Updated: 04/14
1201 Overview
DORS seeks and relies on grants and cooperative agreements to help support the agency vision, mission and charge, such as providing rehabilitation services, training and independent living services.
1202 DORS Awarding of Grants
DORS awards discretionary grants to enhance and support DORS mission and goals.
Grants may be awarded to entities, including organizations, local education agencies, colleges and universities, community rehabilitation programs (CRPs) and other organizations, on a competitive or non-competitive basis. DORS has established an orderly process for awarding, administering and monitoring grants. This provides DORS with the opportunity to determine which applications best address the program needs/requirements and are therefore most worthy of funding.
The implementation and management of grants is an ongoing process that requires the coordination of multiple activities that must be conducted with numerous partners and usually within specific time frames. Grants management is a challenge because of the very nature of grants, which often requires the use of federal and state financial assistance for approved activities and identification of performance measures.
The purpose of monitoring is to ensure that grantees meet their programmatic and financial requirements to which they have agreed in the grant memorandum of understanding (MOU). This will result in the achievement of the grantees’ goals, and the successful implementation of the specific program in serving individuals with disabilities.
1203 Discretionary Competitive and Non-Competitive Grants
DORS will seek new opportunities to enhance and expand agency services and to continue effective practices.
1203.01 Grant Process Initiation
Competitive Grants
DORS executive/management staff will meet to discuss priorities and determine the need for a Request for Proposal (RFP).
The Grants & Agreements Administrator will draft the RFP with the designated program director or management staff to ensure that it meets the intended criteria.
If the RFP requires MSDE approval, the RFP will be sent to the MSDE Director of the Grants Administration & Resource Development Office for review.
Once approved, the RFP will be posted on the MSDE website and other sites as deemed appropriate.
DORS will identify a review team to review proposals submitted within the established timeframe.
All proposers will be notified of the outcomes of their proposals by the Grants & Agreements Administrator.
In cases where the proposal is not accepted, a letter outlining the results will be included.
In cases where the proposal has been accepted, an offer of acceptance will be made, including any conditions prior to awarding the grant. If all are in agreement and conditions have been met, a final letter of acceptance will be sent to the successful applicant.
Non-Competitive Grants
DORS executive/management staff will discuss the need for non-competitive grants, including those that continue from year to year. The Assistant State Superintendent will advise the Administration & Financial Services (AFS) Director and AFS Grants & Agreements Administrator of decisions. In cases of discontinuation, the grantee will be advised in writing by the Assistant State Superintendent.
1203.02 Grant Agreement Development & Disbursement – Competitive and Non-Competitive Grants
Once the awardee has been identified, the Grants & Agreements Administrator will facilitate development of a draft grant agreement, consistent with the RFP. The Agreement will assure that DORS and the grantee have a clear understanding of the terms and conditions of the grant and will include the following sections:
- scope of work
- reporting requirements
- expected outcomes
- use of funds
- budget
- statement of MSDE assurances
The assurances may be modified only with the approval of the Attorney General’s office.
The Grants & Agreements Administrator will review the draft for technical sufficiency, including measurable deliverables in consultation with the Attorney General’s office and Director or other designated staff.
The Grants & Agreements Administrator will return the edited/revised draft grant agreement to the Director, Program Manager and/or other designated staff for final review.
The Director, Program Manager or other designated staff will review the edited copy and acknowledge concurrence with the grant agreement. If the manager and Grants & Agreements Administrator fail to concur, they will meet and reconcile differences as soon as possible.
The Grants & Agreements Administrator will send the grant agreement to the awardee/ recipient for signature [which will include a due date for receipt] and any other required information (e.g., budget).
Once the grant agreement has been signed by all authorized parties, the grant agreement is a legal document. Therefore, everything written in the grant agreement must be adhered to unless an amendment is formalized (see Section 1203.05 below).
The Grants & Agreements Administrator will send the final award letter and related notification to the grantee.
Exceptions to this process require approval of the AFS Director.
1203.03 DORS Notice of Grant Award
The Notice of Grant Award (NGA) is the official/legal document issued to notify the grantee that an award had been made and that funds may be requested from MSDE/DORS. This is a two-sided document, and the recipient must receive both sides. In most instances, the process to complete and disseminate the NGA is as follows:
Upon receipt of the signed grant agreement with all signatures, the Grants & Agreements Administrator/support staff will prepare the NGA document. The support staff will submit the NGA and the signed agreement to the Assistant State Superintendent for signature/approval.
Upon receipt of the signed NGA from the Assistant State Superintendent, the support staff will forward it to the AFS Fiscal Operations Director. The AFS Fiscal Operations Director/ accounting department will submit the paperwork to MSDE for processing, including the assignment of a grant award number. Note: This grant award number must be used on all invoices submitted by the grantee.
MSDE will return the final processed NGA to the Assistant State Superintendent’s office, where it will then be forwarded to the AFS Grants & Agreements Administrator.
The Grants & Agreements Administrator/staff will send:
A cover letter, copy of the NGA and signed agreement to the Grantee, with a reminder to include the grant number on all invoices.
A copy of only the cover letter and signed agreement to the Director, Program Manager or other designated staff.
A copy of only the NGA to the AFS Fiscal Operations Director.
1203.04 Monitoring Grants and Agreements
In general, the grants and agreements office is responsible for the overall coordination of monitoring of grant requirements, technical concerns/issues related to grant awards and/or agreements. Monitoring may include receipt and review of progress reports and invoices, telephone calls and correspondence, and participation on on-site reviews. Monitoring may also include participation on grant advisory committees in order to assure that timelines for deliverables are met.
All grants require a designated DORS Program Director, Manager or Regional Director to serve as the local grant program director/monitor, responsible for providing programmatic assistance in the implementation of the grant. In essence, this means that the grant program manager is to ensure that the project is conducted according to the grant agreement terms and conditions with project partners. This may include but is not limited to sharing knowledge of the project with staff and helping them to understand the importance of intended outcomes, assisting in supervising progress of the project, attending scheduled project meetings as well as receiving and approving progress reports.
Reports and Invoices:
The Grants & Agreements Administrator will receive all reports and invoices directly from the Grantees, unless otherwise specified in the agreement. In such cases, the Grants & Agreements Administrator will review for deliverables and adherence, as appropriate to MSDE Grant Assurances, including procedures as set forth in 34CFR Parts 76 & 80 and in applicable state law and regulation.
The Grants & Agreements Administrator will forward a copy of the report and invoice to the grant program manager and AFS Director, as applicable, noting any concerns, as appropriate or applicable.
The grant program manager and AFS Director will also review the report for content deliverables (meeting goals, objectives and financial responsibilities) and any noted concerns. The grant program manager/AFS Director will notify the Grants & Agreements Administrator if the report information is sufficient to proceed in authorizing payment.
If grantee sends the report and/or invoice directly to the grant program manager, the grant program manager will review the information for sufficiency. If the report is deemed as meeting program content deliverables, the grant program manager will forward the report and/or invoice to the Grants & Agreements Administrator for further review as identified in a.1 above.
The Grants & Agreements Administrator, the grant program manager or the AFS Director, in consultation with each other, may contact the grantee if the report is incomplete or insufficient and may suggest holding the report or invoice until an acceptable report or invoice is received.
The grant program manager, AFS Director, or designated staff will sign off and date, indicating their approval of the report and/or invoice. This approval will be relayed to the Grants & Agreements Administrator.
On-site Reviews:
On-site visits and reviews can provide DORS with a fuller picture of how the grantee is complying pursuant to DORS programmatic requirements as well as grant assurances and guidelines, and all applicable federal statutes and regulations. As appropriate, the on-site review team may include: AFS Director, AFS Fiscal Services Director, AFS Grants & Agreements Administrator, WTC Director, designated Office of Field Services staff, OBVS staff associated with the grant, and Client Assistance Program staff.
An on-site financial review may be conducted to assess the overall financial management of the grant with a focus on providing the grantee with immediate technical assistance to correct any weakness identified. The on-site financial review may include:
The Grantee’s accounting system and internal control over the administration of DORS grants.
The Grantee’s cash management procedures.
The timeliness and accuracy of financial status reports submitted.
The expenditures charged to the grant to determine if expenditures are allowable and supported.
Quality Assurance through Monitoring:
Grantees are responsible for managing the day-to-day operations of their awards using established controls and policies as long as they are consistent with MSDE/DORS requirements. There may be instances where the results of quarterly reports and on-site monitoring reveal inconsistencies and problems within an organization. DORS uses a progressive approach, in light of the specific circumstances, to address compliance and related issues: e.g., clarifying concerns/issues with the Executive Director and/or Board President through enhanced on-site meetings/visits, written communications; and development of action plans with grantee.
When progressive steps have not yielded improved results, and depending upon the nature and extent of deficiencies, DORS reserves the option to place the grantee on a high risk status—providing even closer scrutiny of the operations of the grantee. If this fails, DORS reserves the right to terminate the agreement, consistent with assurances in the grant agreement.
1203.05 Grant/Agreement Modifications
The grant agreement is the legally approved plan for achieving the desired outcomes. In reality, as agreements are being implemented, modifications may be necessary to meet or adjust to unanticipated events and/or challenges. The DORS Grants & Agreements Administrator, in consultation with the AFS Director, and grant program manager, will approve grant modifications and budget amendments, as appropriate:
The grant program manager, in consultation with the grantee, will notify the Grants & Agreements Administrator of recommended changes to the agreement and send a letter with justifications to the changes. The letter must state that all parties/signatories to the initial grant agreement are in agreement with the new terms.
Upon receipt, the Grants & Agreements Administrator will review the request. If questions arise, the Grants & Agreements Administrator and the grant program manager will resolve any issues.
The Grants & Agreements Administrator will notify the grant program manager of approval, attach a copy of the letter to the initial signed grant agreement.
The Grants & Agreements Administrator will follow-through in facilitating the necessary paperwork to conduct the modifications.
1203.06 Grant Renewal and Discontinuation
Grant awards are provided for a specific period of time, which is included in the grant agreement and the NGA. Renewal of the grant for an additional period of time depends upon:
The nature of the grant and whether it was for a one-time purpose
Continued availability of funding.
Performance of the grant to date, including achievement of anticipated outcomes.
Current programming needs identified by DORS.
If the grant is renewed for an additional period of time, the procedures in this section apply including development of the grant agreement and NGA, and monitoring of the grant.
1203.07 Maintenance of Records
The Grants & Agreements Administrator will maintain the official files, to include original signed agreements, modifications, NGA, and copies of invoices and reports, pursuant to 34CFR §76.730.
The Grants & Agreements Administrator will maintain a separate copy of each agreement and associated modification(s) for the Attorney General’s Office.
The grant program manager or other designated staff will maintain whatever documentation is necessary for purposes of program and on-site monitoring.