Guidelines for Preparing Performance Reports for Grants

**Supported by the Alzheimer's Disease Supportive Services (ADSSP)
Program**

**INTRODUCTION**

The Administration on Aging (AoA) views the Guidelines for Preparing
Performance Reports, including semi-annual reports and final reports, as
a template to assist grantees in organizing and preparing grant project
performance reports supported by the Alzheimer's Disease Supportive
Services (ADSSP) Program. These Guidelines discuss timelines and methods
of delivery; content and organization; and information dissemination.

Deliverables required by AoA of all ADSSP grantees are the semi-annual
and final reports, as provided for in Department of Health and Human
Services regulations, 45 CFR 92, Section 92.40. These reports are a
communication tool and should be clearly written and understandable for
a wide range of readers. Performance Reports should document project
findings, outcomes, activities, methods, lessons learned, and products
of significance to the field of aging.

Recognizing that there may be reasonable variations depending on the
grant opportunity, report authors should consult with the assigned AoA
Program Officer about modifications of performance report requirements.
Grantees should take note that failure to submit reports within the
recommended timeframe may result in corrective action.

**GENERAL INSTRUCTIONS**

Performance reports are a significant tool for informing AoA regarding
project development and outcomes and in maximizing dissemination and
utilization of the project results and findings. Semi-annual and final
reports provide the grantee the opportunity to document their innovative
program from inception to completion and to assist AoA to understand the
project experience and its implications for others. Success of a
demonstration project is not measured by whether or not the project
achieved anticipated outcomes, but rather by the lessons learned through
the project and how well they are articulated so as to inform future
activity. AoA encourages you to use performance reports as a tool to
record your activities as well as to inform AoA and other interested
parties of the significant knowledge you gained, what you would have
done differently, and of any activities planned for the future.

**A. Performance Report Submission**

Semi-annual reports are due 30 days after each 6-month reporting period.
Final Reports are due within 90 days of the project's completion date.
The Final Report takes the place of the Semi-annual Report at the end of
the final year of the grant. For example, a project funded for one year
will have one Semi-annual Report and one Final Report, while a project
funded for three years will have five (5) Semi-annual Reports and one
Final Report. Regulations require that performance reports be signed and
dated by the Project Coordinator and an authorized signatory.

Grantees are asked to either submit one copy of the performance report
in electronic format or, if that is not possible, to submit two hard
copies of the report. Electronic format is preferable and may be
submitted by e-mail, on CD, or on disk. Grantees forwarding a CD or
disk, or that have brochures, or other product attachments that are not
available in electronic format, may mail these as follows:

**Mail:** The address to mail a CD, disk or hard copy is:

Department of Health and Human Services

Administration on Aging

Office of Grants Management

(Note Grants Management Specialist name)

Washington, DC 20201

**Hand Delivery:** The address for hand delivered/courier/Fed-Ex/UPS CD,
disk or hard copy is:

Department of Health and Human Services

Administration on Aging

Office of Grants Management

(Note Grants Management Specialist name)

One Massachusetts Avenue, NW

Washington, DC 20001

**Electronic Transmission:** As noted above, CDs and disks should be
submitted to the address above. Reports sent by e-mail should be sent to
the e-mail addresses of the grantee's AoA Grants Management Specialist
as listed in the grant Award letter and copied to the grantee's Program
Officer. Signatures on the report Title page may be scanned and included
with the electronic report or may be faxed or mailed to the grantees
Grants Management Specialist.

**B. Performance Report Style**

The ADSSP performance reports should be written for all audiences. The
author's intent should be simplicity in approach and language, with
professional jargon kept to a minimum. Technical terms should be
defined. Sentence structure should be varied to keep the reader's
interest. Logical flow is critical. Thoughts should be developed to lead
the reader from one concept to the next, with the appropriate use of
transitions.

**C. Performance Report Format**

The length of an ADSSP performance report will be determined by the
reporting period and subject matter. Final Reports, for example, will be
longer since they cover the entire project period rather than a
six-month reporting period. Performance reports should:

-   Use a font size of 12, preferably in Times New Roman

-   Be double-spaced

-   Include one (1) inch margins around

-   Include footnotes on a separate page in single line spacing

**PERFORMANCE REPORT ORGANIZATION AND CONTENT**

Below is a description of the content for each section required for
Semi-annual and Final Reports listed in the order they should appear in
your report. Grantees should direct any questions they may have about
report content to their assigned Program Officer.

**Performance Report Organization Summary**

> **Semi-Annual Reports**

-   Title Page

-   Activities and Accomplishments

-   Appendix

> **Final Reports**

-   Title Page

-   Table of Contents

-   Executive Summary

-   Introduction

-   Activities and Accomplishments

-   Conclusion

-   Appendix

**Performance Report Contents**

**A. Title Page** (All Performance Reports)

The title page should contain the following information (sample title
page on page 8):

-   Project Title

-   Project Director/Principle Investigator contact Information
    including grantee organization name, address, phone number and
    e-mail address

-   The byline credit with the names of all other report authors in
    addition to the Project Director.

-   The ADSSP Grant Award Number

-   Total Project Period

-   Reporting Period (Semi-Annual Reports Only)

-   The Date of Report

-   AoA Program Officer

-   AoA Grants Management Specialist

-   Project Coordinator and Authorized Signatory Signatures

**C. Table of Contents** (Final Reports Only)

A table of contents should contain page references to all major sections
of the report. List all main headings on the left side, and type
corresponding page numbers for the start of each heading on the right.

D**. Executive Summary** (Final Report Only)

All final reports must begin with a 1 page Executive Summary. An
Executive Summary should capture the project's purpose and scope; target
population; results/important findings; products developed (including
intended use and audience); program and policy implications; and
recommendations, if any.

**E. Introduction** (Final Reports Only)

The introduction sets the stage for the detailed discussion that follows
by briefly describing the problem the project was designed to address,
the goals and objectives the project was designed to meet, and the
anticipated outcomes. The author should provide a brief overview of the
project and any background information that is necessary to understand
the project planning strategies, activities, findings, and conclusions.

**F. Activities and Accomplishments**

The Activities and Accomplishments section serves as the body of your
report. Below we have outlined the areas to be covered for Semi-annual
Reports as well as for Final Reports. For each of these reports,
grantees are asked to respond to a series of questions. Grantees should
organize this section of their report by listing the question, followed
by the response.

> **Semi-Annual Reports**
>
> 1\. What did you accomplish during this reporting period and how did
> these accomplishments help you reach your stated project goal(s) and
> objective(s)? Please note any significant project partners and their
> role in project activities.
>
> 2\. What, if any, challenges did you face during this reporting period
> and what actions did you take to address these challenges? Please note
> in your response changes, if any, to your project goal(s),
> objective(s), or activities that were made as a result of challenges
> faced.
>
> 3\. How have the activities conducted during this project period
> helped you to achieve the measurable outcomes identified in your
> project proposal? Please note in your response, information on
> evaluation outcome measures and systems development measures, as
> approved in your grant application and developed in conjunction with
> AoA and AoA-provided technical assistance.
>
> 4\. How has your project met the 50% direct service requirement? Has
> the project limited administrative costs to 10% of federal funds? In
> your response, include the following, completed statements:

-   The funded project has spent \$ \_\_\_\_\_\_\_ (i.e., \_\_\_\_
    percent) of federal funds on direct services.

-   The funded project has spent \$ \_\_\_\_\_\_\_ (i.e., \_\_\_\_
    percent) of federal funds on administrative costs.\" 

> 5\. What was produced during the reporting period and how have these
> products been disseminated? Products may include articles, issue
> briefs, fact sheets, newsletters, survey instruments, sponsored
> conferences and workshops, websites, audiovisuals, and other
> informational resources.
>
> **Final Reports**
>
> 1\. What measurable outcomes did you establish for this project and
> what indicators did you use to measure performance? Please note in
> your response, information on evaluation outcome measures and systems
> development measures, as approved in your grant application and
> developed in conjunction with AoA and AoA-provided technical
> assistance. To what extent did your project achieve the outcomes?
>
> 2\. How has your project met the 50% direct service requirement? Has
> the project limited administrative costs to 10% of federal funds? In
> your response, include the following, completed statements:

-   The funded project has spent \$ \_\_\_\_\_\_\_ (i.e., \_\_\_\_
    percent) of federal funds on direct services.

-   The funded project has spent \$ \_\_\_\_\_\_\_ (i.e., \_\_\_\_
    percent) of federal funds on administrative costs.\" 

> 3\. What, if any, challenges did you face during the project and what
> actions did you take to address these challenges?
>
> 4\. What impact do you think this project has had to date? What are
> the lessons you learned from undertaking this project?
>
> 5\. What will happen to the project after this grant has ended? Will
> project activities be sustained? Will project activities be
> replicated? If the project will be sustained/replicated what other
> funding sources will allow this to occur? Please note your significant
> partners in this project and if/how you will continue to work on this
> activity.
>
> 6\. Over the entire project period, what were the key publications and
> communications activities? How were they disseminated or communicated?
> Products and communications activities may include articles, issue
> briefs, fact sheets, newsletters, survey instruments, sponsored
> conferences and workshops, websites, audiovisuals, and other
> informational resources.

**G. Conclusion** (Final Reports Only)

This section provides a summary of project outcomes, lessons learned and
recommendations or implications. Use this to alert the Program Officer
about significant issues that may be used to brief agency officials.

**H. Appendix** (All Performance Reports)

# Include a copy of each project product as a separate attachment and identify each by capital letters in sequence, i.e. A, B, C, etc. General Guidelines for appendices are: 

-   Choose selectively

-   [Potential]{.underline} documents to include:

    -   Products produced with ADSSP funds

    -   Drafts of major products being produced with ADSSP funds

    -   Evaluation materials or reports

    -   Other products, flyers, agendas, meeting minutes, or publicity
        materials that give us a fuller picture of the program

-   We do not need:

    -   Every letter or every handout material used in a meeting or
        workshop.

    -   Every agenda or every flyer you may have distributed

    -   Pre-existing documents, such as Alzhiemer's Association
        brochures

**PERFORMANCE REPORT FOLLOW-UP**

Upon receipt of each Performance Report, the Program Officer will review
the report and communicate with the grantee should there be any
questions or concerns. Program Officers are required to complete a
Grants Monitoring Statement following the receipt of each report which
summarizes the report and any follow-up recommendations and designates
each report as either acceptable or unacceptable. If a report is found
to be unacceptable, the Program Officer makes recommendations for any
corrective action to be taken. The Program Officer will then seek AoA
approval and work with the grantee on any approved corrective action.
Approved Performance Reports become a part of the official grant file.

**FINANCIAL STATUS REPORTS**

Financial Status Reports (SF-269) are due annually 30 days after the end
of each twelve month period throughout the project period. The Final
Financial Status Report (SF-269) is due 90 days after the end of the
total project period.

SF-269 reports requires the signature of the Authorized Organizational
Representative and should be mailed or faxed as follows:

**Mail:** The address for mailed bound copies is:

Department of Health and Human Services

Administration on Aging

Office of Grants Management

(Note Grant Management Specialist name)

Washington, DC 20201

**Hand Delivery:** The address for hand delivered/courier copies is:

Department of Health and Human Services

Administration on Aging

Office of Grants Management

(Note Grant Management Specialist name)

One Massachusetts Avenue, NW, Room 4604

Washington, DC 20001

**FAX:** The SF-269 should be faxed to the attention of the Grants
Management Specialist assigned to your grant at the following number:
202-357-3466

**[SEMI-ANNUAL PERFORMANCE REPORT COVER SHEET]{.underline}**

**1. Grant #:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**2. Project Title:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

3.  **Grantee Name**

> **& Address:
> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**
>
> **\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**
>
> **\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**
>
> **\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**4. Telephone #:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**5. Project Period:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**6. Reporting Period:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

7.  **Final Reporting Period:
    \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

8.  **Project Investigator**

> **Telephone #:
> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

9.  **Report Author**

> **Telephone #:
> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**10. Date of Report:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**11. Project Officer:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**12. Grants Specialist:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**