E-900.4 Grant Implementation

IMPLEMENTATION AND MANAGING GRANTS

This procedure outlines the process by which grants are implemented at the College, including the responsibilities of the Grants Office (GO), Business Office, and the Project Team. Grant implementation begins after the award is made. It includes managing the projects and activities required to meet the grant funding goals as approved in the grant proposal (Grant Project).

It is important to note that most Grant Projects have publicity requirements, including Wisconsin Technical College System (WTCS) grants and, particularly, federal grants. Please do not contact anyone about grant award publicity until the GO has coordinated the announcement with the funder and Marketing and Communications.

The Project Team consists of all personnel identified within the Grant Project, including the Grant Project Manager (GPM). The GPM, referred to as the Principal Investigator on federal grants, is responsible for managing all activities to achieve the objectives of the Grant Project. The GPM should ensure that their immediate supervisor and the Project Team understand their roles, goals, and activities.

The GPM and GO are expected to know the Grant Project by:

• Reviewing key documents, including the proposal, the budget, the award letter, the authorizing legislation, and any related guidance.

• Understanding the grant goals, objectives, activities, and any deliverable products that are required, being particularly familiar with any scope of work or work plan document.

The Grant Award Notification, typically associated with federal grants, has been interpreted by case precedent to carry the legal weight of a contract. Any cost or activity listed in the grant must be incurred, and generally, any activity not in the grant cannot be paid for with grant funds. Any deviation from the work plan usually requires a revision and must be approved in advance by the GO and then by the funding source.

The GPM will meet periodically with the GO and Business Office to track outcome attainment and expenditures. The GO documents these meetings. Please get in touch with the GO before contacting a funding agency. All communication with funding agencies must be documented and copied to the GO. Any Memorandum of Understanding (MOU), Letter of

Agreement, subaward, or subcontract of any kind requires consultation with the Business Office, GO, the President, and any other parties that may be affected.

RESPONSIBILITIES OF GO

The GO is responsible for grant implementation and management, which involves a wide range of post-award activities, including monitoring compliance with funding agency requirements and working with the GPM and the Business Office to effectively spend down grant awards while meeting or exceeding grant goals and measurable objectives. For post-award management, the GO provides overall fiscal and grant oversight through a series of communicative processes and procedures.

Upon receiving a grant award (WTCS March Board Meeting Agenda for competitive grants or official award notifications/documents from Federal/Foundations), the GO sends an email notification to the Business Office, GPM, and other key project stakeholders. Other responsibilities for the GO include:

• Coordinate any publicity (press releases) with Marketing and Communications.

• Update the Grants Teams Folder with newly awarded grants, and keep all pertinent information outlined below in the Grants Teams Folder.

• Review key documents, including the proposal, the budget, the award letter, and any other related guidance.

• Understand the grant goals, objectives, activities, and any deliverable products that are required, being particularly familiar with any scope of work or work plan document.

• Schedule a kickoff meeting in coordination with GPM and the Project Team.

• Schedule Time/Effort training with new grant-funded personnel.

• Submit WTCS revisions into the Apply Portal; work collaboratively with funders/grantors on Federal/Foundation grant revisions and submit revisions accordingly. Refer to the grant revision process below.

• Adhere to the reporting schedule as set forth by funders.

RESPONSIBILITIES OF THE BUSINESS OFFICE

The Business Office is responsible for grant financial management activities and serves as the contact for the GO and GPM. The Business Office provides guidance on grant budgets through establishing and maintaining a current grant status report. They track grants awarded by establishing the appropriate budget in Banner and providing system access to the GPM. The Business Office also reviews grant documentation to ensure the Grant Project is on track and within budget restrictions.

The Business Office assists the GPM with the preparation and submission of grant budget revisions as necessary and processes approved revisions in Banner. The Business Office is responsible for any college-level budget modifications, as required, while also facilitating the timely reporting of financial expenditures and requests for reimbursement to the appropriate funding agency, tracking receipt, and processing of payments. In addition, the Business Office completes monthly, quarterly, and fiscal-year-end reconciliations of grant fund awards with revenues and expenditures. Other responsibilities for the Business Office include:

• Review Grant Funded Personnel Percentage Spreadsheet.

• Create Time/Effort Forms.

• Inform GO of grant fiscal challenges/issues.

• Work with GPM and GO on Budget Revisions/Modifications.

• Create the Monthly Spending Update spreadsheet.

RESPONSIBILITIES OF GRANT PROJECT MANAGER (GPM)

The GPM is the staff or faculty lead on a grant, assigned pre-award during the grant development and submission process. This position is crucial in the daily management of the Grant Project. The GPM must understand all the requirements of a grant award to ensure compliance throughout the grant's duration. The GPM must review key documents, including the proposal, the budget, the award letter, and any related guidance. The GPM must understand the grant goals, objectives, activities, and any required deliverable products, and be particularly familiar with any scope of work or work plan document. The GPM is responsible for the financial management of the grant and for notifying the Business Office and GO of budgetary challenges arising from labor or non-labor spending. The GPM must ensure that their immediate supervisor and the Project Team understand their roles, goals, and activities. Other responsibilities include:

• Provide the GO with a list of key stakeholders/grant-funded personnel if it differs from the grant proposal.

• Work with GO to schedule a kick-off meeting a month before the grant start date.

• Work with HR and supervisors to hire appropriate new staff and/or realign existing positions consistent with grant activities.

• Review and approve expenditure of grant funds.

• Communicate modifications to the grant budget with the Business Office and GO to ensure proper use of funds and documentation.

• Review and submit accurate Project Team Time/Effort forms by the 15^th of the month.

• Review data relevant to the Grant Project to track progress toward measurable objectives and prepare grant reports.

• Ensure grant participants (i.e., students receiving support through the grant) are tracked, and relevant participant data is uploaded accurately in Banner for Client Reporting purposes.

• Request data from OIRE to analyze grant outcomes.  

• Adhere to the grant reporting schedule as outlined by the GO.

MANAGING GRANT PROJECT

The GPM is expected to use the available project tools (GANTT Charts, budget software, etc.) to manage the Project Team and Grant Project, as detailed in the approved grant proposal, to meet the established goals and objectives. A typical Grant Project includes a project plan, timeline, activities, Project Team, and a corresponding budget for the funds the Project Team will use to accomplish the activities within the established timeline, meeting or exceeding the goals and objectives outlined in the project plan. Fundamental project management training is available in the employee learning management system. Please refer to the appropriate training modules to ensure the plan-do-act-check cycle is followed.

Grant Kick-off

A scheduled kickoff meeting for all individually awarded grants will be held as needed. The kick-off meeting will include all project stakeholders, including the GPM, GO, and Project Team. The kick-off meeting must occur between two (2) weeks and one (1) week before the grant start date. The kick-off meeting will include a discussion on the project plan, timeline, activities, Project Team responsibilities, and the budget. The meeting will consist of information on the use of grant/financial tools to help the GPM effectively and efficiently manage the Grant Project. These tools include Banner, Cognos Reports, Monthly Spending Updates, etc.

Monitoring and Evaluation

The plan-do-act-check cycle ensures regular monitoring to assess the Grant Project's progress against predetermined timelines and targets. The GPM must continually evaluate whether the Grant Project is achieving its objectives, staying on track, and utilizing funds efficiently and effectively. If challenges arise, adjustments may be necessary.

Accurate and timely reporting is crucial to the grantors and the grantee organization to measure the impact of the grant and ensure accountability. The GO and GPM must be informed of the reporting requirements and meet all reporting deadlines. The GO will be apprised of any reporting requirements, maintain records of all reports, and be notified of the location of all statistical and client records.

For WTCS grants, reporting is done two times a year, with reports due to WTCS by February 15^th (mid-year report) and November 1^st (final report). The GO will save report templates in the appropriate Grants Teams Folder and send an email to the GPM three (3) weeks before the internal GO due date, which is two (2) weeks before the official WTCS due date. The GO will provide GPM updates on WTCS data availability relevant to the grant reporting deadlines (e.g., the Perkins Dashboard).

Grant Revision and/or Modification

As the Grant Project progresses through the funding period, there may be instances when a grant revision or modification is necessary. The revisions/modifications may require changes to grant objectives, activities, and/or the budget. The GPM will work with the GO to discuss the need for a revision. The GPM will ensure that all supervisors and personnel affected by the change are consulted and agree to the revision/modification before it is submitted. Once agreement is reached, the GPM will work with the GO to submit the grant revisions/modifications to the funder. It is important to note that grant revisions/modifications must be approved by the funder before any changes to grant objectives, activities, or the budget are authorized. This means that expenditures for unauthorized activities or purchases incurred before the grant revision/modification is approved are not eligible for reimbursement.

For federal and foundation grants, this process may take on different iterations, depending on the grant guidelines. If a revision/modification is needed for these grants, the GO will determine the process required by the funder and work with GPM to submit the grant revision/modification.

For WTCS grants, the College must follow a defined process. The GO will not accept revisions after April 30^th of the fiscal year, unless in alignment with WTCS rules and regulations.

WTCS Grant Revision Process

1. After getting agreement from all supervisors and impacted personnel, the GPM requests revision from GO (1 month out - 30 days out)

   1. GPM initiates a revision request via email/phone call to GO.

   2. If needed, GPM will set up a meeting with the Project Team and GO to discuss the requested revision.

   3. GO will create the first entry into the revision tracking spreadsheet. The GO will maintain a tracking spreadsheet to guide the revision process. The revision tracking spreadsheet will be housed in the Grants Teams Folder, General Channel.

2. If needed, GO communicates with WTCS for clarification (25 days out)

   1. Should questions arise from the GPM revision meeting, GO will email WTCS for clarification on grant allowable expenses.

   2. Upon receiving the requested clarification from WTCS, the GO will email the information to GPM for further direction.

   3. If needed, the GPM will set up additional meetings to discuss grant revision/modification.

3. Once the grant revision/modification concept is finalized, GO gets budget information from the Business Office (23 days out)

   1. Grant revisions/modifications require the involvement of the Business Office due to the complexity of salary/fringe dollars and the movement of such funds to other categories.

   2. The GO will communicate with the Business Office to confirm accounting approval for the revision/reallocation of dollars before moving to Step 4.

4. GO submits email to WTCS for approval (19 days out)

   1. Once the grant revision/modification is approved by GO, GPM, and Business Office, the GO will email WTCS for approval.

   2. If approved by WTCS, WTCS will open the application portal, and GO will move to Step 6.

   3. If WTCS has any concerns or requires additional information, move to Step 5.

5. GO works with GPM on any changes to the revision needed (14 days out)

   1. The GO will notify GPM via email that WTCS is requesting changes to the grant revision/modification.

   2. The GO would set up another meeting if issues presented require more discussion.

   3. Once a revised draft of the revisions is agreed upon by GO, GPM, and Business Office, move to Step 4.

6. GO enters data into the Apply Portal (7 days out).

7. WTCS should provide a revision approval award letter within 7-14 days of submission of the revision in the apply portal. Funds cannot be spent on new initiatives until an award letter is received and the budget is updated in Banner.

8. GO will notify the GPM when the award letter is received, and the funds are available in Banner.

Final Closeout

Final reports typically include a detailed description of the work performed, progress made, suggestions for future areas of need or involvement, and any related publications that resulted from the grant activity. Failure to submit the final report promptly may jeopardize subsequent funding. The GO will assist in preparing, submitting, and filing reports. Before submission of the final report, the GPM and GO will:

• Ensure the Project Team has a complete record of Time/Effort submissions for the full grant funding period. If records are missing, the GPM works with the Project Team to ensure they are submitted.

• Ensure all goods and services are purchased, received, and an approved invoice is sent to the Business Office before the end of the grant. All items purchased with grant funds for more than $1,000 must be inventoried and appropriately documented. If any goods are liquidated, each funding source has rules governing the liquidation of items purchased with grant funds.

• Review grant documents, personnel records, purchase orders and requisitions, student/client/participant records, and budget records, including necessary documentation for changes. These records will be maintained in accordance with internal records retention policy, grant requirements, project-specific data management plans, and uniform administrative requirements.

DEFINITIONS

GO: Grants Office.

Grant Project Manager (GPM): The GPM, referred to as the Principal Investigator on federal grants, is responsible for managing all activities to achieve the objectives of the Grant Project.

MOU: Memorandum of Understanding.