project as well as the extent to which the project has satisfied its desired objectives. Process evaluation: addresses how the project was conducted, in terms of consistency with the stated plan of action and the effectiveness of the various activities within the plan.

Evaluation timelines, management process improvement cycles and feedback methods should be integrated into your project's operational plan. Even if the evaluation design has to be revised as the project progresses, it is much easier and cheaper to modify a good design. If the problem is not well-defined and carefully analyzed for cause and effect relationships, then a good evaluation design may be difficult to achieve. Sometimes a pilot study is needed to begin the identification of facts and relationships.

Federal Agency Monitoring
In addition to reviewing reports and telephone contact, Federal awarding agencies may conduct site visits to your project. Program officers and grants management officers will contact project staff with questions and concerns that may arise. Site visits allow Federal staff to observe the project underway and conduct any necessary on-site review of records. Audits are another form of Federal agency monitoring, which is discussed in more detail in the Audit section of this guidebook.

Reporting

Administrative or Performance Reporting⁶
As a grant recipient, you are responsible for managing and monitoring each project, program, sub-award, function or activity supported by the award. In addition, you must monitor sub-awards to ensure subrecipients have met the audit requirements of OMB Circular A-133. Recipients are generally required to submit the original and two copies of performance reports. Refer to your award package for details on format requirements for performance reports. When required, performance reports generally contain brief information regarding each award, including:

• A comparison of actual accomplishments with the goals and objectives established for the period, the findings of the investigator or both. As appropriate (and whenever the output of programs or projects can be readily quantified), such quantitative data should be related to cost data for computation of unit costs.
• Reasons why established goals were not met (if appropriate).
• Other pertinent information including (when appropriate) analysis and explanation of cost overruns, under-spending or high unit costs.

Performance Reporting Frequency
The Federal awarding agency determines the frequency with which the performance reports are to be submitted in the award package. All reports are due 90 calendar days after the grant period. Quarterly or semi-annual reports are due 30 days after the reporting period. The final performance reports are due 90 calendar days after the expiration or termination of the award.

Developing an Operational Plan | Financial Management