Policy K3
Policy Name: Grant Development, Clearance, Solicitation, Acceptance, and Administration
Responsibility for Maintenance: College-Affiliated Enterprises & Asset Management

Date of most recent changes: March 28, 2016

I. Policy Statement

This Policy addresses the pre- and post-award management and administration of external grants, and establishes (i) appropriate controls for developing and submitting grant proposals, (ii) procedures for review of grant proposals, (iii) procedures for solicitation and management of grants.

II. Reason for Policy

When grants are awarded, the College is responsible for the grant program and for fulfilling the granting agency’s programmatic, fiscal, and reporting requirements. The objectives of this policy are:

  1. To fully connect grant seeking with the College’s mission, strategic plan, departmental operational plans, and other identified priorities;
  2. To ensure that departmental needs are integrated into the overall grant-seeking efforts of the College and that departments with identified needs participate in the grants development process and oversee post-award administration;
  3. To ensure that any grant proposal submitted to an external entity has received the review and approval of the College;
  4. To improve the quality of service provided for grants development and management;
  5. To comply with applicable federal and state laws, as well as guidelines and regulations established by federal and state funding agencies and other grant-making entities, such as private foundations.

III. Applicability of the Policy

This policy is applicable to all employees of the College.

IV. Contacts

Subject Office Name Telephone Number Email/URL
Grants Development and Management Grants Office (315) 498-2692 urtza@sunyocc.edu
Grant Financial Accounting Financial Services (315) 498-2236 obernesc@sunyocc.edu

V. Definitions

Term Definition
Grant A sum of money awarded by a third party to the College for a specific purpose, such as, but not limited to: education, research, programs, or capital construction, based on approved deliverables to be completed and reported on within a specified period of time.
Corporate/Private Funding Requests for philanthropic, sponsorship, and other corporate or private support are coordinated through the Office of Development/OCC Foundation and through College Affiliated Enterprises & Asset Management. The Office of Development/OCC Foundation and the Grants Office will communicate all requests that may have any shared implications to ensure institutional coordination and perception of College unity to outside entities.

VI. Procedures

1. Pre-Award: Identification of Grant Projects 

a. Pre-Planned Priority Objectives: Identification of grant projects is driven by the College’s planning process and is informed by the strategic goals established by the College, formal evaluations and assessments, and key initiatives included in department operational plans. Resource needs related to high-priority projects form the focus of the College’s grant-seeking efforts. These projects and resource needs are integrated into the College’s annual grants development calendar, which is approved by the President and Executive Council.

b. Emerging Opportunities: Although grant seeking is focused on pursuing priority projects identified in annual and multi-year plans, any Onondaga employee may propose a grant project idea in alignment with the College’s strategic plan or departmental operational plans at anytime throughout the year. Grant project ideas that are proposed by employees or by partner organizations during the year will adhere to the following process.

i. The project proposer discusses the grant concept, anticipated benefits, and potential cost implications, including staff, space, construction/renovation, supplies, and equipment, as well as the potential sustainability of the project, if applicable, with his or her immediate supervisor or department chair.

ii. The project proposer completes a grant proposal form that is endorsed by his or her division head and forwarded to occgrants@sunyocc.edu.

iii. The Grants Office will review each request relative to the feasibility of proceeding and will seek approval from Executive Council to proceed with proposal development.

2. Pre-Award: Proposal Development and Submission Process

a. Process for Proposal Development: Once a grant proposal form has been reviewed and approved by Executive Council, the project will enter the planning phase and a funding search will be conducted, if not identified at the time of submission. Once a prospective funder has been identified, proposals planned for submission will be added to the grants calendar, and the Grants Office will assist the project director with proposal development.

b. Approval for Submission: At least one week prior to a submission deadline, the Grants Office will request authorization to submit the proposal from the President, Chief Financial Officer, or Executive Director of the OCC Foundation as follows:

College President: In cases where the funding agency requires the President’s signature, for any federally funded grant proposals, or when the dollar amount of the grant is above $100,000;

Chief Financial Officer: In cases where the funding agency does not specify signatory, and when the dollar amount of the grant is $1 - $100,000;

Executive Director of the OCC Foundation: In cases where the funding agency requires a 501(c) (3) non-profit organization to receive funds.

Note#1: Input and approval will be required from the Chief Information Officer if the grant project includes any information technology related equipment, software,or services.

Note#2: Input and approval will be required from the Vice President for Institutional Planning,Assessment and Research if the grant project includes an evaluation or substantial reporting requirements.

Note#3: All budgets at any level must be approved by the Chief Financial Officer or designee prior to submission.

c. Submission of Proposals:The Grants Office, and in the case of Foundation grants, the OCC Foundation, are the only departments authorized to submit grant proposals that have received appropriate College approval. No other individuals or individual departments are authorized to submit grant proposals on behalf of the College or Foundation. When all appropriate approvals and signatures have been received, the Grants Office will submit the final proposal to the funding agency. One copy of the grant proposal is maintained by the Grants Office.

d. Post-submission contact with funding agencies: While the proposal is in the review process, any required follow up with the funding agency will be the responsibility of the Grants Office at all funding levels, except in the case of local or other private foundations where the OCC Foundation Executive Director or his/her designee has requested to serve as the primary point of contact.

3. Acceptance of Grants

a. The President and the Chief Financial Officer are the only persons authorized to approve the acceptance of grant awards on behalf of the College. The OCC Foundation Executive Director is the only person authorized to accept grants on behalf of the OCC Foundation.

b. Prior to acceptance of any grant, the grant award document, agreement, and/or contract will be reviewed by the Grants Office, Financial Services, and Management Services to ensure the grant does not contain any obligations or restrictions that are contrary to the College’s policies or the approved project proposal and budget.

c. Upon approval of the award for acceptance, the Grants Office will submit a copy of the grant award document and/or contract to the project director/principal investigator and Financial Services. Original contracts will be filed in Management Services and a copy will be maintained by the Grants Office. For grants submitted on behalf of the OCC Foundation, copies will be sent to the Executive Director.

4. Post-Award: Administration of Grants

a. All grant projects must comply with all College policies and procedures. In addition, grant projects must comply with all pertinent federal and state regulations, requirements, and restrictions as set forth by the funding agency in grant award documents and contracts.

b. All grant projects with grant awards over $100,000 must have a project plan approved by the project director’s Division head and Executive Council on file with the Grants Office within 2 months of receipt of the grant award.  

c. All grant project directors must comply with external and internal reporting requirements. The Grants Office reviews and submits final grant reports to external funding agencies. Financial Services reviews and approves all financial reports prior to submission. In addition, final reports are posted to the shared Compliance Folder maintained by IPAR and the Compliance Officer(s), and key outcomes are included in grant summary reports and in Department updates in WEAVE.

d. Documentation of Services Provided:  All grant-funded projects must maintain records to document that services were delivered and all deliverables were completed.

e. Documentation of Personnel Expenses:  All employees who have committed a percentage of their time to supporting a federally-sponsored project must complete a time and effort report to certify that work committed was performed. This requirement applies to employees whose salary is being reimbursed and employees contributing time to a federally-sponsored project that is being paid by the College as a cost-share. Reports must be certified by the OCC employee, the project director, and the responsible supervisory official and submitted to Financial Services.  The College uses one of two types of reports to certify that the effort committed to the project has been incurred or contributed. 

i. Full-time: Employees who dedicate 100 percent of their time to one federally-sponsored project complete a form certifying that 100 percent of their effort for the designated period was dedicated to the project. 

II. Distributed:  Employees who contribute a portion of their time (less than 100 percent) to federally-sponsored project must complete a time and effort form documenting the allocation of their time across projects based on an after-the-fact determination of the actual activities (i.e., time and effort cannot be estimated in advance).  For example, the distribution of the time might be determined based on notes from personal calendars and/or reasonable estimates of time spent on various activities.

5. Declined Grants

a. In the event that a grant proposal is not funded, the project director/principal investigator and all involved departments will be promptly notified by the Grants Office.

b. Requests for reviewer comments and proposal evaluations/ratings will be submitted to the funding agency by the Grants Office. Information will be forwarded to the project director/principal investigator and other key project personnel when received.

6. External Requests for Grant Partnerships or Support

The College often receives requests for letters of support or invitations to participate on local, regional, or statewide partnerships or consortia. All letters of support and/or inquiries about partnerships on grant opportunities will be coordinated through the Grants Office. Letters of support will be signed by the President or designee.

Note#1: All project narratives, budgets, budget narratives, College data, required forms and signatures requested from an external partner must be reviewed and submitted through the Grants Office.

7. Requests for Copies of Submitted Grant Proposals

Due to the competitive nature of grants, grant proposals will not be shared with external partners or organizations, except under special circumstances. Grant proposals deemed appropriate to share will be sent through the Grants Office to the requestor.

VII.Forms/Online Processes

The Grant Proposal Form is available on College’s intranet site or can be requested from occgrants@sunyocc.edu.

VIII.Appendix

The Grant Proposal Form and Grant Budget Reference Manual are available on the Onondaga Community College website.


Approved by the OCC Board of Trustees April 3, 2006

Updated and approved by the President January 5, 2010

Updated and approved by the President April 16, 2012

Updated and approved by the President April 14, 2014

Updated and approved by the President June 19, 2015

Updated and approved by the President March 28, 2016