Related Policies and Guidelines

TBR Guideline G-030 Contracts 

NeSCC Policy 05:02:02 Grant Project Personnel

NeSCC Policy 04:10:02 Grant Administration

Federal and state government agencies (including the Tennessee Board of Regents), foundations, and other external funding agencies periodically offer institutions and organizations, who meet specified eligibility criteria, the opportunity to apply for grants to fund projects and initiatives that align with funding agency priorities. Externally-funded projects are sometimes called sponsored projects/programs.

Grants are restricted funds that are typically awarded on a competitive basis. Grant proposals are time-consuming to develop, make legal assurances on behalf of the institution, and bind the recipient to perform the project as described. Only the College President, or their designee(s), is authorized to approve and submit grant proposals on behalf of Northeast State Community College.

External funding enables the College to initiate, expand, and enhance education, workforce development, and student support programs beyond the limits of state funding and tuition revenue, creating opportunities for innovation and excellence. All grant proposals submitted on behalf of Northeast State Community College should be thoughtfully planned and should align with strategic priorities of the College and TBR. 

Purpose

The purpose of this policy is to establish a uniform and coordinated approach to grant development at Northeast State Community College, and to ensure that all external funding applications submitted on behalf of the College and/or the Northeast State Foundation:

• comply with applicable institutional, state, and federal policies and regulations, including but not limited to 2CFR200 (Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards), the National Science Foundation Proposal and Award Policies and Procedures Guide; and TBR Guideline G-030 (Contracts & Agreements);
• align with strategic priorities of the College;
• supplement (not supplant) College programs and services; and
• do not compromise institutional control.

Applicability

This policy defines the process to be followed by Northeast State Community College employees or contractors in the development of external funding proposals, and is applicable to all grant proposals, new and continuing. The Sponsored Programs & Strategic Initiatives Office is responsible for developing and distributing procedures to support this policy.

Role of the Office of Sponsored Programs & Strategic Initiatives

All federal, state, private, or external grant proposals/applications must be coordinated and submitted through the Office of Sponsored Programs & Strategic Initiatives in order to centralize monitoring of institutional resource commitments and administration.

Pre-Award responsibilities of the Office of Sponsored Programs & Strategic Initiatives include, but are not limited to:

• developing and maintaining a grant planning calendar;
• monitoring federal, state, local, and private grant competition forecasts and announcements;
• evaluating all potential grant opportunities for alignment with institutional priorities and strategic goals;
• facilitating the development of competitive proposal concepts;
• writing and/or editing proposal narratives;
• guiding the development of grant budgets; and
• overseeing/facilitating application submission. 

Unless otherwise directed by the President, the Sponsored Programs & Strategic Initiatives office functions as the designated college liaison with grant funding agencies and organizations and serves as the primary point of contact for all grant-related communications. 

Grant Research for Faculty/Staff Initiated Projects

Faculty and staff are encouraged to discuss project ideas with their immediate supervisor and/or supervising vice president to evaluate the merit of the project concept, the need for grant funds to support the project, and the project’s alignment with unit objectives and/or strategic priorities of the College. Project ideas determined to warrant further consideration should be documented on the Grant Research Request Form and submitted to the Sponsored Programs & Strategic Initiatives Office to initiate research and identification of potential funding sources. 

Preliminary Approval

Once a project has been matched to a potential funding source, college faculty and staff must complete a Preliminary Grant Approval Form and secure approval from their immediate supervisor or dean; the supervising vice president; the Director of Sponsored Programs & Strategic Initiatives; and the President before proposal development can begin. The Preliminary Grant Approval Form, with as much supporting detail as possible, should be circulated for signature using the College’s paperless workflow system whenever possible to minimize processing time. Proposal initiators must allow adequate time for this preliminary review prior to proposal development.

No additional signatories should be added to the Preliminary Grant Approval Form. If a supervising vice president should determine that approval is required from other individuals, they will coordinate a separate review and approval process within their division before the Preliminary Grant Approval Form is circulated for signatures.

Factors that may be considered during the preliminary approval process include but are not limited to:

• Alignment of project concept with strategic priorities of Northeast State and/or TBR;
• Capacity of the institution to prepare and submit a full and competitive application within the time available;
• Capacity of the institution to meet funding agency matching/cost-share requirements;
• Capacity of the institution to implement the project;
• Potential conflict with other fund development activities; and
• Potential cost to sustain the project beyond the grant period. 

During the preliminary review, the Sponsored Programs & Strategic Initiatives Office may also consider the degree of alignment between the project concept and funding agency priorities, institutional history with the funding agency, and/or likelihood of an award.

Grant Partnerships

Northeast State-Led Projects – If community partners are required by the funding agency, or if it is determined that partners are necessary to support project implementation, the Project Director is responsible for identifying potential partners as early as possible in the proposal development phase to ensure adequate time to negotiate roles and responsibilities and secure necessary documentation and commitments. The Sponsored Programs & Strategic Initiatives Office will facilitate negotiations with potential partners and develop any required partnership documents (letters of commitment, memoranda of understanding, etc.) in consultation with other departments as needed.

Projects Led by Other Institutions – If a faculty or staff member receives a request from another institution or organization to partner on a grant project, the employee receiving the request should complete and submit a Grant Partnership Pre-Approval Form, with sufficient detail to support a decision on the commitment of institutional resources. The immediate supervisor or supervising vice president, the Vice President for Institutional Advancement and Culture, and the President must approve the partnership before any letters of commitment or support, or other documentation of partnership, can be provided to the requesting organization. Only the President, or their designee(s), is authorized to commit College resources, including staff time, to a grant partnership.

Proposal Development

In most cases, the Sponsored Programs & Strategic Initiatives Office leads the proposal development process, developing a timeline for proposal development; convening proposal development teams as needed; ensuring all funding agency guidelines are met; guiding the development of grant narratives and budgets; and securing all necessary letters and documents from partners.

In some cases, College employees with sufficient grant-related experience and knowledge of funding agency guidelines may take a lead role in proposal development, with Sponsored Programs & Strategic Initiatives staff acting in an advisory capacity. At minimum, Sponsored Programs & Strategic Initiatives staff will provide guidance on the development of a competitive proposal and perform final review and editing for all external funding requests prior to submission.

Regardless of who leads the proposal development process, all units that could be impacted by a grant project should be consulted during proposal development.

Large-Scale, Complex, or Cross-Cutting Projects – For large-scale or complex projects cutting across multiple departments or divisions, Sponsored Programs & Strategic Initiatives staff may determine that a cross-functional proposal development team is warranted. Such teams are identified with the advice of appropriate vice presidents. With the guidance of Sponsored Programs & Strategic Initiatives staff, proposal development teams are responsible for identifying institutional resources, goals, strategies, and measurable objectives for the project, using a logic model, and for other proposal development activities as directed by the Sponsored Programs & Strategic Initiatives Office.

Renewals/Continuation Applications - In the event that the College has an opportunity to renew a grant from an existing funder, and the project has not substantially changed in size and scope, the Project Director may assume responsibility for the development and submission of the renewal application, with assistance from the Sponsored Programs & Strategic Initiatives Office. The Project Director is responsible for following all College policies and procedures in the development and submission of the proposal, and in filing a copy of the final application with the Sponsored Programs & Strategic Initiatives Office.

Assignment of a Project Director – For new projects, the role of Project Director (or Principal Investigator) is assigned in consultation with the dean or vice president overseeing the division or department with primary responsibility for implementing the grant project in the event of an award. Depending on the size and scope of the grant project, the role of Project Director may be assigned as an additional duty or through a realignment of duties. For large-scale projects, the grant budget may provide for a dedicated Project Director to be hired after an award is made.

The designated Project Director or Principal Investigator is responsible to the institution for completion of the funded project, compliance with the terms and conditions of the award (including reporting), budget management, and records management.

Additional compensation is only available for grant project directors in rare cases and is typically limited to large-scale or complex projects that require a substantial amount of time and attention. Any realignment of duties or additional compensation (i.e. stipends) must be approved by the supervising vice president and the President. (See NeSCC Policy 05:02:02 for information on the appropriate calculation of stipends, summer pay, and release time.) 

Budget Development – For grant proposals associated with the continuation or renewal of existing sponsored programs, the Project Director is responsible for preparing the proposal budget in consultation with their supervisor and in alignment with any guidelines or templates provided by the sponsoring agency. 

For grant proposals associated with new projects or programs, the budget should be developed in collaboration with the Sponsored Programs & Strategic Initiatives Office, the Grant Manager (Finance), the immediate supervisor/dean, and vice president, to ensure compliance with funding agency guidelines and College policies.

To the extent possible, grant budgets should be developed in accordance with standard cost categories in the College’s financial system. Special considerations for common budget categories are provided below.

1. Personnel– If the grant is intended to fund personnel of any kind, Human Resources must be consulted during the proposal development process to ensure accurate projections for salaries, wages, and fringe benefit costs. Care should be taken to account for anticipated salary increases or other adjustments that might occur during the grant period.
   
   Any faculty release time included in grant proposals must be approved by the supervising dean and the Vice President of Academic Affairs.
   
   Full or partial support for existing College staff in a grant proposal must be approved by the immediate supervisor and the supervising vice president prior to proposal submission. Budgeted costs for these positions must reflect actual costs as provided by Human Resources.
   
   If the grant is intended to fund new positions, a draft job description or list of anticipated job duties and desired qualifications should be submitted to Human Resources for review during the budget development process. Human Resources will use this information to determine the most appropriate job classification and corresponding pay range for the proposed position.
   
   Fringe benefits for full-time faculty and staff should be based on actual costs, whenever practicable. If actual costs are not known, such as in the case of a new position, costs should be estimated based on the most expensive fringe benefit package available. Fringe benefits for part-time and wage employees should be limited to FICA.
   
   
2. Cost-Sharing/Matching– Commitment of cost-sharing and matching resources are permitted when it is clearly in the best interest of the institution, and only to the extent required by the granting agency. If a funding agency requires a cash match, the resources must come from the College’s existing budget allocation, or other eligible funding sources. The supervising dean or vice president must determine how matching requirements will be met.
   
   In cases where only an in-kind match is required, the requirement can sometimes be met by allocating salaries and fringe benefits of existing faculty and staff working on the project, and/or with indirect costs computed on those salaries. The College maintains a federally-negotiated indirect cost rate for this purpose. (See below for more information on indirect costs.)
3. Indirect Costs– Indirect costs, sometimes called overhead or Facilities and Administrative (F&A) costs, are the costs of operation for a common purpose (such as Human Resources, Payroll Processing, Utilities) which are not easily attributed to any one program or project. It is NeSCC policy to include indirect costs, calculated based on the institution’s federally-negotiated indirect cost rate, in all grant proposals to the extent allowed by the funding agency. If the funder does not allow the College to apply the full federally-negotiated rate, any unclaimed indirect costs should be included as cost-share for the project. The Sponsored Programs &S Strategic Initiatives Office can provide assistance with interpretation of indirect cost guidelines and calculations for proposal budgets.
4. Physical Space– Requirements for physical space must be reviewed and approved by the supervising dean and vice president prior to proposal submission. Renovation or alteration of existing space to accommodate sponsored programs is discouraged, unless the requested grant funds can be used for this purpose or other funding sources have been identified.
5. Subawards– When subawards are included in the funded grant proposal, NeSCC will issue a formal subaward agreement to subrecipients. Project Directors are responsible for working with Purchasing, Office of Grants and Contracts, and the Sponsored Programs & Strategic Initiatives Office to create subaward agreements that contain all necessary language, terms and conditions as required by 2 CFR Part 200.331 and the funding agency.

Approval to Submit

All grant applications must be reviewed and approved by the supervising vice president, the Chief Financial Officer, the Vice President for Institutional Advancement and Culture, and the President prior to submission. The Sponsored Programs & Strategic Initiatives Office will coordinate the submission approval process using electronic approval requests generated through its full life cycle grant management software.

A Grant Proposal Submission Form is available in the rare event that a hard copy document or physical signature is required. If the hard copy form is used, it should be submitted to the Sponsored Programs & Strategic Initiatives Office, signed by the initiator and the supervising vice president, with final drafts of the proposal narrative and budget documents at least five working days prior to the submission deadline. Sponsored Programs & Strategic Initiatives staff will facilitate the final approval and signature process with the offices of the CFO and the President. Any other mandatory application forms or documents requiring additional signatures must be attached and submitted with the Grant Proposal Submission Form.

Factors that may be considered during the submission approval process include, but are not limited to:

• Alignment of project concept with strategic priorities of Northeast State and/or TBR;
• Capacity of the institution to meet funding agency matching/cost-share requirements;
• Capacity of the institution to implement the project; and
• Potential cost to sustain the project beyond the grant period. 

Proposal Submission

Unless otherwise directed by the President, the Vice President for Institutional Advancement and Culture and the Director of Sponsored Programs & Strategic Initiatives are the only College employees with designated authority to submit grant applications on behalf of Northeast State Community College.

The Sponsored Programs & Strategic Initiatives Office maintains official College accounts for most online grant submission portals in use by federal and state government agencies, and many non-governmental agencies. College faculty and staff must consult with the Sponsored Programs & Strategic Initiatives Office prior to creating any new online accounts for grant proposal submission.

Records Retention

The Sponsored Programs & Strategic Initiatives Office is responsible for maintaining all official records relating to grant proposals submitted on behalf of Northeast State Community College and/or the Northeast State Foundation. In the event that the final proposal submission is not handled directly by Sponsored Programs & Strategic Initiatives staff, the individual responsible for proposal submission must provide the Sponsored Programs & Strategic Initiatives Office with final copies of the full application package.