Procedure:     Grant Development and Administration
Department:      LCC Foundation
Contact:            Janet Anderson, 463-5803                   andersonj@lanecc.edu

In general, the responsibility for grant development and administration lies with the departmental unit obtaining the funds.  Grant staff with the LCC Foundation and in College Finance perform specific coordination, support, and monitoring roles.

This section describes:  Grant Review Process and Grant Development and Administration Responsibilities of the following people:

 Grant Developer
 Project Administrator
 Department Head
 Vice President
 President
 Foundation
 College Finance

Grant Review and Approval Process

The college grant review and approval process has been divided into two parts, a preliminary approval phase and a final approval phase.  This two-step process was adopted to ensure that the grant developer has the support of the college before beginning work and to streamline the review at the end of the process.  An overview of the college grant process and the grant review forms are available at http://www.lanecc.edu/foundation/grants/.  Questions can be directed to the grants coordinator with the LCC Foundation.

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Grant Development And Administration Responsibilities

Grant Developer (Person who develops the idea and writes the grant)

1. Identify need for funding, develop project idea and approximate budget, and identify appropriate funding sources (see Foundation).

2. Be familiar with the college grant process and both the college's and the funding source's fiscal and programmatic regulations as they pertain to the grant.

3. Complete and circulate Grant Review and Approval Form and file a copy with grants coordinator with the LCC Foundation.

At this time, review with department head and vice president issues related to indirect costs and college match, plus elements of the grant that have broader implications for the college, such as student FTE, facilities changes, impact on staff or programs outside the department, and obligations the college may incur beyond the period of the grant.

Involve project administrator in planning and grant preparation process if project administrator will be other than applicant.

4. Develop, write, and proofread proposal working with the grants coordinator with the LCC Foundation on overall content,  formatting and information about the college, with Funded Projects in College Finance on budget preparation, with Institutional Research, Assessment and Planning if evaluation component is required, with Facilities Management and Planning on facilities, and with Human Resources to set salary levels.

5. Make arrangements for a qualified person other than grant developer or writer to proofread final proposal.

6. Determine that any assurances or other policy statements required by the grantor are acceptable to the college (see Foundation).

7. Complete and circulate application package (Grant Review and Approval Form, one copy of final proposal, and one set of funding source guidelines) for final signatures.

8. Mail or deliver proposal on or before the deadline.

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Project Administrator (Person who administers the grant once received.  May be same as developer.)

During development of application, review college and grantor's policies and procedures and be confident project can be implemented successfully within timelines and budget.

After grant is received:

1. Upon award of the grant, notify grant staff with the LCC Foundation and Funded Projects in College Finance;

2. Establish a budget consistent with award in Funded Projects in College Finance;

3. Administer grant, ensuring fiscal and programmatic compliance (see Fiscal Responsibilities of Funded Projects); and

4. Work with College Finance, evaluator, and others as applicable to satisfy requirements of the grant.

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Department Chair (or vice president when grant is broader than a department)

During development of application:

1. Ensure proposed project is consistent with department/unit goals and of sufficient priority to justify staff time to write and implement;

2. During preliminary approval, review with vice president any elements of the grant that have broader implications for the college, including student FTE, facilities changes, direct or indirect impacts on the staffing or programs of other departments, any obligations the college may incur beyond the period of the grant, required college match, availability of indirect cost recovery; and

3. Ensure application presents a clear and concise case with reasonable timelines and budgets, has been reviewed for grammar and consistency, and proofread for errors prior to routing for approval.

After grant is received, provide overall supervision of grant administration, both fiscal and programmatic.

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Vice President

During development of application:

1. Ensure proposed project is consistent with division and college goals and of sufficient priority to justify application and implementation;

2. During preliminary approval, review with the president any elements of the grant that have broader implications for the college, including student FTE, facilities changes, direct or indirect impacts on the staffing or programs of other departments, any obligations the college may incur beyond the period of the grant;

3. Identify source of required matching funds and ensure that the proposal provides for an amount of indirect costs consistent with grantor and college policies and college strategy;

4. Ensure arrangements have been made for facilities changes or any elements of the proposal that would affect staff outside the division;

5. Ensure project administrator is qualified and trained to administrate the grant; and

6. Ensure both the content and appearance of the application makes the case and reflects well on the college.

After grant is received, provide overall supervision of grant administration, both fiscal and programmatic.

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President

1. Confirm that project is consistent with college goals and priorities and a good use of college resources.

2. Provide cover letter or board support where desired or required.

3. Route all grant notifications, correspondence, and other materials to the grants coordinator with the LCC Foundation to keep or dispense as appropriate.

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Foundation

During development of application:

1. Serve as a clearinghouse for information, collecting and disseminating information about funding sources, deadlines, college applications, and award notifications;

2. Maintain grant library and/or web page with information about funding sources and assist in identifying funding sources and deadlines;

3. Advise on college grant process, development of application strategy, and effective grant writing;

4. Provide information about the college needed by grant developer;

5. Provide assistance with such technical details as external assurances, tax exempt status, single point of contact issues;

6. Review format and narrative about the college;

7. Provide editing and writing services, as appropriate;

8. Facilitate grant development teams, as appropriate; and

9. Maintain a log and files of college applications and make samples available to grant developers.

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College Finance

During development of application:

1. Work with grant developer during proposal development to advise on adequacy of budget for work to be done;

2. Review final proposal budget to ensure it sets forth expenditures by object code consistent with college accounting system and is mathematically accurate (that it foots and that internal computations, i.e., payroll, fixed costs, indirect costs are correct);

3. Review stated college match (cash and/or in-kind) to determine that it meets granting agency's requirements and that college can properly document such match;

4. Review the granting agency's written fiscal regulations, policies and procedures to determine that the college will be able to comply;

5. Determine that all dollar amounts appearing in the text of the proposal agree with the budget; and

6. Maintain official college file for pending applications, discarding unfunded applications.

After grant is received:

1. Provide fiscal support services to grant administrator; and

2. Maintain official college file for each grant until project is completed; send files to Archives at end of project.

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Fiscal Responsibilities of Funded Projects

Grant Administrator's Responsibilities

1. The departmental grant administrator has primary responsibility, both programmatic and fiscal, for complying with all terms and conditions of the grant.   For this reason it is essential that the administrator obtain and become thoroughly familiar with all of the granting agency's written policies, procedures, and regulations.  The grant administrator must also comply with all of the college's policies and administrative procedures.

2. The college's approval process differs depending upon whether the proposal is in the form of a contract versus a grant.  A contract is a legal instrument whose principal purpose is the acquisition of property or services for the direct benefit of the party paying consideration.  A grant is a legal instrument whose principal purpose is the transfer of money, property, services or anything of value for the principal benefit of the grantee, or to accomplish a public purpose.

3. Upon award of a grant, the administrator shall immediately furnish to College Finance, Funded Projects Accounting area (hereinafter "Funded Projects") an original, executed award document which will be placed in the official files of the college.

4. The administrator shall promptly submit to Funded Projects a Budget Change Request Form (BCR) prepared in accordance with the approved budget contained in the grant award.  Until this is done account numbers cannot be set up and no grant funds can be expended.  Grant expenditures are NOT to be charged to other accounts in the interim.

5. If, during the grant period, it becomes necessary to change the budget, the grant administrator shall obtain written permission from the granting agency (if required by the grant conditions) explicitly stating the revised budget amounts by category.  This authorization shall accompany any subsequent BCR form submitted to Funded Projects to modify the budget.

6. During the grant period the administrator shall review each monthly Departmental Expenditure Report (DER) to ensure that all charged expenses are proper in accordance with the grant's terms and the college's policies.  If improper expenditures are detected, or proper expenditures coded to an incorrect account, the administrator shall promptly submit an Inter-Campus Order (ICO), together with a copy of documentation showing where the expenditure should properly be charged, to Funded Projects so that the expenditure can be reclassified.  After the grant period has expired, the administrator shall continue to review all Departmental Expenditure Reports received through the end of the fiscal year to ensure that no additional expenditures are charged to that grant.

7. If the grant requires cash match, the administrator shall provide an ICO to Funded Projects to authorize transferring the revenue from the college department which is providing this match to the grant on a timely basis and in accordance with the grantor's terms and conditions.  If the grant requires any in-kind match (other than our federally negotiated rate for indirect costs), the administrator shall maintain documentation for this match, copies of which shall be reported to Funded Projects on a quarterly basis.

8. By making prior arrangements with Funded Projects, on a timely basis, the administrator may exercise the right to review all interim fiscal reports prepared by Funded Projects prior to their submission to the granting agency.  For those grants which require the administrator's signature (in addition to that of a fiscal officer) on fiscal reports, the administrator shall be available to sign these on a timely basis.  For those grants which require that final programmatic and fiscal reports be submitted together, the administrator shall contact Funded Projects in a timely manner to coordinate the submission of the reports.

The final fiscal report shall be reviewed by the grant administrator and approval thereof so noted by signing a certification statement which states:  "I have reviewed the final fiscal report.  I agree that it is accurate and complete, and that all amounts reported therein pertain to this grant, which I have administered in accordance with the granting agency's and the college's written policies, procedures, and regulations."

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College Finance Responsibilities

1. During the proposal development and final review stages, Funded Projects shall review the budget for mathematical accuracy, internally dependent computations, adequate amounts in view of the proposed project and appropriateness of indirect costs.

2. Upon receipt of the official notice of grant award, Funded Projects shall establish a file which will be the official college repository of all fiscal information pertaining to the grant.  A copy of the original award will be placed in this file; the original will be sent to archives.  In addition to containing all the fiscal data generated during the grant period, upon which fiscal reports are based, this file will contain all written correspondence of a fiscal nature with the grant administrator and granting agency, and documentation of verbal communications.  The file is retained for five years and must stand alone in the event of an audit.  Consequently, any documentation that the grant administrator desires to be permanently retained should be transmitted to Funded Projects.

3. Funded Projects reviews the initial Budget Change Request received from the grant administrator to ensure that the budget agrees with the original proposal and checks that the proper account numbers are set up.  Funded Projects takes steps to ensure that Departmental Expenditure Reports will be routed properly to the correct grant administrator.

4. If subsequent Budget Change Requests are received, Funded Projects first ascertains that the administrator has obtained written permission from the granting agency to revise the budget. The Budget Change Request is then reviewed for mathematical accuracy and internally dependent computations.

5. Funded Projects serves in a secondary review capacity to the grant administrator in monitoring the propriety of grant expenditures in the monthly Departmental Expenditure Reports.  Funded Projects reviews these accounting records to detect obvious errors of account codings, improper personnel expenditures and expenditures in expired grants. Funded Projects does not serve in an internal auditing capacity.  Whenever apparent errors are detected the grant administrator is contacted for guidance or clarification.  Inter Campus Orders to reclassify improper expenditures may be requested.

6. For all grant administrators, but especially for those who have little experience in this field, Funded Projects serves as a resource area.  Funded Projects personnel can assist administrators in learning the most expeditious methods to get fiscal action within the college system.  It is the responsibility of Funded Projects staff to assist the appropriate vice president and staff in training grant administrators in fiscal procedures.

7. Funded Projects prepares and submits all fiscal reports required by the granting agency based upon the accounting data contained in the Departmental Expenditure Reports.  It prepares any interim and final billings to the granting agency that are required for the college to obtain authorized grant funds and ensures that those funds are received.

8. In the event of a fiscal audit of a grant, Funded Projects provides documentation to substantiate expenditures claimed and works with the auditor and the grant administrator to resolve any questioned costs or adverse fiscal findings.

9. In the event that the grant administrator does not exercise primary responsibility for, and is not administering the grant in accordance with the granting agency's or the college's written policies, procedures, and regulations, the director of College Finance shall take action to limit the college's potential liability.

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