G D & M
GRANT DEVELOPMENT & MANAGEMENT GUIDE MORAINE PARK TECHNICAL COLLEGE 235 N. National Avenue, P. O. Box 1940, Rm. E-103 Fond du Lac, WI 54936-1940 Grants Office James D. Huycke, Associate Director of Grants [email protected] (920) 924-3518 Jackie Jarvis, Grants Coordinator [email protected] (920) 924-6433 Sue Wiese, Grants Specialist [email protected] (920) 924-3230 Revised October 2014 TABLE OF CONTENTS Grant Proposal Development Process & Checklist ........................................................................................ 2 Grant Initiative Tiers...................................................................................................................................... 3 Proposal Submission Deadlines ..................................................................................................................... 4 Grant Management Checklist ........................................................................................................................ 5 MPTC Resources for Grant Support ............................................................................................................. 6 Attachments: Forms are at: myMPTC portal > Employee tab > Common Employee Forms Attachment A: Concept & Investigation Approval Form .............................................................................. 7 Attachment B: Project Development Checklist ............................................................................................. 9 Attachment B.1: Personnel Costing Worksheet ........................................................................................... 10 Attachment B.2: Institutional Effectiveness Research Request Form ......................................................... 12 Attachment B.3: Institutional Effectiveness Report Request Form ............................................... 13 Attachment C: Current and Prospective Grants ........................................................................................... 15 Attachment D: MPTC Grants Calendar ....................................................................................................... 16 Attachment E: Documents of Grant Management ...................................................................................... 17 Attachment F: Individualized Grant Management Plan .............................................................................. 18 Attachment G: WTCS Grant Application Review ........................................................................................ 19 Attachment H: Time and Effort Reporting ................................................................................................ 20 Attachment I: Pre and Post Award Processes ............................................................................................. 21 Attachment J: Post Award Processes .......................................................................................................... 22 Attachment K: Grants Office Policy and Procedure .................................................................................... 23 PURPOSE OF GRANTS The primary purpose for securing external grant funds is to support activities that could not be made possible with current operating dollars. Funding sources typically use grants to invest in a unique or innovative project rather than to address budget relief or ongoing operations. This type of funding is typically used as “seed” money to develop a successful solution that can be institutionalized for long term sustainability. All proposals for external funds must be aligned with the College’s Strategic Plan. GRANTS OFFICE The Grants Office (GO) is a college-wide point of contact that advances academic and student initiatives, cultivates innovation, and supports collaborative partnerships. It assists with identification of funding sources through the development of ideas, and the preparation and submission of grant proposals. This office also supports College staff in the oversight of grant management, including compliance review, performance monitoring, evaluation and close-out. Initial grant implementation is the responsibility of the GO staff to ensure the College meets all contract provisions. The GO monitors grant reporting and budgets to check that proper documentation is collected, filed and submitted to the funding source. When considering outside funding you must consult with the GO prior to contacting the funding source. GRANT DEVELOPMENT & MANAGEMENT GUIDE 1 GRANT PROPOSAL DEVELOPMENT PROCESS & CHECKLIST All grant requests must align with the College’s Strategic Plan. Following the process for all grant proposals, whether they are routine, annual WTCS submissions, or a new funding source, will ensure grant opportunities appropriately address College needs. Grant projects will be categorized by “tiers” to define the level of approval needed from unit leaders (VPs), as described in more detail on page 3. Although a tiered system is used for VP approval, a standardized process for grant planning and development is in place as summarized below: Planning Steps & Checklist for Grant Proposal Development Step 1: Discuss the potential project with your supervisor and how it aligns with the strategic goals of your unit and the College. Receive formal approval to pursue the grant from your VP, who may provide an overview to the President’s Cabinet for approval. Documentation of this step is required by completing the CONCEPT & INVESTIGATION APPROVAL FORM (Attachment A). During this process, feel free to contact the GO for assistance. Step 2: Add the signed CONCEPT & INVESTIGATION APPROVAL FORM to the Grant Managers shared drive and inform the GO. The assigned GO team member will work with you to assemble the necessary documents during the investigation phase of the proposal development. This process may take several meetings. It is imperative to submit the CONCEPT & INVESTIGATION APPROVAL FORM in a timely manner, and at a minimum 30 days in advance of the due date. Step 3: Your VP will identify any key personnel to help you develop the proposal. GO staff will assist you in writing the proposal. As part of this process, you will be responsible to ensure that the PROJECT DEVELOPMENT CHECKLIST (Attachment B) is completed and the appropriate signatures are entered. It is necessary to adhere to each unit’s deadline listed on the form for timeliness of review. Please note that Human Resources (HR) needs at least one week advance notice to review a “Personnel Costing Worksheet”; this form must be included with the Project Development Checklist (Attachment B.1). An “Institutional Effectiveness Research Request Form” must be submitted to [email protected] at least 4-6 weeks in advance if requesting a survey, focus session or market research (Attachment B.2). An “Institutional Effectiveness Report Request Form” must be submitted to [email protected] at least 2-3 weeks in advance if requesting data from Banner (Attachment B.3). Finally, you will be required to provide your proposed measureable outcomes to the Research Analyst for review as part of the Project Development Checklist process. Step 4: Final draft reviewed by the GO. Present the final draft to your VP for review, edits and approval; then submit to the GO 7 working days prior to grant deadline (via the Grant Managers shared drive) which will be responsible for circulating the proposal and gaining approval from the applicable VPs, based on tier, using the Final Grant Review and Approval section of the PROJECT DEVELOPMENT CHECKLIST (Attachment B). The GO will gain final approval from the College President (new proposals only) and handle submission of all required proposal documents. Step 5: For all post-award modifications and interim and year-end reports, submit to the GO for review. The GO will document any necessary approvals from VPs. GRANT DEVELOPMENT & MANAGEMENT GUIDE 2 GRANT INITIATIVE TIERS All grant proposals will go through three primary stages during development and implementation, as follows: Planning (Stage 1), Submission Process (Stage 2), and Modifications & Reports (Stage 3). During Planning (Stage 1), grant developers will gain approval from their VP to pursue the grant, complete the Concept & Investigation Approval Form (Attachment A), and prepare a proposal draft. Once a draft has been completed, the grant application enters the Submission Process (Stage 2) in which it is reviewed by GO and gains approval from VPs and the College President (new proposals only). At the successful culmination of this stage, the grant is submitted. Once awarded, grant projects will move into implementation and may require modifications and interim and year-end reports (Stage 3). Grant projects will be categorized by a “Tier” that articulates the level of approval needed by the VPs contingent on units impacted. A description and graphic of “Tiers” is provided below. Grant Review Process Matrix Tier 1 Stage 1: Planning Concept Stage Pre-Approval Process by Accountable Unit Leader (VP) x Project Development Checklist by HR, IT, Finance, Facilities, IE— x check-off only required as decided by VP Stage 2: Submission Process Accountable VP Approval of Draft (before Grants Office & other VP review) x Grants Office Review x VP Review Accountable x Impacted x All Optional College President Review (R) & Signature (S) (new proposals only) R&S Stage 3: Modifications & Interim / Year-End Report Review Grants Office Review x VP Review Accountable x Impacted x All Optional Tier 2 x x x x x Optional Optional S x x Optional Optional Stage 1 (Planning): Proposals in both Tier 1 and 2 require preapproval by the accountable VP using the Concept & Investigation Approval Form. After the Concept form is completed, the accountable VP indicates which personnel on the Project Development Checklist are applicable to the proposal review process (including additional personnel and optional VPs). The grant manager completes all necessary forms and develops a final draft. Continuing to Stage 2 (Submission Process): The final draft proposal is initially submitted to the accountable VP. The accountable VP reviews the draft proposal and notifies the Grants Office that the review is complete. The Grants Office makes further edits and refinements and assures accuracy with guidelines. A final draft (saved to the shared drive) will be sent to designated impacted VPs for review and signoff on the Final Grant Review and Approval section of the Project Development Checklist. The College President is then notified to make final approval (new proposals only). GRANT DEVELOPMENT & MANAGEMENT GUIDE 3 After grant award, all subsequent budget and program modifications and interim and year-end reports will be submitted to Grants Office for review; Grants Office will gain input from the accountable and impacted VPs, with the option provided for all VPs to review. Grants Office will ensure that any applicable units, such as HR or Finance, are involved in modifications. Tier 1 Examples: WTCS (AEFL, GPR, and VEA) grants, except Workforce Advancement Training grants; U.S. Department of Education Student Support Services; and NSF Interactive Media Design. Tier 2 proposals require review by the accountable VP and the VP of any impacted unit during the Planning Process (Stage 1). Once the Project Development Checklist is completed and the proposal is reviewed by applicable VP(s), the College President is alerted for approval (new proposals only). Any subsequent budget and program modifications and interim and year-end reports will be reviewed by Grants Office and reviewed and approved by the accountable VP. The Grants Office will ensure that any applicable units, such as HR or Finance, are involved in modifications. Any other VP will have the option to review, as well. Tier 2 Examples: WIA, Wisconsin Covenant Grant Foundation, and Workforce Advancement Training grants. Rationale The system of classifying sponsored funding sources into tiers, and the associated policies and procedures are designed to minimize exposure to risk on the part of Moraine Park Technical College. Sources of external funding are to be classified based on an assessment of risk, including, but not limited to: the amount of funding, requirements for matching (particularly cash match), requirements to sustain the project and/or personnel beyond the grant period, and the extent of reporting requirements. These rationale are designed to serve as general guidelines for the Grants Office in determining whether a given funding source falls into Tier 1 or 2. Tier 1 Funding in excess of $100,000 per year Cash match requirement Requirements that mandate sustaining the project and/or personnel beyond the grant term Tier 2 Funding less than or equal to $100,000 per year No cash match requirement No requirement that mandates sustaining the project and/or personnel beyond the grant term No new personnel Click here for list of current and prospective grants PROPOSAL SUBMISSION DEADLINES All grant proposals will be submitted to VPs by GO based on the grant tier. GO will also seek final approval from the College President (new proposals only). The MPTC Grant Calendar lists the deadlines for submission of all draft grant proposals, as well as interim and year-end reports, to GO. The Concept & Investigation Approval Form must be submitted to GO a minimum of 30 days in advance of the application due date to allow for the appropriate review and approval process. Please note that deadlines will be monitored very closely; missing a deadline may jeopardize submission. The MPTC Grants Calendar is posted on myMPTC under the Employee tab, Data & Grants channel, and is available in Microsoft Outlook as MPTC Grants. GRANT DEVELOPMENT & MANAGEMENT GUIDE 4 GRANT MANAGEMENT CHECKLIST Successful grant implementation requires precision, documentation, and timeliness. Modification of the original proposal requires review and approval by the grant manager and VPs, per requirements of the grant’s Tier. Inaccurate grant management can lead to financial penalties for the district, and to discipline of employees responsible for any grant management failures. Grant work must follow all applicable laws, regulations, rules, contracts, policies, and procedures with which all grant managers must become familiar. Refer to Attachment E for a list of Documents of Grant Management. Always contact the GO for assistance and clarification of rules and regulations. The checklist below provides a brief overview of important grant management steps. Work with the GO to develop an Individualized Grant Management Plan, as needed, that will outline your project-specific tasks and considerations (see Attachment F). This plan will articulate the Tier level of the grant and key management responsibilities, applicable regulations, accounting and purchasing procedures, tracking needs, timelines, and requirements for reporting, auditing, and closeout. The Individualized Grant Management Plan will be filed on the grant managers shared drive in your project’s folder. Review all key grant documents, including the initial grant application packet, proposal, budget, award letter, authorizing legislation, and related guidance. Understand the grant goals, objectives, activities, implementation plan, budget, and deliverable products. Use the WTCS Grant Application Review document to assure each pertinent area has been addressed. (Attachment G) The GO will meet with grant managers frequently to review project and budget status, and to assess progress on stated goals and outcome objectives. Keep detailed, accurate, and well-organized records of all activities, documents, and communications related to the grant project. Back up all electronic records. Do not discard paper source documents without checking with the GO first. If required, start immediately on documenting Time and Effort or entering Client Reporting data. Work with the Finance Office and the GO to monitor your budget closely. Expend funds on a timely and consistent basis adhering to the grant budget. It is expected that 100% of grant funds will be expended by the end of the grant budget period. Ensure that matching funds and in-kind services are tracked, if required. Contact the GO as soon as possible with budget or program modifications, or if you encounter challenges with spending down 100% of funds. Adhere to the MPTC Grants Calendar for due dates and timelines on any reports and/or to request data and information from other units (e.g., Finance, Institutional Effectiveness, HR, etc.). An “Institutional Effectiveness Report Request” must be submitted to [email protected] at least 2-3 weeks in advance if requesting data from Banner (attachment B.3), and at least 4-6 weeks in advance for a Research Request such as a focus group. Ensure that the GO has copies of grant project reports (interim, year-end, final, and external evaluation). Forward copies of all report submissions to the GO prior to submission, for review by the VPs. Work with the GO to understand and comply with all closeout procedures. GRANT DEVELOPMENT & MANAGEMENT GUIDE 5 MPTC RESOURCES FOR GRANT SUPPORT Name Title Phone Email James D. Huycke Jackie Jarvis Sue Wiese Carrie Kasubaski Beth Mendoza Associate Director of Grants 924-3518 [email protected] Grants Coordinator Grants Specialist Director of Finance 924-6433 924-3230 924-3236 [email protected] [email protected] [email protected] Director of Human Resources 924-3232 [email protected] Gloria Arenz Instructional Technology Computer Specialist Director of Facilities Director of Marketing & Communication Research Analyst (to help with data needs) Director of Administrative Services Manager of User Services 924-3121 [email protected] 929-2136 924-6326 [email protected] 929-2483 [email protected] 924-3517 924-3178 [email protected] [email protected] Director of Network Services 924-6318 [email protected] Instructional Technology Specialist 929-3155 [email protected] Tim Flood Scott Rudie Ben Konruff Brian Lewis Lila Buytendorp Larry Plamann Hannah Rice GRANT DEVELOPMENT & MANAGEMENT GUIDE [email protected] 6 ATTACHMENT A: CONCEPT & INVESTIGATION APPROVAL FORM Notify the Grants Office a minimum of 30 days before grant due date. Accountable Unit Leader (VP): Click here to enter the name of your VP. Name of Grant Developer: Click here to enter your name. Contact Information for Grant Developer: Click here to enter your phone and email. Continuing grant? Yes ☐ No ☐ Funding Source & Grant Program Name (if known): Click here to enter text. Brief summary and supporting evidence: Click here to enter one paragraph. Projected revenue/FTE generation (or cost savings): Click here to enter text. How will the project be sustained when the grant funding ends? Click here to enter text. Proposed Budget PERSONNEL Job Title*: Enter text. New hire? Yes ☐ No ☐ Existing staff? Name: Enter text. Same hours ☐ Expanded hours ☐ Intend to transfer to general college fund at end of grant? Yes ☐ No ☐ % General Fund % Grant funded Salary Benefits Total Job Title*: Enter text. New hire? Yes ☐ No ☐ Existing staff? Name: Enter text. Same hours ☐ Expanded hours ☐ Intend to transfer to general college fund at end of grant? Yes ☐ No ☐ Total *Use existing or best possible current MPTC job title for new positions. Develop and submit new job description on approval. GRANT DEVELOPMENT & MANAGEMENT GUIDE 7 Continued on next page Total Proposed Budget continued NONPERSONNEL (describe each item) Travel Enter text. Equipment-Major Enter text. Equipment-Minor Enter text. Software Enter text. Supplies Enter text. Other Enter text. Total Grand Total This proposal may require new facility space: Yes ☐ No ☐ If yes, at: BD ☐ FDL ☐ WB ☐* Signatures (type name, check box, and type date) (for approval to pursue grant initiative) Checking box below represents your signature Date Grant Developer: Click here to enter name. ☐ Date: Click here to enter a date. Immediate Supervisor, if applicable: Click here to enter name. ☐ Date: Click here to enter a date. Dean, if applicable: Click here to enter name. ☐ Date: Click here to enter a date. *Director of Facilities: Click here to enter name. ☐ Date: Click here to enter a date. Vice President: Click here to enter text. ☐ Date: Click here to enter a date. President:** Click here to enter name. ☐ Date: Click here to enter a date. ☐ Date: Click here to enter a date. **Only required for NEW grant applications. Grants Office: Click here to enter name. grants/final/templates/grant forms/Concept Investigation Approval Form.docx 10.20.14 GRANT DEVELOPMENT & MANAGEMENT GUIDE 8 ATTACHMENT B: PROJECT DEVELOPMENT CHECKLIST Notify the Grants Office when completed. Grant Proposal Title: Click here to enter text. Funding Source: Click here to enter text. Point of Contact: Click here to enter text. Accountable VP – NAME: Click here to enter text.: Indicate personnel required to check off (boxes at left and under “Final Grant Review & Approval” column at right) ☐ Institutional Effectiveness [needs the following advance notice: 4-6 weeks for surveys, focus sessions, market research (use IE Research Request Form); 2-3 weeks for data in Banner (use IE Report Request Form)] (Ben Konruff, [email protected], Ext. 2483) - Consulted regarding data needs; reviewed outcome objectives ☐ Human Resources consulted regarding positions (needs 1 week advance notice; submit Personnel Costing Worksheet & save the finalized worksheet in the Grant Managers folder) (Beth Mendoza, [email protected], Ext. 3232) ☐ Information Technology consulted regarding technology needs (Jim Blakeslee, [email protected], Ext. 2114) ☐ Finance Office consulted regarding budget (Carrie Kasubaski, [email protected], Ext. 3236) ☐ Facilities consulted regarding space needed (Tim Flood, [email protected], Ext. 2136) GRANT DEVELOPMENT & MANAGEMENT GUIDE Checking box below represents your signature Final Grant Review & Approval Checking box below represents your signature Comments: Click to enter t ☐ ☐ Sheila Ruhland Date: Click to enter date. ☐ Date: Click to enter date. ☐ Date: Click to enter date. ☐ Date: Click to enter date. ☐ Date: Click to enter date. ☐ Date: Click to enter date. ☐ Kathy Broske ☐ Jim Blakeslee ☐ Bonnie Baerwald ☐ Date: Click to enter date. ☐ ☐ Comments: Click to enter t Date: Click to enter date. Date: Click to enter date. 9 Comments: Click to enter t Date: Click to enter date. ☐ ☐ Stan Cram Comments: Click to enter t Comments: Click to enter t ☐ SHMPI information completed (Gloria Arenz, [email protected], Ext. 3121) ☐ Date: Click to enter date. ☐ Curriculum Development consulted regarding curriculum (Matt Hurtienne, [email protected], Ext. 3121) ☐ Other review needed (enter explanation as needed) Click to enter text. (Name: Click to enter text.) ☐ Director of Institutional Effectiveness (Bojan Ljubenko, [email protected], Ext. 3229) reviewed ☒ Grants Office reviewed (James Huycke, Date: Click to enter date. ☐ Date: Click to enter date. ☐ Date: Click to enter date. Date: Click to enter date. ☐ Jim Huycke Point of Contact Signature (to certify this is accurate and complete): Click to enter text. 10.20.14 GRANT DEVELOPMENT & MANAGEMENT GUIDE Comments: Click to enter t Date: Click to enter date. Comments & Questions: Click to enter text. Grants \ final \ templates \ grant forms \ project development checklist.docx ☐ ☐ ☐ [email protected], Ext. 3518) ☐ Jim Eden 10 ☐ Date: Click to enter date. Comments: Click to enter t ATTACHMENT B.1: PERSONNEL COSTING WORKSHEET GRANT DEVELOPMENT & MANAGEMENT GUIDE 11 GRANT DEVELOPMENT & MANAGEMENT GUIDE 12 ATTACHMENT B.2: INSTITUTIONAL EFFECTIVENESS RESEARCH REQUEST FORM Submit 4-6 weeks in advance of when you need information for new grants (use form for surveys, focus sessions, market research) GRANT DEVELOPMENT & MANAGEMENT GUIDE 13 ATTACHMENT B.3: INSTITUTIONAL EFFECTIVENESS REPORT REQUEST Submit 2-3 weeks in advance of when you need information (use form for reporting data) Clic k her e to ent er text . ☐ Dat e: Clic k her e to ent er text . VP Finance & Administrative Services: GRANT DEVELOPMENT & MANAGEMENT GUIDE 14 Attachment C: Current and Prospective Grants GRANT DEVELOPMENT & MANAGEMENT GUIDE 15 ATTACHMENT D: MPTC Grants Calendar GRANT DEVELOPMENT & MANAGEMENT GUIDE 16 Attachment E: Documents of Grant Management (This information will be updated as soon as the Omnibus Circular is available Documents of Authority Applicable to All grant proposals must comply with Moraine Park grant administrative procedure. See Attachment K. All grants Planning and Budget Document District grant budgets will be prepared according to the Financial Accounting Handbook. This document contains complete definitions of all accounting and reporting codes and definitions. All grants EDGAR (Education Department General Administrative Regulations) Provisions of Title 34 Code of Federal Regulations, Parts 74-86 and 97-99 are presented by the U.S. Department of Education as the Education Department General Administrative Regulations, or EDGAR. This document outlines general provisions for seeking and managing federal grants. All federal grants, including federal grants administered through state office OMB (Office of Management and Budget) Circulars The District is bound by the regulations in circulars published by the Office of Management and Budget in the Executive Office of the President: Circular A-21 applies to educational institutions Circular A-87 applies to cost principles Circular A-102 applies to administrative requirements Circular A-110 applies to higher education, hospitals, nonprofits Circular A-133 applies to audit requirements. NOTE: Effective 12/26/2014 the above will be superseded by 2 CFR 200, Uniform Grant Guidance, for funds received after that date. All federal grants, including federal grants administered through state office Time and Effort Information can be found on the portal at the Employee tab, Data & Grants channel, Time & effort reporting Federal and WTCS grants Grant Client Reporting guidelines Information can be found on the portal at the Employee tab, Data & Grants channel, WTCS client reporting Applicable state WTCS grants Human Resources Information can be found on the portal at the Employee tab, Resources, Recruitment & Hiring Guide All grants Information Technology Information regarding the SHMPI grant process can be found on the portal at the Employee tab, Employee Resources All grants GRANT DEVELOPMENT & MANAGEMENT GUIDE 17 Attachment F: Individualized Grant Management Plan Note: This is a list of preliminary considerations, to be individualized for each grant project 1. Name of Grant Project, Funding Source, & Tier Level: Click here to enter text. 2. Grant Number: Click here to enter text. 3. Name of Unit Leader (VP): Click here to enter text. 4. Name of Grant Manager: Click here to enter text. 5. Grant Duration (# of years), Fiscal Year Dates, & Grant Amount By Year: Click here to enter text. 6. Setup of Budget Codes: Click here to enter text. 7. Applicable Regulations: Click here to enter text. 8. Reporting Requirements & Due Dates (interim, year-end, etc.): Click here to enter text. 9. Time & Effort Reporting Procedure (if required): Click here to enter text. 10. Client Reporting Needs (if required): Click here to enter text. 11. Matching Funds Tracking Process (if required): Click here to enter text. 12. Expenditure Process: Click here to enter text. 13. Purchase of Supplies & Equipment (if applicable): Click here to enter text. 14. Project Compliance & Monitoring Process (e.g., meetings with GO, etc.): Click here to enter text. 15. Budget & Program Modification Process: Click here to enter text. 16. Project Closeout Requirements & Procedures: Click here to enter text. GRANT DEVELOPMENT & MANAGEMENT GUIDE 18 Attachment G: WTCS Grant Application Review D EPARTMENT OF I NST ITUT IONAL E FFECT IV ENESS G RANTS O FFICE WTCS Grant Application Review Name: Click here to enter text. Grant: Click here to enter text. Date: Click here to enter a date. Project Number: ☐ Identifier, Activity, Appropriation, Purpose, Grant Abstract ☐ 200 word limit ☐ Purpose ☐ Complete name of organization ☐ Problem ☐ Activities ☐ Outcomes/indicators ☐ Funding requested and ☐ Number Served (match to budget, cover page, etc.) Application Narrative ☐ 10 page limit for 13 Narrative, 14 Courses/Workshops and 15 Evaluation ☐ Needs, outcomes and activities align with each other and purpose of the grant Need ☐ 1,000 word limit ☐ Gaps/weaknesses ☐ Problem ☐ Students served (participants) ☐ Local data supporting need/Client ☐ Effectiveness data if continuing project; needed adjustments made Input ☐ Students, Advisory committees, Faculty and staff, Deans, VPs, Grants Office, IE, others as appropriate ☐ Coordination of funding with other sources Outcomes ☐ Measurable change ☐ Addresses need ☐ Identify purpose ☐ Quantify number of participants achieving outcome ☐ Include every item in budget narrative Activities ☐ Six sentence limit (bulleted lists as needed) ☐ Cross-referenced to budget ☐ Allowable ☐ Specify the number/type of services/products ☐ Participants benefitting; number realistic ☐ What is being done ☐ How it is conducted ☐Why it is necessary for the outcome ☐ Position(s) Responsible: (include advisory committee) Title, what they do, workload, e.g., 1.0 FTE ☐ Position titles match exactly throughout proposal ☐ Start/end date or “Continuing throughout the fiscal year.” Courses/Workshops ☐ Number (aid code and instructional area) ☐ Name ☐ Credits ☐ Summary of subject matter ☐ Number and title consistent throughout application ☐ Number of instructional hours if no course number Monitoring and Evaluation ☐ Describe monitoring process for all activities ☐ Identify methods and/or instruments, including data collection ☐ Include all outcomes (assess actual vs. planned; activity effectiveness) ☐ Describe modifications as needed ☐ Identify position(s) responsible; roles in data collection, monitoring, evaluation ☐ Use of Client as appropriate ☐ Comply with quarterly reporting ☐ Post curriculum deliverables to repository Standard Financial Report ☐ Project number as above ☐ Title ☐ Time period ☐ Line items ☐Names, contacts, date Budget Narrative ☐ Each line item appears in outcomes/activities ☐ Show calculations ☐ Check all figures (especially benefits with Workmen’s Comp.) ☐ Cross check all totals (abstract, SFR, etc.) Other ☐ Double check content against Review Criteria ☐ Required attachments included GRANT DEVELOPMENT & MANAGEMENT GUIDE 19 Attachment H: Time and Effort Reporting (This information will be updated as soon as the Omnibus Circular is available) Moraine Park Technical College (MPTC) Time and Effort Reporting is primarily based on the U.S. Department of Education Guidelines for Support of Salaries and Related Costs Under Programs of the U.S. Department of Education for Entities Governed by OMB Circular A-87; guidance supplied by Schenck, SC, auditors; and WTCS policies for “Required Support Documentation” in Remuneration Standards for Federal and State Grants. WTCS “Required Support Documentation” states, in part, that documentation must identify the employee, fiscal period, salary, and position. This documentation or ancillary documentation must identify the federal or state projects involved and the time and effort proration to each project. Also, position descriptions must be available. Salaries must be supported by confirming documentation which may consist of time and effort reports, written confirmation by the project supervisor, or similar documentation. Salaries or wages of employees assigned to more than one grant program or other cost objective must be supported by time distribution records signed by the employee. Confirming documentation must be generated contemporaneously at least monthly for instructional and non-instructional staff. Affirming documentation must be signed by a supervisor knowledgeable of the time and effort of the individual employee. Accordingly, all MPTC personnel supported by federal funds as well as those supported by funds originating from WTCS, including, but not limited to AEFL, GPR, VEA and WAT grants, follow time and effort reporting standards as primarily set forth in the Office of Management and Budget (OMB) Circular A-87. There are two types of required time and effort records: general semi-annual certifications and detailed monthly reports. The type of required record depends on whether job responsibilities reflect single or multiple cost objectives, the difference of which is determined by how an employee works, not how the employee’s position is funded. An individual who has a single cost objective has a position dedicated to a singular purpose, and completes semiannual certifications that are signed by a supervisor with first-hand knowledge of the employee’s work. An individual with multiple cost objectives (e.g., serving different student populations with one or more grant sources) must complete detailed monthly reports, after the work has been completed. Reports must reflect the individual’s total work time and identify the portion of time spent on the grant project. The report must be signed by the employee, and supported with documentation of actual effort, not estimates. Supporting documentation could be a work calendar, work product, time log, or class schedule. Relying on time estimates identified in the grant budget rather than actual time recorded through a work calendar or class schedule can result in an audit or monitoring finding of unallowable costs. When payroll is processed based on budgeted or estimated time and activities, payroll records must be compared to time and effort reports at least quarterly. During the comparison, if the difference between what is budgeted and what is documented in the time and effort reporting is greater than 10 percent, then payroll charges must be adjusted at the time of comparison. In addition, subsequent quarterly estimates must be amended to more closely reflect actual activity. If the difference between what is budgeted and what is documented in the time and effort reporting is less than 10 percent, the adjustment does not need to occur until the end of the year. However, in the final quarter, payroll charges for the year must be adjusted to reflect actual time spent as supported by time and effort reports. Specific instructions and required forms are located in the Data & Grants channel of the MPTC Portal. GRANT DEVELOPMENT & MANAGEMENT GUIDE 20 Attachment I: Pre and Post Award Processes grants/final/grant info gen/grant dev/grant handbook/reporting.docx GRANT DEVELOPMENT & MANAGEMENT GUIDE 21 Attachment J: Post Award Processes GRANT DEVELOPMENT & MANAGEMENT GUIDE 22 Attachment K: Grants Office Policy and Procedure PART I: TO BE COMPLETED BY FUNCTIONAL UNIT LEADER Functional Unit Academic Affairs Procedure Development Delegated to: Associate Director of Grants Policy Type Presidential Parameter (IV) Policy Title Budget Management System Title Organizational Leadership Major Process Title Resource Development Procedure Number 4FRD0101 PART II: TO BE COMPLETED BY INDIVIDUAL RESPONSIBLE FOR DEVELOPMENT OF PROCEDURE Procedure Title Resource Development Keyword(s) grant development and management, foundation funding, grant compliance Reference(s) Original Date 09/2004 Revision Date 09/2013 Narrative Description of Procedure e.g., principle/purpose/definitions/applications/limitations Grants Procedure Statement for Moraine Park Technical College I. Purpose and Authority The purpose of this organization-wide procedure statement on grant administration is to establish the necessary rules for the administration of grants at Moraine Park Technical College. The authority to issue policies and procedures on grant administration is founded on the Presidential Policy Category #4 dated December 19, 1996, and adopted by the Board of Directors. II. Persons and Areas Affected This is an organization-wide Policy Statement affecting all departments that research, apply for or administer grants. a. Guidelines Regarding the Authority to Apply for Grant Funding Only the President or an authorized designee may sign and submit grant applications on behalf of Moraine Park Technical College. b. Coordination of Grant Operations Moraine Park Technical College must be able to track and manage grants at all stages of the grants process from preliminary research through project closeout. To accomplish this guideline requirement, the Grants Office is hereby established within the Office of the Vice-President of GRANT DEVELOPMENT & MANAGEMENT GUIDE 23 Academic Affairs. The Grants Office will be responsible for: 1) Developing, revising, and distributing the official grants policies and procedures of Moraine Park Technical College. 2) Coordinating the tracking of grant applications, awards and major project decisions associated with awarded grants. 3) Assisting departments with the interpretation and application of city, county, state, federal or other grant policies. The Grants Office is an organization-wide point of contact for preliminary funding research and the preparation of grant proposals. The role of this office is to: 1) Research appropriate funding opportunities. 2) Inform all departments about relevant funding opportunities. 3) Assist in the development and writing of grant proposals. 4) Upon request, review proposals written by other departments. 5) Ensure that all personnel involved in grant planning processes, proposal development, and subsequent program modifications follow the appropriate approval and review process as per the Grant Development and Management Guide. 6) Offer training and technical assistance in proposal writing. 7) Submit Grant Award and compliance guidelines to Finance Office. Copies are given to Grant Manager and/or their manager if needed. 8) Review budget and activities of grants twice a year. 9) Provide liaison between Grant Manager and College for access including Banner, training opportunities, etc. 10) Work collaboratively with Grant Managers and appropriate internal staff to prepare for external audits and evaluations as requested by funding source. Departments are strongly encouraged to develop and share their own expertise in the grant development/proposal writing and to use the services of the Grants Office when needed. c. Acceptance of Grants Federal and Foundation grant awards must be accepted by the President’s Cabinet or their designee. Prompt acceptance of grant awards either by regular or emergency adoption is essential in order to expedite the execution of awarded grants by the President or authorized designee. To ensure that grants are promptly accepted by Moraine Park Technical College, the following shall be observed by all departments: 1) The President or an approved designee is the only person authorized to sign and accept grant awards. d. Responsibility for Grants President of the College shall: 1) Inform Board of grant award 2) Sign any necessary documents for receipt of grant award 3) Provide information to community regarding the receipt of funds Vice Presidents, Deans, Associate Deans, faculty and key technical staff are responsible for identifying problems within the system, generating project ideas/solutions, identifying additional funding opportunities, participating in program planning, proposal writing, managing the day-to-day functions and addressing compliance issues associated with a successful grant award. Those aforementioned personnel charged with grants responsibilities shall: 1) Designate a Grant Manager for every grant awarded to the department. 2) Implement awarded grant projects according to the terms and conditions of each grant award. 3) Ensure the department’s Grant Manager tracks grant awards and consults with the Grants Office on a regular basis. 4) Ensure that Grant Managers know how to assign project expense codes, complete drawdown forms and monitor funding using prescribed procedures. 5) Ensure that requests for grant funds are promptly submitted to minimize the advance of internal funds. Approve grant drawdown requests whether on an advance or reimbursement basis. GRANT DEVELOPMENT & MANAGEMENT GUIDE 24 6) Attend Grant Managers’ meetings when appropriate and ensure that the department’s Grant Managers attend meetings hosted by the Grants Office. 7) Ensure that project reporting requirements and deadlines for submission are observed. 8) Self or designee shall act as certifier of all grant documents, as necessary. Grant Managers shall: 1) Review grant personnel requirements with the Human Resources Department staff. 2) Work with Human Resources to post and fill positions. 3) Review grant objectives, activities, and budget and share with staff when applicable. 4) Work with IT staff to gain access to Banner. 5) Direct the allocations of funds for the grant by working with the Finance Office to set up accounts. 6) Inform staff working in grants via form letter of percentage of staff time in grants. 7) Oversee to ensure that Time and Effort logs are completed and filed monthly, if required, and/or Semiannual Grant Certification Memos completed, if required. 8) Monitor, approve and maintain monthly records of Time Accounting (after-the-fact), if required. 9) Maintain records of match or leveraged funds. Records will be retained with the grant budget documents for at least five (5) years. 10) Complete by the deadline all necessary reports (e.g., expenditure reports, mid-year or end-ofyear, client reporting, reimbursement requests, and performance evaluations). Disseminate copies to supervisor and Grants Office as appropriate. 11) Forward any correspondence with funding sources including, but not limited to, copies of changes to award letters, denial letters/emails, major budget changes, reports, and other important documents related to the College's grant to the Grants Office. 12) Hold meetings as needed, at least quarterly, with Finance Office to review budgets and make adjustments. 13) Certification records, if required, will be signed by Grant Manager and Grant Manager’s supervisor. Fiscal records will be certified by Grant Manager and Finance Office. A copy will be maintained with grant records by the Grant Manager. 14) Grant Managers will be required to attend all Grant Manager training and meetings and follow College procedure for professional development. Required training includes: new Grant Manager orientation, time and effort, budgets, reporting requirements, grant modifications, client reporting, and funding source training, if applicable. 15) Follow College procedure for purchasing equipment. Grant Managers must follow the SHMPI process for ordering equipment and software, by reentering from the grant SHMPI form to College SHMPI form. Inventory lists that include serial numbers, location and description of items will be updated annually and maintained by the Grant Manager. 16) Follow funding source guidelines for usage and disposal of inventoried items after granting period. 17) Sign and approve subcontracts or sub-grants. Involve Dean of Economic and Workforce Development and Finance Office as applicable to ensure compliance. Grant Managers will maintain records of all subcontracts. 18) Follow granting agency guidelines for grant closeout procedures. Grants Office and Finance Office will assist Grant Manager with closeout requirements. Grant records must be retained for five years in the event of an external audit. e. Human Resource Department Grant Functions and Responsibilities The Director of Human Resources or designee shall: 1) Receive personnel requirements and submit information to Human Resource Committee for approval. Grant Managers will use the process as identified in the Grant Guidelines, i.e., completion of the personnel costing sheet, when developing a proposal. 2) Work with Grant Manager to hire personnel in the grant. f. Finance Office Grant Functions and Responsibilities The Vice President of Finance & Administrative Services or designee shall: GRANT DEVELOPMENT & MANAGEMENT GUIDE 25 1) Have exclusive authority to deposit all grant funding received by Moraine Park Technical College into appropriate accounts designated by the Finance Office. 2) Establish appropriate account code assignments for charging costs to grants. (Account codes must not conflict with the items of cost contained in the approved grant budget.) Finance staff to confer with Grant Manager to assure correct allocation of funds. 3) Record revenues and expenditures associated with approved grants. 4) Ensure that the accounting system of Moraine Park Technical College is capable of tracking revenue and expenditures associated with every grant award regardless of how grant funding is appropriated. 5) Issue regular reports on the status of grant-funded projects to operating departments and issue special reports, when needed, to the President and/or Grants Office. 6) Approve grant drawdown requests whether on an advance or reimbursement basis. g. Independent Audit of Approved Grants The Vice President of Finance & Administrative Services charges the independent audit firm with the responsibility for conducting grant compliance audits in conjunction with the single audit compliance requirements. All grants awarded to Moraine Park Technical College are subject to the possibility of a compliance audit. The President may request a special internal audit of any grant awarded to Moraine Park Technical College. III. Policy Implementation The Grants Office shall be responsible for implementing this Statement of Procedure on Grant Administration through procedures and other guidance documents. Grant info general/grant development/grant handbook/grant development guide rev Oct 2014.docx 10/22/14 GRANT DEVELOPMENT & MANAGEMENT GUIDE 26
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