[Code of Federal Regulations]
[Title 20, Volume 2]
[Revised as of April 1, 2004]
From the U.S. Government Printing Office via GPO Access
[CITE: 20CFR437.40]

[Page 1175-1176]
 
                      TITLE 20--EMPLOYEES' BENEFITS
 
               CHAPTER III--SOCIAL SECURITY ADMINISTRATION
 
PART 437_UNIFORM ADMINISTRATIVE REQUIREMENTS FOR GRANTS AND COOPERATIVE 
AGREEMENTS TO STATE AND LOCAL GOVERNMENTS--Table of Contents
 
                    Subpart C_Post-Award Requirements
 
Sec. 437.40  Monitoring and reporting program performance.

    (a) Monitoring by grantees. Grantees are responsible for managing 
the day-to-day operations of grant and subgrant supported activities. 
Grantees must monitor grant and subgrant supported activities to assure 
compliance with applicable Federal requirements and that performance 
goals are being achieved. Grantee monitoring must cover each program, 
function or activity.
    (b) Nonconstruction performance reports. SSA may, if it decides that 
performance information available from subsequent applications contains 
sufficient information to meet its programmatic needs, require the 
grantee to submit a performance report only upon expiration or 
termination of grant support. Unless waived by SSA, this report is due 
on the same date as the final Financial Status Report.
    (1) Grantees must submit annual performance reports unless SSA 
requires quarterly or semi-annual reports. However, performance reports 
are not required more frequently than quarterly. Annual reports are due 
90 days after the grant year, quarterly or semi-annual reports are due 
30 days after the reporting period. The final performance report is due 
90 days after the expiration or termination of grant support. If a 
justified request is submitted by a grantee, SSA may extend the due date 
for any performance report. Additionally, requirements for unnecessary 
performance reports may be waived by SSA.

[[Page 1176]]

    (2) Performance reports must contain, for each grant, brief 
information on the following:
    (i) A comparison of actual accomplishments to the objectives 
established for the period. Where the output of the project can be 
quantified, a computation of the cost per unit of output may be required 
if that information will be useful.
    (ii) The reasons for slippage if established objectives were not 
met.
    (iii) Additional pertinent information including, when appropriate, 
analysis and explanation of cost overruns or high unit costs.
    (3) Grantees will not be required to submit more than the original 
and two copies of performance reports.
    (4) Grantees must adhere to the standards in this section in 
prescribing performance reporting requirements for subgrantees.
    (c) Construction performance reports. For the most part, on-site 
technical inspections and certified percentage-of-completion data are 
relied on heavily by Federal agencies to monitor progress under 
construction grants and subgrants. SSA will require additional formal 
performance reports only when considered necessary, and never more 
frequently than quarterly.
    (d) Significant developments. Events may occur between the scheduled 
performance reporting dates that have significant impact upon the grant 
or subgrant supported activity. In such cases, the grantee must inform 
SSA as soon as the following types of conditions become known:
    (1) Problems, delays, or adverse conditions which will materially 
impair the ability to meet the objective of the award. This disclosure 
must include a statement of the action taken, or contemplated, and any 
assistance needed to resolve the situation.
    (2) Favorable developments that enable meeting time schedules and 
objectives sooner or at less cost than anticipated or producing more 
beneficial results than originally planned.
    (e) Site visits. SSA may make site visits as warranted by program 
needs.
    (f) Waivers, extensions. (1) SSA may waive any performance report 
required by this part if not needed.
    (2) The grantee may waive any performance report from a subgrantee 
when not needed. The grantee may extend the due date for any performance 
report from a subgrantee if the grantee will still be able to meet its 
performance reporting obligations to the Federal agency.