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Grant Management

Performance Reporting Requirements

OMB No. 3136-0134, expires 7/31/15

REVISED: January 2013

The requirements in this document apply to MOST awards issued by NEH. Please refer to the "Remarks" section on the Official Notice of Action included with your award package for the specific requirements that apply to your grant.

If you have questions concerning these grant requirements, they can be addressed to the grant administrator or program officer assigned to your grant, whose names and contact information appear in the award documents under "Endowment Administration of The Award." You can also reach the Office of Grant Management by telephone at 202/606-8494, or fax at 202/606-8633, by email at grantmanagement@neh.gov, or send us a message via eGMS, the NEH’s online grant management system.

PERFORMANCE REPORTING REQUIREMENTS

General Reporting Requirements

Grantees are required to submit a report of project accomplishments at the conclusion of the grant. Frequently, performance reports are also required during the course of a project. When events that have a significant impact on the project occur between scheduled performance reporting dates, these should be reported to the Endowment immediately.

If a grantee is required to submit Interim Performance Reports, the due dates for these reports will be listed on the last page of the grant award. The Final Performance Report is due within ninety days after the end of the grant period. (When a grantee has submitted an application for a continuation of a project, the appropriate Endowment program should be contacted to determine if the application may serve as a final report of accomplishment for the earlier grant.)

All reports must be submitted electronically in PDF format via eGMS, the NEH's online grant management system.

All NEH project directors and institutional grants administrators (IGAs) are assigned eGMS accounts, and their user names are shown next to their names (in parentheses) on the Official Notice of Action included with the grant award.

When accessing eGMS for the first time, enter the user name provided and click the Reset Password button. An e-mail message will be sent to you with a link to create a new password. A User Guide containing detailed instructions is available on the eGMS site.

Purpose of Reports

Interim Performance Reports serve as a measure of progress achieved on a project and help to identify programmatic and administrative problems that may need to be resolved. Final Performance Reports become a permanent record of project accomplishments. These reports provide information that the Endowment staff uses to evaluate the significance and impact of NEH grants.

Format of Reports

Performance reports should be arranged as follows:

  1. Cover Page
  2. Narrative Description
  3. Appendices (as needed)

  1. Cover Page

    Provide the following information in the order requested:

    • type of report (interim or final performance report),
    • grant number,
    • title of project,
    • name of project director(s),
    • name of grantee institution (if applicable),
    • date report is submitted.
  2. Narrative Description

    The items listed are provided as guidance to the project director in developing the narrative description of project activities. Because projects vary considerably, not all items will be relevant to a particular project. Please feel free to organize this portion of the report in the way that most clearly presents what has taken place during the grant period.

    Interim Performance Report

    • Compare actual accomplishments with goals established for the report period. Whenever possible, describe the work accomplished in both quantitative and qualitative terms. If project goals have not been met, explain the reason for this, what steps have been taken to get the project back on schedule, and whether it seems likely that the project will be completed by the end of the grant. Favorable developments that will enable project goals to be realized sooner or at less cost than anticipated should be described.
    • Describe any changes that have been made or are anticipated in the project work plan or methodology.
    • If the role of consultants, as outlined in the approved project plan, has changed, explain how and why it has changed.
    • If applicable, describe how automation contributed to the project and whether hardware, software, or staffing problems have been encountered.
    • If federal matching funds are a component of the award and the full amount of gifts has not yet been raised, provide information on ongoing fund-raising activities and the prospects for raising additional gifts.

    The narrative description of an Interim Performance Report should average between one and three pages in length.

    Final Performance Report

    Using the project description and plan of work that were approved by NEH as a point of departure, the Final Performance Report should address the following subjects:

    1. Project Activities

      Provide a description of the major activities that occurred during the grant period.

      • Indicate the reasons for omissions and changes in project activities.
      • If project performance was affected by changes in key project personnel, explain why the changes were made and how performance was affected.
      • When federal matching funds were a component of the award, summarize fund-raising experiences and the major factors believed to be responsible for success or failure in raising third-party support.
      • For projects involving computer applications, describe any changes that were made in the method of data entry, the specific data to be encoded, software, hardware, file systems, or search strategies.
      • Briefly describe any efforts that were made to publicize the results of the program.
    2. Accomplishments

      • Compare the accomplishments of the project in quantitative and qualitative terms with the objectives proposed in the application.
      • When project goals were not achieved, indicate what plans there are to complete the project after the grant period, how project activities will be funded, and when they are likely to be completed.
    3. Audiences

      • Describe the audiences for the project. Indicate the nature, size, geographic reach, sex and age of the audience and assess the impact that the project had on this audience. What kinds of new or previously underserved audiences did the project attract? It is particularly important to compile quantitative information for this section of the report. Please include data on all screenings and broadcasts, if applicable.
      • How much of an increase in visitor flow or membership did your organization experience as a result of the project?
      • In the case of grants whose purpose was to affect a number of other institutions, include in the report a complete list of participants and appropriate statistical profiles that show the impact of the project by geographical region (if possible), kind of institution, and level and type of participant.
    4. Evaluation

      • Was the project evaluated? If so, briefly describe how it was evaluated and by whom.
      • Describe the results of the evaluation and your own assessment of the program. Discuss both the weaknesses and the strengths of the program. A discussion that includes how problems were dealt with will be more helpful to NEH staff than one that focuses exclusively on the project's successes.
      • How did the public respond to the project? What did they like or not like? What anecdotes, statistical summaries, feedback from web sites, viewer remarks, or examples of media coverage can you provide that would help to assess the project's success?
    5. Continuation of the Project

      • Indicate if there are any plans to continue the project after the grant period because of the success of the program and the interest it has generated.
      • When there was a commitment on the part of the grantee institution to continue a program after the grant period, explain how the commitment will be honored. If the program will not be continued, provide a detailed explanation for the change in plans.
      • What kinds of new collaborative partnerships were formed (or strengthened) between your institution and other organizations (for example, museums, historical societies, schools, universities, community groups, special interest groups, etc.) as a result of the project? Will these new partnerships continue and, if so, how?
    6. Long Term Impact

      • What kinds of long-term impact (such as spin-off programs, use in the classroom or other indicators of continuing interest) will result from the project? How did the project affect your institution's ability to attract additional non-federal financial support, either for the project or for activities that grew out of the project?
      • What effect did the project have on the public's perception of your institution and on your plans for future projects?
    7. Grant Products

      • Indicate what grant products were produced during the course of the project and any future publication or distribution plans for materials resulting from grant activities. Provide the URL for websites.

    Normally, the information that is to be included in a Final Performance Report can adequately be covered in a report that does not exceed ten typewritten pages.

  3. Appendices

    Include in the PDF document containing the report any supporting material that would contribute to an understanding of the project and its accomplishments to date. This would include:

    • representative samples of completed work,
    • preliminary products such as conference or workshop papers,
    • course syllabi and manuals,
    • written evaluations of a project,
    • consultant reports, if required,
    • articles submitted to journals,
    • illustrated field reports,
    • copies of published announcements or other formal efforts to recruit participating scholars,
    • copies of any mailing, fliers, newspaper releases or articles, or other media coverage, and representative screen shots of websites resulting from the grant.

    It is not necessary to append work in progress, such as draft chapters of a book or other manuscript materials. However, unless otherwise specified in the conditions of the grant award, two copies of any products resulting from the grant should be forwarded to the Endowment as soon as they are available.

    White Paper

    When required by the terms and conditions of an award, a White Paper will be submitted in addition to the Final Performance Report. The content of a White Paper is very similar to a Final Performance Report, and the guidance for the Final Performance Report can be followed when writing the White Paper. (Please see above.) The major difference between a White Paper and a Final Performance Report is one of audience: the White Paper will be published on NEH's public web site and should be written for a general audience. The Final Performance Report, on the other hand, should be written for the NEH staff. The content of the White Paper and the Final Performance Report are quite similar, with only minor changes to address different audiences. In some cases, it may be appropriate to submit the same content for both reports.

    The White Paper is an opportunity to share any best practices and lessons learned from the project. Please be candid in describing the work undertaken and discuss any aspects of the project that might have been done differently. The hope is that the White Paper will help inform the work of others in the field.

OMB Required Burden Statement: NEH estimates that the average time to complete this form is two hours per response. This estimate includes the time for reviewing instructions, researching, gathering, and maintaining the information needed; and completing and reviewing the final performance report. Please send any comments regarding this estimated completion time or any other aspect of this form, including suggestions for reducing completion time, to the Director, Office of Publications and Public Affairs, National Endowment for the Humanities, Washington, D.C. 20506; and to the Office of Management and Budget, Paperwork Reduction Project (3136-0134), Washington, D.C. 20503. According to the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it displays a valid OMB control number.