Role of Authorized Representatives in Grants Management

Authorized Representatives (AR) play a crucial role in managing grants by overseeing program compliance, decision-making, budget approvals, and reporting requirements. They ensure funds are used appropriately, monitor grantee progress, and implement state and federal regulations to meet program goals effectively. Agency Finance, on the other hand, manages federal grants, ensures fiscal compliance, and conducts financial reviews for comprehensive analysis. This comprehensive guide covers the responsibilities, roles, and importance of Authorized Representatives in grants management.

• Grants management
• Authorized Representatives
• Compliance
• Budget approvals
• Federal grants

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1. Authorized Representative Role - Grants Management 101

2. Training Overview During the Grant Roles Budget and Work Plan Revisions Authorized Representative Grant Coordinator Financial Report Form (FRF) Approval Grant Specialist Interim/Final Program Report(s) Reporting to Legislature or Federal Awarding Agency Types of Grants Closeout Single Source Legislatively Named Competitive Grant Application to Award Process (RFP) Application Development, Review and Award Budget Review/Approval Official Grant Award Notification (OGAN) Development/Approval 9/16/2024 Leading for educational excellence and equity, every day for every one. | education.mn.gov 2

3. What is an Authorized Representative (AR)? An Authorize Representative (AR) is the program expert. Authorized Reps are expected to: 1. Know and implement State and federal statutes for the program, and/or the private funder s program requirements. 2. Analyze monitoring results, prioritize technical assistance needs, and amend future monitoring visit protocols to improve grantee compliance and ensure progress toward grant program plans and goals. 3. Maintain knowledge of programmatic field and national initiatives, legislation, and research and identify opportunities for innovation within and beyond the Minnesota Department of Education. 9/16/2024 Leading for educational excellence and equity, every day for every one. | education.mn.gov 3

4. AR Roles and Responsibilities The AR: Has decision making authority for the grant program, and is the approver for the majority of grant-related work (e.g. grant application documents, budget forms, reviewer rubrics, OGAN s, financial reporting forms, budget revisions, and programmatic reporting) Ensures grantee work plan and programmatic goals are being met Ensures funds are expended appropriately Collects required program data and manages reporting 9/16/2024 Leading for educational excellence and equity, every day for every one. | education.mn.gov 4

5. Agency Finance The Grants Team is part of Agency Finance. Agency Finance is responsible for: Managing all incoming federal grants Ensuring adherence to federal laws and regulations from fiscal perspective Preparing, reviewing, and submitting financial reports Reconciling all federal grant awards to the state s SWIFT accounting system Setting up and co-managing division budgets Conducting periodic review meetings with divisions for comprehensive analysis of accounts 9/16/2024 Leading for educational excellence and equity, every day for every one. | education.mn.gov 5

6. Agency Finance Organizational Chart Andre Prahl Agency Finance Director Pam Schneider Accounting Operations Manager Amanda Sroka Grant Program Administrator Carolyn Hoel Federal Program Manager Bob Niemala SPA Coord Anita Tayson EANS Missy Lorey Grant Specialist Supervisor Dawn Udean State Program Admin Supervisor Principal Lynette Seal SPA Coord Sharon Isler Accounting Supervisor Judy Yang AOP Rene Huelsman- Peterson Management Analyst 3 Romieo Gonzalez Accounting Officer/Payroll Deb Rose Grant Specialist Coordinator Laurie Hanrahan State Program Admin Mary Kuehn AOP Budget/Compliance Bette Benson Grant Specialist Coordinator Mai Kai Vang State Program Admin Coord Melissa Kvam Accounting Clerk Mary Beth Michalitsch AOS Lorie Rasmussen Accounting Clerk Joel Bergevin Grant Specialist Jen Fleckner State Program Admin Carole Brady AOP Accounts Payable/Payroll Norrita Rech Grant Specialist Tiffany Plumley Buyer Jennifer Yang AOS Procurement LaDonna Mustin Grant Specialist Tambra Carr AOS Accounting Services Nyagatare Valens Grant Specialist Dana Garry Grant Specialist Grants 9/16/2024 Leading for educational excellence and equity, every day for every one. | education.mn.gov 6

7. What is a Grant Coordinator? Grant Specialist Supervisor Missy Lorey The Grant Coordinator is the RFP logistics expert. The Grant Coordinator: Provides grant opportunity template documents and assists with development and timeline for the grant opportunity application and award process Grant Specialist Coordinator Bette Benson Grant Specialist Coordinator Deb Rose Grant Specialist Senior LaDonna Mustin Grant Specialist Senior Norrita Rech Performs accessibility checks and posts grant opportunity documents to the competitive grant webpage Provides reviewer training and coordinates the review process Grant Specialist Senior Joel Bergevin Grant Specialist Intermediate NyagatareValens Drafts award or denial letters once the review process is complete Grant Specialist Intermediate Dana Garry Completes data requests 9/16/2024 Leading for educational excellence and equity, every day for every one. | education.mn.gov 7

8. What is a Grant Specialist? Grant Specialist Supervisor Missy Lorey The Grant Specialist is the payment and desk audit expert. Grant specialists are expected to know and implement State and federal regulations for sub grants to Education stakeholders. The Grant Specialist: Grant Specialist Coordinator Bette Benson Grant Specialist Coordinator Deb Rose Conducts pre-award risk assessments Drafts and executes OGANs Grant Specialist Senior LaDonna Mustin Grant Specialist Senior Norrita Rech Performs fiscal monitoring Finalizes budget amendments/revisions in MDE s grants management system (GMS) Grant Specialist Senior Joel Bergevin Grant Specialist Intermediate NyagatareValens Processes and documents grantee Financial Reporting Forms (FRFs) Completes closeout evaluation Grant Specialist Intermediate Dana Garry 9/16/2024 Leading for educational excellence and equity, every day for every one. | education.mn.gov 8

9. Types of Grants There are three types of grants managed through Grant Services: 1. Single Source (including Targeted grants of less than $5,000) 2. Legislatively Named 3. Competitive 9/16/2024 Leading for educational excellence and equity, every day for every one. | education.mn.gov 9

10. Grant Application A grant application is required for all three types of grants. Grant Applications: collect the required administrative information needed to process an Official Grant Award notification (OGAN) include a list of assurances the grantee agrees to comply with when they submit the application in the event they receive an award include the grantees scope of work and project budget 9/16/2024 Leading for educational excellence and equity, every day for every one. | education.mn.gov 10

11. Single Source/Targeted Grants Only used if one agency, organization, or school district is capable of carrying out the program, and is not specifically named in legislation. Requires Single Source Justification form, completed by AR, and a grant application and budget completed by the grantee. Less than $5,000 can be a targeted grant no Single Source Justification form needed. Single Source Justification, application materials, and risk assessment (if applicable) are used to draft the OGAN. Grant funds cannot be spent and work cannot begin until the OGAN is fully executed. 9/16/2024 Leading for educational excellence and equity, every day for every one. | education.mn.gov 11

12. Legislatively Named Grants The specific agency, organization, or school district is named in legislation. The grantee is required to complete a legislative grant application and state budget. The Grant Specialist works with the Authorized Rep. to create these materials. Application materials, along with a risk assessment (if applicable), are used to draft the OGAN. Only type of grant that can incur expenses up to 60 days before OGAN execution without a 16A violation (obligation incurred prior to encumbrance in SWIFT). 9/16/2024 Leading for educational excellence and equity, every day for every one. | education.mn.gov 12

13. Competitive Grants This type of grant is awarded based on a competitive process, which includes a review by a team of reviewers. Grant Coordinator works with the MDE Authorized Rep to create application materials. Application materials, along with a risk assessment (if applicable), are used to draft the OGAN. Grant funds cannot be spent and work cannot begin until the OGAN is fully executed. 9/16/2024 Leading for educational excellence and equity, every day for every one. | education.mn.gov 13

14. Competitive Grant Timeline Division Leadership assigns an AR to a program with funds that need to be sub-granted. The AR and Grant Coordinator meet to set timeline and begin drafting application documents. This process will take anywhere from 4-6 months depending on complexity. 4 weeks to develop and publish 4-6 weeks to apply 4-6 weeks for review 4-6 weeks for OGANs 9/16/2024 Leading for educational excellence and equity, every day for every one. | education.mn.gov 14

15. Competitive Grants General Documents AR and Grant Coordinator will co-develop: 1. RFP Instructions. This is the document that interested grantees review prior to applying to ensure they meet minimum qualifications and for detailed information on the funding available. 2. Application. This is a fillable word document that applicants will fill out and submit to be reviewed by a team of independent reviewers. 3. Budget Template. The template applicants will fill out with their proposed spending plan. The Grant Coordinator creates a MS Teams Channel for these documents. 9/16/2024 Leading for educational excellence and equity, every day for every one. | education.mn.gov 15

16. Grant Application Review and Approval Single source grant applications are reviewed and approved by the AR. Legislatively named grant applications are reviewed and approved by the AR. Competitive grant applications are reviewed by independent reviewers that score and prioritizes application. The AR, in consultation with division director and/or MDE leadership, award based on review results and RFP priorities. 9/16/2024 Leading for educational excellence and equity, every day for every one. | education.mn.gov 16

17. Budget Review/Approval Grant Specialist provides budget templates that can be customized to fit the needs of the program. There may be a specific UFARS Finance Code that restricts eligible expenditures and the budget form will need to reflect that. As an Authorized Rep. you must align the grantees budget and work plan so that the program goals are met. 9/16/2024 Leading for educational excellence and equity, every day for every one. | education.mn.gov 17

18. Official Grant Award Notification (OGAN) Grant Specialists use the application materials and risk assessment to draft the OGAN. The OGAN: States the Purpose of Funding/Grant Outlines program and financial reporting expectations according to federal or state guidelines Clarifies any additional terms of the grant (e.g. required training, minimum progress made, etc.) ARs review the OGAN draft and will be the first to sign the OGAN upon finalization. 9/16/2024 Leading for educational excellence and equity, every day for every one. | education.mn.gov 18

19. Summary: Competitive Grant Responsibilities Authorized Rep. will: 1. Draft initial RFP from MDE template 2. Document question and answers during Q and A period 3. Recruit reviewers 4. Review results from review and select applications for funding 5. Serve as grantee s primary point of contact for the life of the grant Grant Coordinator will: 1. Provide RFP templates to AR 2. Review RFP documents to ensure that they meet the criteria of the grant (state and federal requirements) 3. Complete communications and accessibility checks on the documents and post online 4. Oversee and coordinate the grant review 5. Send award and non-award letters 9/16/2024 Leading for educational excellence and equity, every day for every one. | education.mn.gov 19

20. Summary: Competitive Grant Responsibilities Grant Specialist will: 1. Conduct pre-award risk assessment 2. Draft and execute OGANs 3. Perform fiscal monitoring 4. Finalize budget amendments/revisions in MDE s grants management system (GMS) 5. Process and document grantee Financial Reporting Forms (FRFs) 6. Complete closeout evaluation Agency finance will: 1. Ensure adherence to federal laws and regulations from fiscal perspective 2. Prepare, review, and submit financial reports 3. Reconcile all federal grant awards to the state s SWIFT accounting system 4. Conducting periodic review meetings with divisions for comprehensive analysis of accounts 9/16/2024 Leading for educational excellence and equity, every day for every one. | education.mn.gov 20

21. During the Grant The AR and Grant Specialist collaborate together to complete the following during the life of the grant: Budget and Work Plan Revisions Financial Report Form (FRF) Approval Interim/Final Program Report(s) Reporting to Legislature or Federal Awarding Agency Closeout 9/16/2024 Leading for educational excellence and equity, every day for every one. | education.mn.gov 21

22. Budget Revisions Budget Revisions 1. Used when there is a proposal for a new line item (object code) 2. Adding funds to an object code that is allowable but has a $0 balance 3. Change of an approved line item greater than 10% of the total grant award 4. Expenses should not be incurred prior to approval of the budget revisions Please Note Budget should align to the work plan, goals and activities Costs must be reasonable, allowable, allocable and necessary to complete the work 9/16/2024 Leading for educational excellence and equity, every day for every one. | education.mn.gov 22

23. Reviewing and Approving Financial Reporting Forms (FRFs) Grant Specialist and AR partnership: 1. Review rate of spending 2. Must align with approved budget 3. Review FRF dates (OGAN outlines FRF due dates and reporting periods). 4. FRF approvals (preparer and approver signature/date) Please Note: FRFs are cost reimbursable. Avoid overlapping date periods. Payment must be completed within 30 days of receipt of all applicable/required elements 9/16/2024 Leading for educational excellence and equity, every day for every one. | education.mn.gov 23

24. Interim and Final Reports 1. Reporting requirements outlined in OGAN and are used to measure progress against the grant goals 2. Legislation, statute or federal award language may specify data that must be collected 3. Written report required annually at minimum per state grant policy (OGM) 4. Authorized Rep. is responsible for collection and filing/retention of interim and final reports. Grant Services maintains fiscal files. Please Note: If you are waiting for interim or final progress report information hold the payment until that is received. The state reserves the right to withhold payment for any reimbursement request deemed to be in question of being allowable, allocable and reasonable, or for which adequate supporting documentation does not exist. 9/16/2024 Leading for educational excellence and equity, every day for every one. | education.mn.gov 24

25. Legislative Reporting and Responding 1. Federal and State funding often includes an expectation for annual reporting. 2. Most federal programs require the program area to submit a five-year plan demonstrating stakeholder engagement and responsiveness. 3. The AR responds to proposed legislative budget and programmatic change requests at the state and federal levels. 4. The AR collaborates with MDE Government Relations staff as needed. 9/16/2024 Leading for educational excellence and equity, every day for every one. | education.mn.gov 25

26. Closeout 1. All Final reports shall be complete and approved prior to final payment. 2. Files must be maintained per record retention schedule (for grantee and for MDE). 3. Grant closeout evaluation addresses grantee performance (Did they comply with award terms and meet program goals? If grantee didn t utilize all funding appropriately, why?) May impact the programs funding level in the future. Routed by Grant Specialist to AR for signature. 4. Analyze fund cancellations after final payment, ensure the PO is closed, and the funds unencumbered. 9/16/2024 Leading for educational excellence and equity, every day for every one. | education.mn.gov 26

27. Best Practice Reminders/Resources Tracking spreadsheets Standard templates and written procedures Data management and filing structure Grants Management Team Missy Lorey, Grants Management Supervisor Bette Benson, RFP Coordinator 9/16/2024 Leading for educational excellence and equity, every day for every one. | education.mn.gov 27

28. Thank you! 9/16/2024 28