Grants Management Policies, Statutes and Forms

New Policies

Policy 08-04: Grant Contract Agreement and Grant Award Notification Effective Date April 1, 2024
Policy 08-12: Grant Amendments Effective Date April 1, 2024
Policy 08-13: Evaluating Grantee Performance Effective Date April 1, 2024
Policy 08-06 Pre-Award Risk Assessment - Effective Date January 15, 2024 
Click on 16B.981 Toolkit tab above for templates and training materials for state agencies to implement Policy 08-06

Current Policies

• Policy 08-01: Grants Conflict of Interest 
  Minnesota state agencies must work to deliberately avoid both actual and potential conflicts of interest related to grant-making at both the individual and organizational levels. When a conflict of interest concerning state grant-making exists, transparency shall be the guiding principle in addressing it. Related: Grants COI Disclosure Form for Executive Branch Employees and Grants COI Disclosure Form for non-executive branch grant reviewers (For use with all competitive grant processes as of January 2022).
• Policy 08-02: Rating Criteria for Competitive Grant Review (rev. September 2017)
  It is the policy of the State of Minnesota to ensure fairness, precision, equity and consistency in competitive grant awards including diversity and inclusion in grant-making. State competitive grant review processes shall be conducted using review criteria that are identified in the notice of grant opportunity or request for proposal and a standardized scoring system to rate each application against the chosen criteria.  Competitive grant review criteria and standardized scoring systems must include and identify how a state agency’s grant process will implement diversity in grant-making.
• Policy 08-03: Writing and Publicizing Grants Notices and RFPs (rev. September 2017)
  It is the policy of the State of Minnesota to include sufficient information in notices of grant opportunities and requests for proposal (RFPs) so that potential applicants may make informed decisions about applying for and managing state grants. It is also the policy of the State of Minnesota to publicize competitive grant opportunities broadly. Agencies should pursue additional methods and identify multiple ways to share grant request for proposals through existing and diverse networks and community relationships to provide clear instructions to potential applicants. 
• Policy 08-04 Grant Contract Agreement and Grant Award Notification Effective Date April 1, 2024
  Minnesota state agencies must use a written grant contract agreement or grant application with a corresponding grant award notification for all grants made by the agency. Grant contract agreements must conform to Minnesota Statute 16B.98 subd. 5, Creation and Validity of Grant Agreements, including approval by the commissioner of the Department of Administration.
• Policy 08-05: Public Comments Concerning Fraud and Waste in State Grants (PDF)
  As directed by the Commissioner of Administration, the Office of Grants Management (OGM) will serve as the central point of contact for questions and comments about fraud and waste in state grants and about the violation of statewide grants policies. The OGM will also respond to other public questions and concerns about state grants.
• Policy 08-06 Pre-Award Risk Assessment - Effective Date January 15, 2024   *Please click on 16B.981 Toolkit tab for templates and training materials.
  To protect the interests of the State, it is the policy of the State of Minnesota to complete a pre-award risk assessment before making a grant subject to Minn. Stat. §§ 16B.97 and 16B.98 of $50,000 or more to a potential grantee to assess the risk that they cannot or would not perform the required duties specified in the grant contract agreement.
• Policy 08-07: Single and Sole Source Grants (PDF)
  It is the policy of the State of Minnesota that grants are to be competitively awarded as much as possible. Single and sole source grants are to be used when only one entity is reasonably able to meet a grant's intended purpose and objectives, due to their geographic location, specialized knowledge, relationships or specialized equipment. Related: Grant Single Source Justification Form (Microsoft Word)
• Policy 08-08: Grant Payments (rev FY21) (PDF)
  State agencies shall specify the method and schedule of payments for each grant in the grant agreement. Grant payments may not be issued until the funds are encumbered and the grant agreement is fully executed. Reimbursement is the preferred method for making grant payments.
• Policy 08-09: Grant Progress Reports (PDF)
  It is the policy of the State of Minnesota to monitor progress on state grants by requiring grantees to submit written progress reports at least annually until all grant funds have been expended and all of the terms in the grant agreement have been met. Grant payments shall not be made on grants with past due progress reports unless the state agency has given the grantee a written extension.
• Policy 08-10: Grant Monitoring (rev. 2016) (PDF)
  It is the policy of the State of Minnesota to conduct at least one monitoring visit per grant period on all state grants of over $50,000 and to conduct at least annual monitoring visits on grants of over $250,000. State agencies must also conduct a financial reconciliation of grantees' expenditures at least once during the grant period on grants of over $50,000.
• Policy 08-11: Legislatively Mandated Grants (PDF)
  It is the policy of the State of Minnesota to manage legislatively mandated grants with the same level of oversight applied to other state grants, while respecting and maintaining the legislative intent. Legislatively made grants shall be monitored using the same standards applied to other types of state grants. In situations in which the purpose and amount of a grant is stated in law, but the grantee organization is not stated, state agencies must use either a single/sole source or competitive process to select the grantee.
• Policy 08-12: Grant Amendments Effective Date April 1, 2024
  It is the policy of the State of Minnesota to document changes to a grant contract agreement or grant award notification using a fully executed grant contract agreement amendment.  
• Policy 08-13: Evaluating Grantee Performance Effective Date April 1, 2024
  It is the policy of the State of Minnesota to consider a grant applicant's past performance before awarding subsequent grants to them. State agencies must consider a grant applicant’s performance on prior grants from that agency before making a new grant award.
• Grants COI Disclosure Form for Executive Branch Employees (January 2022)
• Grants COI Disclosure Form for non-executive branch grant reviewers (January 2022)
• Policy Change Chart FY18 Diversity and Inclusion policy revisions Updated April 2024
• FY18 Diversity and Inclusion in Grant Administration Policy Revision FAQs updated April 2024

Grant-Making Laws

• Minnesota Statute 16B.97-Grants Management
• Minnesota Statute 16B.98-Grants Management Process
• Minnesota Statute 16A15-Accounting System; Allotment and Encumbrance
• Minnesota Statute 16B.981 -FINANCIAL REVIEW OF GRANT AND BUSINESS SUBSIDY RECIPIENTS
• Minnesota Statute 16B.991 Termination of Grant
• Minnesota Statute 15.994-Internet Grant Information
• Minnesota Statute 13.599-Grants
• Minnesota Statute 43A.38-Code of Ethics for Employees in the Executive Branch
• Minnesota Statute 10A.07-Conflict of Interest
• Minnesota Statute 15.43-Acceptance of Advantage by State Employee; Penalty
• Minnesota Statute 116L.66-Jobs Registration
• Minnesota Statute 201.162-Voter Registration
• Minnesota Statute 270C.65-Taxpayer ID Number
• Minnesota Statute 412.201-Statutory Cities Authority
• Minnesota Statute 471.87-Public Officers, Interest in Contract; Penalty

Forms and FAQs

The following forms are used regularly in grants management:

Please note: All capital projects financed by Laws 2014, Ch. 295 should utilize the process and grant agreement forms provided by Minnesota Management and Budget here: mn.gov/mmb/treasury-bonding/capital-projects.

Grant Contract Agreements

• These grant contract agreement templates meet the minimum requirements for executive branch granting agencies for broad compliance with Minn. Stat. §16B.97 and Minn. Stat. §16B.98. 
  •    Enterprise grant-makers must ensure that all grant contract agreements they execute meet the minimum requirements these templates provide. 
• Understanding that grant programs and specific grant appropriations can contain unique requirements, granting agencies may need to add terms and conditions to grant contract agreements which is within their authority per Minn. Stat. §16B.98 Subd. 6.  Agencies are strongly encouraged to reach out to OGM and legal counsel (e.g. agency general counsel or attorney general’s office) if/when considering removing or substantially altering any of the template language.

    Municipalities

• Municipal Grant Contract Agreement (Microsoft Word) This is the standard template for grant contract agreements with municipalities based on a competitive grant process, a single/sole source grant process, or a formula grant process.  This standard template can also be used for MNSCU entities. (Updated July 2024)
• Legislatively-Named Grant Contract Agreement for Municipalities (Microsoft Word) This is the standard template for grant contract agreements with municipalities when they are legislatively-named and the granting agency chooses to use the encumbrance exception referenced in Minn.Stat.§16B.98, Subd. 11.  This standard template can also be used for MNSCU entities.  (Updated July 2024)

    Non-Governmental Organizations

• Competitive Grant Contract Agreement for Non-Governmental Organizations (Microsoft Word) This form can be used for grant contract agreements with nongovernmental organizations including nonprofit entities, for-profit entities, etc. based on a competitive grant process. (Updated July 2024)
• Grant Agreement for Non-Governmental Organizations Single Sole Source or Formula (Microsoft Word) This form can be used for grant contract agreements with nongovernmental organizations including nonprofit entities, for-profit entities, etc . based on a single/sole source grant process or formula grant process. (Updated July 2024)
• Legislatively-Named Grant Contract Agreement for Non-Governmental Organizations (Microsoft Word)  This form can be used for grant contract agreements with nongovernmental organizations including nonprofit entities, for-profit entities, etc. when they are legislatively-named and the granting agency chooses to use the encumbrance exception referenced in Minn.Stat.§16B.98, Subd. 11. (Updated July 2024)

    University of Minnesota

• U of M Grant Contract Agreement (Microsoft Word) This is the standard form for grant contract agreements with the U of M for any grant type. (Updated July 2024)

    Individuals

• Grant Contract Agreement for Individuals (Microsoft Word) This is the standard form for grant contract agreements with individuals for any grant type. (Updated July 2024)
  
  

Forms

• Grant Award Notice Process Overview March 2023 (Microsoft Word)
• Sample Grant Instructions for Grant Application with corresponding Grant Award Notice (October 2023)
• Sample Grant Application with Assurances (July 2024)
• Budget Document (Microsoft Excel)
• Sample Grant Award Notice Template July 2024 (Microsoft Word)
• Initial Grantee Communication Letter Sample Template for use with Grant Award Notice process as defined in 08-04 (Updated October 2023)
• Grant Award Amendment (Microsoft Word). Sample Template for use with Grant Award Notice process as defined in 08-04.  

• Grant Single Source Justification Form (Microsoft Word)  This form should be completed for all single and sole source grants.
• Grant Amendment (Microsoft Word) This is the standard from for amendments to grant contract agreements. (Updated June 2020)
• Grants COI Disclosure Form for Executive Branch Employees - For all competitive grant review processes taking place as of 1/1/22. 
• Grants COI Disclosure Form for Nonexecutive Branch Grant Reviewers - For all competitive grant review processes taking place as of 1/1/22. 
• Grant Program Exception Request Form (Microsoft Forms) Grant programs should use this form to request an exemption from a Department of Administration grants policy. 
• Exception Request Approval Rubric (Microsoft Word) This is an Internal Admin routing document used for grant program exception request approval.
  
• *Approved Grant Program Exception Requests (Microsoft Excel).

Sample Templates, FAQs, and Tip Sheets

• Grant Request for Proposal Sample Template for Grants 50K and higher October 2023 - This can assist state enterprise grant-makers with publishing a competitive grant request for proposal for grants 50K and higher (Updated October 2023)
• Grant Request for Proposal Sample Template for Grants $5,000-$49,999 October 2023 - This can assist state enterprise grant-makers with publishing a competitive grant request for proposal for grants $5,000 - $49,999 (Updated October 2023)
• Exhibit C Capacity Responses - For use with issuing Grants 50K and higher
• Exhibit D Certification - For use with issuing Grants 50K and higher
• Exhibit E Evidence of Good Standing - For use with issuing Grants 50K and higher
• Exhibit F Nonprofit grantee documents as applicable - For use with issuing Grants 50K and higher
• Exhibit G For-Profit Certification Disclosure and Required Documents - For use with issuing Grants 50K and higher
• Grant Request for Proposal Timeline This provides a broad timeline of the grant request for proposal process steps (updated January 2024). 
• Sample Grant Evaluation Template  This is a supporting document for scoring a grant application and including in the grant request for proposal. 
  
• Grant Work Plan and Budget This is a supporting document for a grant application. 
• Affidavit of Noncollusion This is an optional document for a competitive grant application.  
  
• Affidavit for Individuals Entering into a State Grant Agreement This is a supporting document for a grant application to individuals. 
• Grant Financial Reconciliation and Record Retention FAQ's This tip sheet provides answers to FAQ's on reconciliation and record retention.
• Guiding Principles on Collaboration and/or Collusion for Competitive Grants This tip sheet provides guiding principles on collaboration and/or collusion for Competitive Grants.

16B.981 Toolkit

Related Templates and Tip Sheets

Content Overview for 16B.981 Includes a brief workflow, description of templates and documents, as well as an FAQ about 16B.981

Preaward Risk Assessment Checklist – Competitive Grantee This checklist is to be used to complete the preaward risk assessment for a potential competitive grantee. This checklist notes which, if any, other documents are to be completed as part of the risk assessment.

Sample Agency Communication Letters for Competitive Grantee This document contains sample letters that agencies may use for communicating requirements and results of the preaward risk assessment and awarding decisions to a potential grantee chosen through a competitive grant process.

Preaward Risk Assessment Checklist – Legislatively Named Grantee This checklist is to be used to complete the preaward risk assessment for a potential legislatively named grantee. This checklist notes which, if any, other documents are to be completed as part of the risk assessment.

Sample Agency Communication Letters for Legislatively Named Grantee This document contains sample letters that agencies may use for communicating requirements and results of the preaward risk assessment and awarding decisions to a potential grantee that is legislatively named.

Preaward Risk Assessment Checklist – Single/Sole Source Grantee This checklist is to be used to complete the preaward risk assessment for a potential single or sole source grantee. This checklist notes which, if any, other documents are to be completed as part of the risk assessment.

Sample Agency Communication Letters for Single/Sole Source Grantee This document contains sample letters that agencies may use for communicating requirements and results of the preaward risk assessment and awarding decisions to a potential grantee chosen through a single or sole source grant process.

Preaward Risk Assessment Questionnaire for Legislatively Named and Single/Sole Source Grantees This questionnaire, for potential legislatively named or single or source grantees, is to be filled out by the potential grantee to collect information and additional documentation to meet the requirements of the statute.

• Financial Review Form - Nonprofit (Excel) This form is an excel version of the above.
• Financial Review Form - Nonprofit Multiyear (Excel) This form is a multiyear excel version of the above.

Financial Review Form – For-Profit The form is used to review financial statements for a potential for-profit grantee.

Risk Plan Template The template is to use to work with the potential grantee in developing a plan to address significant risks identified in the preaward risk assessment.

Tip Sheet – Internal Controls This tip sheet provides guidance on looking at a potential grantee’s internal controls.

Tip Sheet – Additional Oversight and Requirements This tip sheet provides suggestions for additional oversight or requirements to include in a risk plan that address common risks that might be found in the preaward risk assessment.

Flowcharts for MS 16B.981 Grant Processes These flowcharts for the different grant processes provide general timelines and link to some of the Office of Grants Management (OGM) template documents that may be used for agencies to fulfill the minimum requirements of Minnesota Statute 16B.981. Use of the template documents is optional; if your agency uses them, be sure to read all instructions to understand the details of each step in the process and whether additional template documents may be needed.

16B.981 Training Videos and Slide Decks

• Overview of Statute  
  • Overview of Statute slide deck with presenter notes (PDF)
• Overview of Competitive Grant Requirements 
  • Overview of Competitive Grant Requirements slide deck with presenter notes (PDF)
• Overview of Single/Sole Source Grant Requirements
  • Overview of Single/Sole Source Grant Requirements slide deck with presenter notes (PDF)
• Overview of Legislatively Named Grant Requirements
  • Overview of Legislatively Named Grant Requirements slide deck with presenter notes (PDF)
• Overview of Risk Assessment Checklist
  • Overview of Risk Assessment Checklist slide deck with presenter notes (PDF)
• Overview of Financial Review Form
  • Overview of Financial Review Form slide deck with presenter notes (PDF)
• Overview of Risk Plan and Tip Sheets
  • Overview of Risk Plan and Tip Sheets slide deck with presenter notes (PDF)

Grantee Evaluation

Grantee Evaluation

Upload a grantee evaluation

Follow this link to log into the OSP system and upload a grantee evaluation per policy 08-13. Please contact Sarah Erickson, sarah.kate.erickson@state.mn.us, to request uploader status for your agency or grant program.