Grants Policies and
TABLE OF CONTENTS
TABLE OF CONTENTS ................................................................................................. 2
GRANTS WHO’S WHO .................................................................................................. 3
PRE-PROPOSAL CONCEPT APPROVAL .................................................................. 8
TIPS FOR USING GRANTS.GOV ............................................................................... 12
MANAGEMENT OF A FUNDED PROJECT............................................................. 16
CODE OF ETHICS ........................................................................................................ 30
INDIRECT COST RATE INFORMATION ................................................................ 37
BUDGET INFORMATION ........................................................................................... 42
CHANGES THAT REQUIRE WRITTEN APPROVAL ........................................... 49
EVALUATIONS ............................................................................................................. 54
FORM INFORMATION................................................................................................ 59
PURCHASE REQUISITIONS ...................................................................................... 62
LEVEL OF SIGNATURE AUTHORITY FOR PROCUREMENT
AND TRAVEL ................................................................................................................ 66
SOLVING THE NEEDS IN YOUR PROBLEM STATEMENT ............................... 70
TRAVEL REIMBURSEMENT GUIDELINES .......................................................... 74
TIME AND EFFORT FORMS...................................................................................... 83
SAMPLE TIME AND EFFORT FORM ...................................................................... 88
SAMPLE GRANT PAID TIME AND EFFORT FORM ............................................ 90
SAMPLE INKIND MATCH TIME AND EFFORT FORM ...................................... 92
GRANTS REPORTING FORM ................................................................................... 94
SAMPLE PROGRESS AND FINAL REPORTS SECTION ..................................... 96
YOUR PROPOSAL ...................................................................................................... 107
YOUR GOALS AND OBJECTIVES .......................................................................... 108
YOUR TIMELINE ....................................................................................................... 110
Grants Who’s Who
Grants Who’s Who – First Contacts
Office of Institutional Advancement:
VP of Institutional Advancement: Phyllis Roberts
ext. 7588, Room T337
As Chief Grants Officer:
• Directs meetings regarding grant ideas and possible
• Orients new Project Directors to funded program;
• Approves Pre-Proposal Concept Requests; Must
approve Progress Reports and Proposals before
• Oversees and approves grant related requests and
• Helps troubleshoot problems and contacts with federal
Program & Support Specialist III: Angie Fuller
ext. 7339, Room T336
• Provides administrative support to VP of Institutional
• Provides formatted Excel spreadsheet for recording
• Provides online copies of Time and Effort forms;
• Answers general questions about policies and
• Gives out chocolate in times of extreme stress.
Grants Specialist: Heather Musick
ext. 7704, Room T310
• Conducts prospect/foundation/federal and state agency
• Prepares grant applications to external funding
• Assists with periodic grant reports and evaluation
• Provides training for faculty/staff in grant writing;
• Provides training in using budget monitoring software
Administrative Assistant, Title III: Shelly Musick
ext. 7675, Room T327
• Provides administrative and office support;
• Performs general and advanced office functions;
• Provides budget maintenance and grant support;
• Assists with publications and mass media services;
• Assists with special projects.
Grants Accountant: Jason Vencill
ext. 7251, Room T334
• Sets up project budget;
• Creates financial reports for grants;
• Provides budget printouts;
• Helps Project Director forecast grant expenditures;
• Will schedule a meeting to help you get started on your
• Assists with budget revisions;
• Approves purchases in last 3 months of funding;
• Helps troubleshoot problems.
Procurement Officer I: Donna Morrow
ext. 7218, Room T334
• Processes purchase requisitions and places eVA bids
• Provides information about state contract vendors;
• Answers questions about orders and bids.
Administrative & Office Specialist III: Aretha Mitchell
ext. 7515 Room T317
• Processes all travel requests and issues travel checks;
• Processes all travel reimbursements;
• Answers questions about allowable travel rates and
Human Resources Manager I: Human Resources Analyst I:
Dr. Betsy Summerfield Martha Rasnake
ext. 7317, Room T319 ext. 7389, Room T343
• Coordinates the hiring of all SWCC employees;
• All new and/or vacant positions must be advertised in accordance with established
personnel and college standards;
• All grant-funded positions must follow College hiring policies;
• Contact the Human Resources Office before offering a job to anyone.
Information Technology Services:
IT Manager I: Windell Turner
ext. 7342, Room T325
• Provides spec information for technology purchases;
• Recommends appropriate technology purchases;
• Authorizes technology purchases.
Public Relations & Marketing Specialist IV:
Pat Bussard - ext. 7332, Room T350
• Approves all published materials such as brochures,
fact sheets, flyers, promotional novelties, posters,
newsletters, invitations, and certificates, etc.;
• Helps locate vendors for the design and typesetting of
• Writes news releases;
• Generates publicity about College events and
• College photographer and journalist for events,
activities, and special occasions.
Media Specialist III: Lanna Lumpkins
ext. 7552, Room R212
• Creates multi-media elements for distance learning
• Designs and creates special promotional media spots;
• Produces videos for SWCC.
Southwest Virginia Community College
Grant Concept Pre-Approval Form
If you have an idea for a potential grant opportunity, we strongly encourage you to pursue developing a proposal.
Faculty/Staff interested in proposing activities supported by external agencies must review their proposal idea with their
supervising Dean and/or VP before forwarding this form to the VP of Institutional Advancement. Approval of this form is
required prior to preparing a new or continuation grant application to an external agency and should be submitted at least
30-45 days prior to submission deadline.
Project Concept Attach a 1 or 2-page overview of your project concept, addressing the following:
1. How does this project fit into the College mission, goals and objectives?
2. Indicate how this project will address a specific campus problem.
3. What is the potential impact on the college? (increased enrollment and/or retention, staff, equipment, program updates)
4. Who will benefit from your proposed project? What will be the major project activities?
5. The potential funding source is:
6. What is the project period? from: to: Multiple years? # of years
7. Who are the potential partners and what resources might they contribute?
8. Application Due Date:
Budget Information Projected Budget Total $
Are matching funds required? □Yes □No If so, what percentage?
Key Personnel (Project Director and other proposed staff)
Name Title Time Commitment
Signature Title Date
Level of support requested from SWCC Institutional Advancement or Foundation Office
□Consultation (planning/application process) □Proposal editing/proofing □Help with constructing budget
Signatures and Reviews: Please obtain supervisor’s signature before routing to Institutional Advancement Office.
Department Dean and/or VP Date
VP of Institutional Advancement Date
If proposal is to be submitted to a foundation, submit to Educational Foundation Office.
Foundation Executive Director Date
Southwest Virginia Community College
(Attach to Grant Concept Pre-Approval Form)
Potential Funding Source(s)
Purpose of Project
Description of Need (present situation)
Objectives of Project (Remember not to confuse means and ends. The means are your
methods. The ends are your objectives. When listing objectives, you will be using
words like these: To increase... To decrease... To reduce… Project objectives are
measurable and should: 1) Tell who; 2) Is going to be doing what; 3) When; 4) How
much; and 5) How we will measure it.)
Relationship of the Project to the Mission and Purpose of the College
Description of the Development Plan (who will do what for whom, when, and how)
Key Personnel (names, degree information and other specific qualifications relevant to
Evaluation (expected results, evaluation measures)
College Resources Needed if Project is Approved: (Personnel, Matching Funds, etc.)
Duration of Project________________________ Through_____________________________
(Beginning Date) (Ending Date)
Submitted by: __________________________________________________________________
Title: _____________________________________________ Date: ______________
Tips for Using
TIPS FOR USING GRANTS.GOV FOR PROPOSAL SUBMISSION
1. Register to submit applications
You will need to register to create a Grants.gov account. This process can take
approximately 3-5 days. We recommend that you register as soon as you receive your
RFP (Request for Proposals) or about 30 days before your submission deadline and give
yourself plenty of time to familiarize yourself with every step needed to submit your
application well in advance of your submission deadline.
Important: DO NOT click on Register your Organization – SWCC is already registered.
You must register as an Authorized Organization Representative (AOR). Start by
following the link “Get Registered” and then click on the link “I want to Register on behalf
of an Organization.” SWCC already has a DUNS number (Step One), and is
registered with CCR (Step Two), so skip to “Step Three” (Obtain your username
and password) to begin your registration.
Registration in Brief:
STEP 1: Obtain DUNS Number SWCC already has a DUNS Number - 965462195
Same day processing. Your organization will need to obtain a DUNS Number. If your
organization does not have one, you will need to go to the Dun & Bradstreet website at
http://fedgov.dnb.com/webform to obtain the number.
STEP 2: Register with CCR
Two days or up to one to two weeks processing. Ensure that your organization is registered
with the Central Contractor Registration (CCR) at http://www.ccr.gov. If your organization is not,
an authorizing official of your organization must register. SWCC is already registered with CCR
validates yearly to maintain an active registration.
STEP 3: Username & Password
Same day processing. Complete your AOR (Authorized Organization Representative) profile on
Grants.gov and create your username and password. You will need to use your organization’s
DUNS Number to complete this step: http://apply.grants.gov/apply/OrcRegister.
STEP 4: AOR Authorization
Same Day processing. The E-Business Point of Contact (E-Biz POC) at your organization must
login to Grants.gov to confirm you as an Authorized Organization Representative (AOR). Please
note that there can be more than one AOR for your organization. In some cases the E-Biz POC
is also the AOR for an organization. *Time depends on responsiveness of your E-Biz POC.
After your AOR profile is completed, your organization’s E-Business POC should receive an email
regarding your requested AOR registration with links and instructions to authorize you as an
> How do you do it? Instruct your E-Business POC, Phyllis Roberts, to login to Grants.gov at
http://www.grants.gov/ForEbiz and enter your organization’s DUNS number and M-PIN. If
approved as an AOR, you should be verified to submit grant applications. However, don’t
assume your request was verified. It is your responsibility to check your AOR status by logging
in to Grants.gov at: Applicant Login.
> How long will this take? It depends on how long it takes your E-Business POC to log in and
authorize your AOR status.
STEP 5: TRACK AOR STATUS
At any time, you can track your AOR status by logging in with your username and password.
Login as an Applicant (enter your username & password you obtained in Step 3) using the
following link: Applicant Login.
You should call the SWCC Office of Institutional Advancement (Phyllis Roberts at ext. 7588 or
Angie Fuller at ext. 7339) to give notification of your intent to submit a proposal and the proposal
due date. If you have not been able to confirm that you have been authorized to submit a
proposal, ask the Office of Institutional Advancement for confirmation that your registration was
2. Apply for Grants
You will need to enter the Funding Opportunity and/or CFDA number to access the
application package and instructions. In order to view application packages and
instructions, you will also need to download and install the PureEdge Viewer/Adobe
Follow the instructions provided on www.grants.gov website for the following steps:
STEP 1: Download a Grant Application Package
Downloading a grant application package allows you to complete it offline and route it through
your organization for review before submitting.
Click here to verify if your Adobe software version is compatible with Grants.gov.
Instructions on how to open and use the forms in the package are on the application package
cover sheet. Agency specific instructions are available for download when you download your
application package, which will include required information for your submission.
STEP 2: Complete the Grant Application Package
Now that you have downloaded an application package, complete the grant application offline.
Save changes to your application as you go, Grants.gov does NOT automatically save changes.
The package cannot be submitted until all required fields and forms have been completed.
View a narrated tutorial on how to complete a grant application package using Adobe. If you're
having problems completing the package, view our Frequently Asked Questions.
STEP 3: Submit the Completed Grant Application Package
If you are not already connected to the Internet, you will be directed to do so and will need to
login to Grants.gov using your username and password.
Submitting a Grant Application with Adobe Reader: After you have entered all the necessary
information, checked the package for errors and saved your package; click the "Save & Submit"
button on the cover page, your application package will automatically be uploaded to Grants.gov.
A confirmation screen will appear once the submission is complete. A Grants.gov tracking
number will be provided at the bottom of this screen, as well as the official date and time of the
submission. Record the tracking number-you will need it if you contact us for support.
If you're having problems completing the package, view our Frequently Asked Questions.
NOTE: Do not assume your proposal has been submitted, at times the site is congested and will
stall out. If this happens, re-submit until you are directed to the confirmation screen.
STEP 4: Track the Status of a Submitted Grant Application Package
Once your application has been submitted, you can check the status on the Track Your
You can identify your application by:
• CFDA Number
• Funding Opportunity Number
• Competition ID
• Grants.gov Tracking Number
Note: Applicants are only permitted an exception to electronic submission in two sets of
circumstances for submission in paper format by mail or hand delivery: If applicant (1)
does not have access to the Internet; or (2) does not have the capacity to upload large
documents to Grants.gov; and submits a written statement to the Department that the
applicant qualifies for an exception under one of these grounds. The written statement
must be mailed or faxed to the program office no later than two (2) weeks before the
application deadline (14 calendar days, or if the 14th calendar day falls on a Federal
holiday, the next business day following the Federal holiday).
Please remember that you MUST submit a final draft of your proposal to the
President’s Office and to the Office of Institutional Advancement for final approval
at least 10 days prior to submitting your proposal.
ALLOW AT LEAST 4-5 DAYS prior to your proposal deadline to submit your proposal to
the funding agency. The sites used to submit can become very congested if you wait.
Submit a copy of your final proposal (if changes made after final draft review) to
President’s Office and Office of Institutional Advancement.
Management of a
Management of a Funded Project
Once funded, the project must be implemented, tracked, and services documented to
demonstrate how the funds were utilized within the guidelines of the funding agency.
The primary individual responsible for the management of the project is the Project
A. The Roles and Responsibilities of the Project Director:
Project Director/Principal Investigator/Contract Manager: This is the day-to-day
supervisor of the externally funded project. This individual is assigned
responsibility for implementation of the project, as follows:
1. To set up the internal processes of the College for implementation of the project,
upon receipt of the approval/award letter.
2. To provide copies of the funding approval letter to the President and Office of
Institutional Advancement (Phyllis Roberts, Room T337), and original award
letter to Grants Accountant, Jason Vencill.
3. Work with the Office of Institutional Advancement to negotiate the budget with
the funding agency, if needed. This may require adjustment of the proposed
budget based on actual monies approved (funding sources may reduce the
money amounts requested).
4. To develop and publish specific timelines for project implementation for all
involved in the project.
5. To coordinate with all units/areas for project implementation including, but not
a. Advertising for, screening, and hiring of personnel in accordance with personnel
policies and procedures of the College;
b. Coordinating with the Public Relations and Marketing Specialist, Pat Bussard (ext.
7332), for publicity regarding the project;
c. Meeting with the Grants Accountant, Jason Vencill (ext. 7251) to set up the accounting
system for the project, identifying the guidelines for expenditure of the funds and
process, completing paperwork, approval and routing, and generating required reports
during the project period;
d. Developing a procedure for internal budget controls and monitoring within the project;
e. Developing a procedure for completing required reports with the project;
f. Developing a procedure for regularly keeping all department/divisions and community
agencies, and/or businesses advised of the project’s progress and accomplishments.
6. To complete and submit the Grants Reporting form to the Office of Institutional
Advancement within 30 days after implementation of the project (form located
in the “Sample Progress Reports” section). The Project Director is required to
carefully read the funding agency’s policies regarding reporting schedules and
deadlines. Reporting information is generally included in a packet received
after the initial award notification letter, and this information is provided to the
Project Director. If this information is unavailable, the Project Director should
contact the funding agency’s Program Manager to obtain the reporting
information. (Acquiring reporting information is the only exception for a
Project Director to personally contact a funding agency’s Program Manager
without the approval of the Office of Institutional Advancement.) The Project
Director is solely responsible for reporting schedules and report
submissions. The Office of Institutional Advancement does not notify Project
Directors of reporting dates and deadlines.
7. To prepare progress reports and application for continuation of funding as
appropriate. Contact the Office of Institutional Advancement to obtain a Grant
Concept Pre-Approval Form prior to developing a grant proposal. Please note
that all progress reports must be completed and submitted to the Office of
Institutional Advancement for approval at least 10 days before you plan to
mail or submit electronically.
8. To keep all department/areas, community agencies and/or businesses notified of
project activities, revisions of plans, and progress on a regular basis (monthly,
quarterly, or as appropriate).
9. To ensure conscientious and continuous program review, all grant directors
should submit in-house quarterly status reports to the VP of Institutional
Advancement (Phyllis Roberts), including recommendations and justification
for modification of tasks, performance evaluation measures, and implementation
strategies when such modifications are deemed necessary. These reports should
include updates on the status of the grant, budget expenditures,
accomplishments, recommended changes in the project, or anticipated problems
in meeting project goals and objectives.
10. To develop and implement programmatic evaluation of the project and revise
project as indicated.
11. To submit to funding agency budget amendments, program amendments, and
reports as required.
12. To ensure that each grant employee who is required to complete a Time and
Effort (T&E) form submits it on a regular basis (monthly). The Office of
Institutional Advancement can send you copies via email of these forms which
can be completed online. Your immediate supervisor should sign your Time and
Effort form. Send the original form to Jason Vencill and a copy to the Office
of Institutional Advancement.
13. To set up a program budget on an Excel spreadsheet, enter all expenditures and
budget activities on this spreadsheet, and for maintaining an accurate balance at
all times. The quarterly report submitted to the VP of Institutional
Advancement, Phyllis Roberts, should include a copy of the budget spreadsheet.
B. Program Methods and Program Design: Plan of Action (Methodology)
Master files should be developed and maintained for the project (one for the Project
Director, one for Business Office and a third for the Office of Institutional
Advancement), which may include a file on each objective of the funded project.
Included in this file will be: a copy of the proposal, approved budget, operational
budget, correspondence, time documentation, contracts, time sheets, consultant
contracts, invoices, and progress reports. Documentation of grant activities should
include at least: client records, publicity, evaluations, advisory committee meeting
minutes, and related rules and regulations. This will facilitate the evaluation of the
project’s progress in relation to the project objectives, flagging items for follow up,
and a checks and balance system for appraisal of process and production. Records
from externally funded projects should be kept for a period of at least three years or
more if the grant was funded for more than three years. At the termination of your
grant, files should be turned over to the Human Resources Office.
C. Close Out and Evaluation: Product and Process Analysis of Externally
Close out of the funded project is as important as the development of the project.
The continuation requests and final report will usually include a narrative
description of the project accomplishments for each objective in the methodology.
Included in the narrative will be an evaluation of the data and statistics. Any
objectives not accomplished during the funding period, as well as any changes in
the programmatic component of the project, will require explanation. This may
include charts, reports on clients and delivery of services.
Copies of the final report must be submitted to the SWCC Office of
Institutional Advancement at least TWO WEEKS before submission to the
external agency for feedback and approval. Copies of the final report should be
provided to the Office of Institutional Advancement and other appropriate
units/areas for the College. This report is usually due within 45 or 90 days after
project termination. Final reports are the responsibility of the Project Director.
Timely filing of final reports may have an effect on future funding possibilities.
The following areas of management are critical to close out the project: budget,
personnel, purchasing, distribution of final reports, and document storage.
All units/areas will be notified of the termination of the project. The Project
Director will assure that all records, accounts, and reports are filed and closed out.
The Project Director will meet with his/her immediate supervisor and the College
President to discuss any personnel positions that may not continue to be funded
after the grant funds expire. Finally, complete any other close out procedures as
required by the grant. Close-out, at a minimum, should consist of a meeting with
the Grants Accountant and VP of Institutional Advancement to ensure that all
requirements have been met.
D. The Proposed Budget: Planning the Budget
After the receipt of the award letter and budget negotiations are completed, the
operational budget for the funded project should be established. The operational
budget will identify the expenditures by line item specifying the available monies.
Operational budgets may be revised depending upon the guidelines of the funding
agency, or may require submission of a budget amendment to the funding source
for approval. (see Changes That Need Written Approval in the Appendix). While it
may be possible to transfer money between line items, please note that it is NOT
allowable to add a budget line item that was not included in the original proposal.
1. Budget Management: The Project Director/Coordinator is responsible for
reconciling quarterly budget reports in cooperation with the Grants Accountant
and the VP of Institutional Advancement. Grant expenditures must be
monitored on a regular basis. The Project Director should maintain separate
records from the Business Office. In addition, the Project Director should also
monitor the budget by comparing the percentage of time elapsed in the grant
period and percentage of the total budget spent. This will prevent returning
unexpended funds or over-expenditure, and will help ensure that the objectives
of the project will be met. Internal budget line items may differ somewhat from
external funding line items.
2. Guidelines for Fiscal Management: The following is a list of resource tools to
assist the Project Director in adhering to the guidelines of the business office of
SWCC, and federal funding sources for fiscal management of a grant. The
Grants Accountant and the VP of Institutional Advancement are available to
assist in identifying the appropriate guidelines for each externally funded
a. State of Virginia Guidelines on Purchasing
b. Faculty/Staff Handbook – This resource is available on SWCC’s Internet web site at
http://www.sw.edu/facstaff.htm, and can also be obtained from the Human Resources
c. Code of Federal Regulations – 45 CFR 74, Administration of Grants. This is available
on the Internet at: http://www.gpoaccess.gov/cfr/index.html
d. Office of Management and Budget Circulars - The guidelines for the management and
use of Federal Funds are specified in these Circulars. These Circulars are used by the
Office of Institutional Advancement to assure compliance with grantors guidelines.
They are A-21, A-110, A-23, A-133, and more. These can be viewed on the Internet
3. Purchase Requisitions: Purchase Requisitions must be completed for all
purchases. The form is available for download at the Inside Southwest
administrative forms website. To access forms, click on the “Faculty and Staff”
link on SWCC’s homepage or go to the following link:
http://www.sw.edu/facstaff.htm (accessing forms requires entering your college
username and password). This form is to be completed by the requester and
printed on blue paper. It is very important to call the vendor to receive
updated item information before completing the form. Discontinued and
out-of-stock items, as well as pricing differences can cause delays in the
ordering process. You will need to get the company’s EIN/FIN
(employer/federal identification number) and the name and phone extension of
the person giving you the quote. You will also need to check if the company
accepts Master Card. If so, be sure to check appropriate box at the top of the
form. Always include the grant code (charge code) AND grant line item
(supplies, equipment, etc.) on the form to ensure the funds are deducted from
the correct grant and budget category. Make sure the bottom portion of the
form is completed properly and order totals match throughout the form.
Acquire all signatures of authorization on the form and make copies for your
file, the Office of Institutional Advancement, and for any other office that
requires supervisor’s signature. Submit the purchase requisition to Donna
Morrow, Procurement Officer, in the Business Office. A sample purchase
requisition is included in Appendix.
Remember, SWCC is tax exempt! You may need to remind sales
representatives to avoid being taxed. Our Federal ID# is 54-1269325.
Vendors should not charge State sales tax and employees will not be reimbursed
for the tax paid.
4. Policies on Purchase of Equipment: Policies of the State of Virginia and
Southwest Virginia Community College require orders of $5,000 and over to be
considered equipment. This applies to individual items that cost $5,000, not a
total order of $5,000 or more. It is suggested that major equipment purchases
be completed at the beginning of the project period to avoid costly delays.
Purchase requests must be submitted to the Procurement Officer on a blue
Purchase Requisition fform. Equipment purchased with regular M&O funds
with a value of $2,000 or more will be inventoried by SWCC Mail Services.
Equipment purchased through Equipment Trust Funds or grant funds with a
value of over $500 will also be inventoried.
5. Purchase of Supplies Procedures: Materials purchased for under $5,000 are
considered supplies. Purchase requests for supplies must be submitted to the
blue Purchase Requisition orm
Procurement Officer on a blue Purchase Requisition fform.
Note: When ordering supplies, remember that SWCC has state contracts on
numerous items, including office furniture through Virginia Corrections
Enterprises and ink pens, pencils, markers, etc. through the Virginia Industries
for the Blind. To search state contracts, visit the eVA website at:
Virginia State Contracts/Vendors
(http://dps.dgs.virginia.gov/dps/contracts/covacontractsinfo.aspx) or contact
Donna Morrow (ext. 7218, Room T334) in the Business Office.
6. Travel Guidelines: ALL travel MUST be approved prior to traveling. A
Travel Advance form must be completed when travel arrangements are made
and submitted in a timely manner. Complete the form in accordance with the
College’s travel guidelines and print on white paper. A sample Travel Advance
form is included in the Appendix. Acquire all necessary signatures, and
remember that the President, Dr. Estepp, will need to sign any travel advance
that exceeds $500*. After all signatures are acquired, send the form to Aretha
Mitchell, Business Office (ext. 7573, Room T317) or place in the Business
Office In-Box for processing. Remember to always make copies, after
acquiring all authorizing signatures, for your files.
*until further notice, the President’s signature is required on ALL travel regardless of the
Loans for travel (travel advances) are available and the amount requested must
be noted on the Travel Advance form. Requests for travel loans must be for a
minimum of $100. The temporary advance must be repaid at least sixty (60)
days after the receipt of the advance or it will be deducted from the
Travel Reimbursement Guidelines are located online at State Travel Regulations
Use this link to obtain more information on travel, lodging, meals, incidental
expenses (M&IE), per diem guideline tables, rules and regulations regarding use
of a State vehicle, etc.
7. Travel Reimbursement: Travelers must keep receipts and accurate records of
all expenses to ensure correct reporting and submission of travel
reimbursements. Each day’s expenses must be shown separately on the
Travelers must submit TWO Travel Expense Reimbursement Vouchers, one
on green paper and one on golden rod paper for each trip taken, (see
sample in Appendix) to the supervisor within five (5) working days after
completion of the trip where overnight travel or reimbursement of any kind is
8. Payroll of Personnel: Payment of personnel hired through the funded project
is based on their status of employment. See Dr. Betsy Summerfield, Human
Resources Manager, or Martha Rasnake, Human Resources Analyst, for any
questions regarding payroll or human resources policies and procedures.
E. Personnel Included in the Project
Hiring of personnel will be completed based on the policies and procedures of the
College. Recruitment of potential personnel can begin and employees may be
offered employment contingent upon grant funding. All appointments or hiring for
new positions funded by the grant must be approved in advance and adhere to the
established hiring process of the College. Personnel hired in positions funded
totally or substantially by external funding agencies should be made aware that if
such funding is discontinued or reduced to the point where the position cannot be
fully funded, the College will have just cause to discontinue the Contract of
Employment or any renewal or extension. Personnel hired in positions either
completely or substantially financed by external funding agencies must also be
aware that earned vacation must be taken prior to expiration of the contract and that
benefits are only in effect during the time of their employment, as stated in the
contract for employment.
Personnel Benefits, Hiring and Payroll Procedures
Grant Project Staff Benefits and Pay
Restricted faculty personnel and restricted classified employees are to receive all benefits
(hospitalization, insurance, retirement, etc.) provided by current state regulations for such
positions. Grant budgets must include funding for the state-required match to employee
a. Grant employees will be afforded the same leave benefits based on
classification status as any other like employee. Employees separating from
the college will be paid approved leave pay only if grant funds are budgeted
and approved. Except for continuation grants, any accrued vacation must be
taken before the grant ends or the time may be lost. This information should
be typed on the employee personnel authorization.
b. Non-grant employees must use all their annual leave prior to being employed
by a grant and vice versa so as to not create additional leave costs to either the
college or the grant. These are special situations that must be discussed with
Human Resources Manager prior to the effective date of the employee’s status
2. Insurance Coverage
a. Grant employees will be afforded the same insurance options as any other like
employee. Payment for insurance coverage will be as stipulated by the grant
a. A benefits eligible employee who leaves the college has the option to
participate in extended health benefits in compliance with COBRA regulations.
The separated employee pays the entire cost of the health insurance plus a
surcharge directly to the health insurance company. Additional information
will be provided at the time of separation by the Office of Human Resources.
4. Retirement Plans
a. Grant employees will be afforded the same retirement options as any other like
employee based on their classification, rules, and regulations as set forth by the
VCCS. Employees separating from college employment have several options
regarding their accumulated retirement benefits. Additional information will
be provided at the time of separation by the Office of Human Resources.
5. Wage and Salary Scale
a. Grant employees will be paid according to college policy, at the same rate of
pay as any other non-grant employees in like positions.
b. All grant faculty contracts have specific language outlining the special
conditions or assignments as listed below:
Each of the parties hereto agrees and understands that this agreement is
expressly subject to the continued availability of all Federal or special funds
committed to or anticipated by the College to cover this agreement.
This is a restricted position funded under the XYZ Grant.
Each of the parties also understands that in the event the position is
discontinued or the individual resigns, retires, or is laid off for any reason,
no state funds will be used for payment of any accrued leave or other eligible
benefits. If any leave is paid, it must be paid for by grant funds for the grant
F. Management: A Final Word
The key to grant funded management is planning, allowing for extra time to
complete requests, addressing problems before a crisis, and leaving a paper trail
of activities. All publications should include an acknowledgment indicating the
external funding agency. Finally, be creative, innovative, and action oriented!!!
Staying Out of Hot Water
The following list of suggestions is based on “true experience.” It is included in this
manual for two reasons: 1) to prevent similar mishaps and 2) to provide guidelines for
successful grants management. Questions regarding items on the list should be directed
to the Office of Institutional Advancement.
1. Get the Letter of Award
The letter of award is received after the negotiated budget is approved and assures the
college that the grant has been funded. The letter will contain a grant number, the
duration of the grant period, and the awarded amount. Nothing - no promises, no
people - can be spent or contracted for until this letter is in hand. Letters of award
may be followed by a separate contract. If not, the proposal becomes the contract of
performance. However, once the budget is negotiated, it is possible to advertise for
personnel with the phrase, “contingent upon grant funding” in the job description and
2. Get Off to a Good Start
The first weeks and months of a grant are critical. Most of the paperwork is completed
during this time. The budget is activated, timelines and objectives are adjusted, and
personnel are hired. A grant that starts well - runs well. Delays in any startup activities
cause problems throughout the entire grant period, resulting in needless complications -
particularly with personnel and spending the money - and can have a negative impact on
completion of grant objectives. With a good start, a grant should be running efficiently
within 30 days of the funding date.
3. Ask Enough Questions
For a new Project Director or a newcomer to the college, the sheer volume of information
can be daunting. The grant project is important, and it is important for the grant to run
smoothly. This manual provides a beginning. The people and places that form the grant
network are there to help.
4. Credit the Funding Agency
A credit line should appear listing the agency’s full name on any piece of printed matter
whether it’s a news release, brochure, or major product. If verbal presentations are given
to community groups, the agency should be credited there as well.
5. Provide Lead Time
Give people plenty of advance notice of your needs concerning grant-related issues.
6. Keep Up With the Budget
Grant funds represent the end result of stiff competition with other colleges and entities.
Awarded funds are an investment by a public or private entity in the college’s future.
The college will be held accountable for its stewardship in using those funds.
7. Plan Carefully For Grant-Related Meetings
Make a written agenda available to participants prior to the meeting. Use effective group
management techniques to keep the meeting on track and to use time well. Follow up
with meeting summaries and action on necessary items.
8. Find a Home in the College
The Project Director and the Project Staff belong to the college and are a part of the
community of needs, people, and events. Avoiding isolation builds support for the
project goals and interest in the outcomes. An advisory committee made up of
representatives from diverse areas of the campus can sometimes help in this process.
9. Address Problems Before They Become a Crisis
Any large project has the potential for going awry. Contact supervisors and the Office of
Institutional Advancement when things begin to go off track to find early solutions.
10. Keep the Larger Goals in Mind but Stay Current on Details
Grant management is a detail-oriented process. Goals and objectives must be met.
Budgets must be tracked carefully, and project reports must be filed on or before due
11. Read the Mail and Follow up Agreements and Meetings with Memos
Academic communities communicate in writing. Paper trails protect the grant and the
Project Director from misunderstood communications.
12. Don’t Lobby, Don’t Politic, Don’t Entertain, and Don’t Support Religious
All of these interesting activities are strictly prohibited with external funds. That includes
using staff time for any of these items. Support letters for legislation cannot come from
project staff. Cookies for receptions will have to come from college operational funds, if
available and approved in advance.
13. Keep Track of Time, Money, and Records
One of the hallmarks of an excellent Project Director is paying as close attention to the
financial side of the grant as to the program side. Both aspects of the grant require
careful monitoring if the total project is to be successful. Meeting the program objectives
is only half the job.
One of the best checks on the progress of a grant is the comparison between the
percentage of time elapsed and the percentage of the total budget spent. For example, if a
grant has 80 percent of the time period expired and only 30 percent of the money spent, it
is in “deep and serious trouble.” The college likely will have to return unspent funds to
the agency, and the objectives of the program may not be met. Sometimes, percent
discrepancies indicate that expenditures are not being charged to the proper grant
account. Check budget printouts carefully so that institutional dollars are not expended
on an externally funded project.
14. Contacting Funding Agency Personnel - Don’t - and with good reason. Only the
Office of Institutional Advancement staff, or individuals designated by that office, are
authorized to contact the funding agencies unless requested to do so by the agency.
SWCC has several grant projects going simultaneously. Often questions can be answered
by college or Office of Institutional Advancement staff. Funding agency personnel could
be inundated with the same questions repeatedly from every sector of the college and
would conclude, rapidly, that the grants act was not together.
15. Cultivate a “Sixth Sense” About Improprieties
If any planned action causes hesitation or even a second thought, check. In this case,
permission is the best route. Improprieties can be extremely expensive - personally,
professionally, and financially.
16. Remember, the College Just Looks Large and Cumbersome
In reality, there are people at every layer with a wealth of information and ways to get
things done. The trick is asking the right person the right questions. When in doubt,
contact the Office of Institutional Advancement.
17. Be a Team Player
Be ready to share information with other grants within the VCCS system. Many existing
grant funded programs have extensive knowledge of how to solve problems and will be
willing to offer advice, support and assistance.
1. Upon official acceptance and receipt of a grant from the external funding agency, the
Office of Institutional Advancement shall review all grant information such as the
grant award or contract, and other grant information, in detail, prior to submission to
the Grants Accountant in the Business Office.
2. The Grants Accountant will review the grant award and/or contract documents
provided by the Office of Institutional Advancement prior to initiating paperwork to
establish an account number and budget using the appropriate expense and revenue
object codes and/or funding pools. The Grants Accountant will then forward
verification of the new account number to the performing department and the Office
of Institutional Advancement.
3. The Grants Accountant will set-up the indirect cost schedule as well as a schedule of
when reports are due to the funding agency (as specified by the grant.)
4. Any changes in budget amounts (increase/decrease) are subject to compliance with
the grant award or contract documentation in hand from the funding source (agency),
and the approval of the performing department’s Project Director and Vice President.
In all cases, the funding agency’s provisions and regulations will prevail. In no cases
should the grant budget be revised without documentation. If verbal communication
is provided by the funding agency, the Project Director must follow-up with written
verification. Keeping the lines of communication open is the key to success.
5. The Business Office will maintain the official fiscal records for all grant transactions.
The performing department will be responsible for maintaining detailed records to
support the records in Business Services. The performing department will reconcile
the College grant/contract financial statements monthly. Any discrepancies should
be brought to the immediate attention of the Grants Accountant, through a memo,
e-mail, etc., i.e., discrepancies with funds received, funds expended, problems with
the timing of transactions, etc. The Grants Accountant will also reconcile the
grant/contract account and report discrepancies to the Project Director of the project.
6. The Grants Accountant will be responsible for preparing and submitting expenditure
reports and/or reimbursement documents to the funding agency. As Project Director,
you will be responsible for preparing any program reports to the funding agency.
7. In the last year of the grant period, requests for funds to be encumbered for supplies
and equipment must be presented to the Grants Accountant 90 days prior to the end
of the grant project. All goods and services paid with grant funds must be received
during the term of the grant.
8. The Project Director should schedule grant expenditures throughout the grant period
in a reasonable manner. Supplies and equipment that will be used during the grant
period should be purchased early on. This information is usually outlined in the
Note: A sample grants Excel spreadsheet is located on page 45.
GRANT PROJECT RECORDS
The retention of records for grants/contracts is defined by each funding agency. All
records will be retained for the longest period of time specified, which is currently three
(3) years after the date of completion and audit for Federal grants. State and local grants
and contracts are to be retained for three (3) years after completion and audit of the
project. (NOTE: If your grant program was funded for longer than three years, the
college policy is that records be maintained for each year of that funding cycle.
1. The Project Director will maintain operational or program records for continuing
2. The Grants Accountant will maintain financial reports and records for the current
year and the prior two years. Afterward, the records are sent to Institutional
Records for storage for the appropriate period of time, microfilmed and later
destroyed. The Project Director will maintain a copy of the application and the
approved contract. The Office of Institutional Advancement will retain copies of
program and financial records and additional information it deems necessary for
future use and data collection.
3. The Project Director and the Grants Accountant will maintain financial records
pertaining to the matching funds.
4. Requests for four-year-and-over financial records will be made to the Grants
Code of Ethics
Code of Ethics
For Sponsored Programs at SWCC
Each grant program director will take responsibility for awareness of actual or perceived
conflicts of interest in the management of grant programs and discussing with the Vice
President of Institutional Advancement Office any grant transactions that might be
construed as a conflict.
For example, a state employee may not use state time, materials or personnel to further
his or her outside employment. A state employee may not accept outside employment
that would impair his or her independence of judgment as to his or her official duties, or
that would induce disclosure of confidential information acquired in the course of those
official duties. A state employee may not use his or her public office or position, or
confidential information garnered from such office or position, for financial gain. A state
employee should not be paid by a private party to do what he or she is essentially already
required to do as part of his or her state duties.
Stewardship and Ethics
We have an important obligation to be good and responsible stewards of public and
private grant funding awarded to the College. Grant monies are awarded to accomplish
goals and objectives identified in the proposal that coincide with the funder’s goals.
Project Directors have a responsibility to know and do the right things. Grants require a
higher degree of accountability and performance than most routine college activities and
are subject, in many cases, to federal regulations or other funding agency requirements.
In addition, a good “rule of thumb” used by some to determine the right or ethical thing
to do is to consider the “newspaper headline test:”
• How will this look on the front page of the News Press or the Chronicle? If a
headline about your action would be embarrassing to you or the College, it is
probably best to avoid that action. Remember that even the appearance of
impropriety can embarrass you or the College. When uncertain about what to do,
consult with the Grants Accountant or the Vice President of Institutional
• Also, keep in mind that the use of college computers for personal emails and
business may be subject to Freedom of Information Act (FOIA) regulations.
Ethics and integrity are the responsibility of each employee. Each member of the faculty
and staff, as well as any other person acting on behalf of SWCC, is responsible for ethical
conduct consistent with the Code of Virginia 2.1-639.6; the College’s Code of Ethics;
and VCCS ethics policies and agreements, such as the VCCS Information Technology
Employment Ethics Agreement. College administrators, department heads and others in
supervisory positions will assume responsibility for ensuring that their conduct and the
conduct of those they supervise complies with policies and regulations governing
Business activities undertaken on behalf of SWCC will reflect the highest standards of
honesty, integrity and fairness. Every employee must be careful to avoid even the
appearance of misconduct or impropriety.
COMPLIANCE WITH LAWS, GRANTS AND CONTRACT OBLIGATIONS
SWCC employees are expected to transact business in compliance with the laws and
regulations of the Commonwealth of Virginia and any other jurisdictions in which the
College does business. In instances where laws and regulations are difficult to interpret
or apply, employees should contact the appropriate administrative official.
In addition to laws and regulations, SWCC takes grants management and contractual
obligations to donors, the state or federal government, external agencies and suppliers
very seriously. SWCC employees are expected to adhere to relevant contracts and grants
requirements and fulfill obligations. In instances where particular contractual or grant
requirements are difficult to interpret or apply, SWCC personnel shall consult with the
Grants Accountant and/or the Vice President of Institutional Advancement, as
appropriate, for advice.
COMPLIANCE WITH STANDARDS OF INTEGRITY
SWCC recognizes that it must earn and maintain a reputation for integrity that includes,
but is not limited to, compliance with laws and regulations and its contractual obligations.
Even the appearance of misconduct or impropriety can be damaging to the College.
Frequently, SWCC’s business activities are not subject to specific laws or regulations but
“as implied.” In these instances, rules of fairness, honesty, and respect for the rights of
others shall govern our conduct.
In accordance, SWCC employees shall strive to conduct grant transactions with the
utmost honesty, accuracy, and fairness. Each situation needs to be examined, and under
no circumstance should an unethical practice be resorted to on the grounds that it is
“customary,” either inside or outside of SWCC.
Neither should an unethical practice be resorted to on the grounds of expediency.
EXPEDIENCY SHOULD NEVER COMPROMISE INTEGRITY!
The College is entrusted with many kinds of confidential, propriety, and private
information. It is imperative that those who have access to this information do not make
any unauthorized disclosures of the information, either during or after employment. If
concerns exist regarding the release of confidential information, the Office of Human
Resources should be contacted.
For example, all classified employees are required to sign the following confidentiality
statement included in their Employee Work Profile Plan:
I acknowledge and understand that I may have access to confidential information
regarding [employees, students, patients, inmates, the public]. In addition, I acknowledge
and understand that I may have access to proprietary or other confidential information
business information belonging to [Agency]. Therefore, except as required by law, I
agree that I will not:
• Access data that is unrelated to my job duties at [Agency];
• Disclose to any other person, or allow any other person access to, any
information related to [Agency] that is proprietary or confidential and/or pertains
to [employees, students, patients, inmates, the public]. Disclosure of information
includes, but is not limited to, verbal discussions, FAX transmissions, electronic
mail messages, voice mail communication, written documentation, “loaning”
computer access codes, and/or another transmission of sharing of data.
I understand that [Agency] and its [employees, students, patients, inmates, the public],
staff or others that may suffer irreparable harm by disclosure of proprietary or
confidential information and that [Agency] may seek legal remedies available to it should
such disclosure occur. Further, I understand that violations of this agreement may result
in disciplinary action, up to and including, my termination of employment.
PROPER RECORDING, ALLOCATION AND CHARGING OF COSTS
Appropriate care shall be taken to ensure proper recording and charging of costs to the
appropriate account. It is important that costs are accurately recorded so that only
allowable direct and indirect costs are charged to the government.
Reasonable and Allowable Costs: Reimbursement from the government shall be
requested only for costs that are reasonable in amount and are allowable under
government regulations. Questions relating to reasonableness, allowability, and
allocability of costs should be directed to the Grants Accountant or the Vice President of
Institutional Advancement, as appropriate.
Approving Charges: Allowable Costs
The College is responsible for approving expenditures, which directly or indirectly affect
sponsored research projects.
Costs are allowable when they
• are reasonable;
• are allocable to sponsored agreements under the principles and methods provided
• are given consistent treatment through application of those generally accepted
accounting principles appropriate to the circumstances; and
• conform to any limitations or exclusions set forth in these principles or in the
sponsored agreement as to types or amounts of cost items. [Reference A-21 C. 2]
A-21, section C, goes on to define and explain each of these criteria in detail.
Section J in A-21 includes explanations for costs that are allowable and unallowable and
the circumstances and criteria for determining whether the costs are or are not allowable.
SWCC employees responsible for charging expenses should review this section to ensure
that they are not charging unallowable costs:
• The “prudent person” rule is used to determine if a cost is reasonable. This rule
dictates that if a prudent person would have purchased the good or service for the
same amount under similar circumstances, then the cost is reasonable.
To determine if a cost is reasonable it must meet the following criteria:
• cost must be necessary for the operation of the grant program or for the
performance of the sponsored agreement;
• cost should be obtained in an arm’s-length transaction;
• did the person follow Federal and State laws and regulations, and
• sponsored agreement terms and conditions will always be a determinative
Individuals shall act with due prudence in all circumstances, considering their
responsibilities to Southwest Virginia Community College, its employees, its students,
the Federal Government and/or other sponsor, and the public at large.
ESTABLISHED INSTITUTIONAL POLICIES AND PRACTICES
Please also remember that the charging of expenses shall be, first and foremost,
consistent with established institutional policies and practices at Southwest Virginia
Community College generally including sponsored agreements. Therefore, even though
it may be an allowable and legal cost under the federal grant program, it must also be
consistent with established institutional policies and practices in place at SWCC. For
example, if the college has established a practice of reimbursing the College for matching
time an employee contributes to grant activities on college time rather than paying the
employee directly to do the work on his or her time, this practice must be adhered to
unless approval is obtained from the Grants Accountant or the Vice President of
Institutional Advancement due to circumstances that would warrant special approval.
CONFLICT OF INTERESTS
Employees shall be sensitive to situations that could raise questions of potential or
apparent conflicts between personal interests and the College’s interests. As part of the
SWCC community, each of us shall conduct ourselves accordingly. We must be
particularly aware of situations where there exists a conflict between the private interests
and the official college responsibilities of an employee.
For example, as a matter of state law and college policy, it is the responsibility of
employees to avoid being in a position of authority over a spouse or a member of the
immediate family who also is employed by the College (for specific details, see the Code
of Virginia 2.1-639.6). An employee and his or her spouse or another member of the
immediate family may both be employed by the College, so long as the employee does
not exercise any control over the employment conditions and activities of the spouse or
relative and is not in a position to influence those activities. Furthermore, the state and
local government Conflict of Interests Act permits dual employment of spouses or other
immediate family members, in the following limited circumstances:
• if both the employee and the family member are in teaching, research, or
administrative support positions;
• if the Board of Visitors finds that it is in the best interests of the institution and the
Commonwealth for such dual employment to exist; and
• if the Board of Visitors ensures that neither the employee nor the family member
supervises, evaluates, or otherwise participates in personnel decisions regarding
The Conflict of Interests Act also currently contains other pertinent provisions. For
example, an employee may be allowed to have a contract with another state agency if the
contract is awarded through a competitive process and the employee discloses the
employee's personal interest in such a contract to the administrative head of that agency.
[NOTE: The Conflict of Interests Act provisions on contracts between the College and its
own employees are too complex to summarize here - for specific details, see the Code of
Virginia 2.1-639.6. Except under extraordinary circumstances, the College does not buy
goods or services from faculty or staff members. Should an occasion arise where such a
purchase appears to be in the best interest of the College, the department should contact
the Business Office Manager for approval.] An employee is prohibited from soliciting or
accepting money or any other thing of value for performing official duties, except the
compensation or expenses paid by the College. Under the Act, an employee of the
College may not use for his own economic benefit confidential information not available
to the public and acquired by reason of his/her position.
In accordance with the Act and the Ethics in Public Contracting section of the Virginia
Public Procurement Act, employees must not accept personal gifts of any kind, including
food and beverages, travel, and tickets to sporting and cultural events, from firms with
which the College does business. Gifts of goods or services to the College or to an
employee cannot influence the selection of a vendor to provide goods or services to the
College. Offers of incentives, free goods and services, gifts, and coupons should be
reported to the Vice President of Finance and Administration.
The technical details of these and other conflict of interest situations are set forth in the
Code of Virginia, which should be consulted by all employees members who may be
involved in any such situation.
Failure to abide by the conflict of interests principles described above can have serious
consequences. Violations of the employment-based restrictions contained in the State
Conflict of Interests Act may lead to civil - and if willful, criminal - penalties, as well as
termination from state employment. Breaches of professional ethics standards (e.g., an
abuse of the employee's authority over students) may also prompt disciplinary action.
Moreover, serious misconduct associated with sexual harassment raises the risk, under
federal law and state policy, of personal responsibility in terms of both litigation defense
and liability exposure.
A deliberate action to obtain an unauthorized personal benefit is a fraudulent transaction.
This might include misappropriation of cash or property, unauthorized use of College
property, unauthorized use of College employees to perform non-college business, or use
of the College telephone system for personal long distance telephone calls. Deans and
department chairs are responsible for reporting any fraudulent transactions to the
In conclusion, if any planned grant activity seems to be in conflict with the policies set
forth in this document, adhere to established policies, use common sense logic, and
consult with the Vice President of Institutional Advancement. Improprieties can be
extremely expensive --- personally, financially, and professionally.
Indirect Cost Rate
Understand Your Budget
Before contracting for any expenditure, you must meet with the Grants Accountant, Jason
Vencill, ext. 7251, room T334. At this time, you will request a project number for your
You will want to become familiar with the line items and amounts of the budget
approved by your funding agency. You must initiate or approve all direct charges to the
project and check the monthly computer printouts of expenditures for accuracy. If you
think a mistake has been made, contact the Grants Accountant.
Please keep in mind that the Grants Accountant will:
Complete all financial reports required for your project;
Meet with you periodically to review your grant's financial status;
Help you understand and correctly track expenditures;
Help you interpret your budget printout and answer questions about fiscal
Provide information on cumulative expenditures that may be needed when you
are preparing a renewal proposal for your grant;
Provide certification of expenditure accuracy as required;
Assist you with payroll procedures and forms for persons hired with grant funds.
It is important that you spend all the funds in a prudent manner. If budget revisions
are needed, contact the Office of Institutional Advancement.
Project directors may expend funds only in the line item categories and amounts listed in
the approved budget. The approved budget, whether negotiated with the agency or
approved in the proposal, constitutes part of a legal contract.
Federal and state guidelines are usually flexible enough to allow minor (normally + 10%)
line item changes within the total budget without prior approval from the agency. If a
larger change is anticipated, discuss the changes with the VP of Institutional
Advancement (ext. 7588, room T337) and the Grants Accountant (ext. 7251, room T334)
before making a commitment to purchase.
In cooperation with the Office of Institutional Advancement, contact the program officer
at the agency to determine the procedure and to discuss the possibility of the change.
Using the appropriate forms or format of the agency, you must formally write up and then
forward to the VP of Institutional Advancement.
Funding agency personnel will deliberate and officially approve or disapprove the change
in writing. No budget changes may be made until official written approval is
obtained. This may take several weeks, so it is important to make changes as early as
possible. Copies of approval letters are to be sent to the VP of Institutional Advancement
and the Grants Accountant.
Transferring Among Line Items
Small transfers between budget line items, or categories, are generally permitted by the
funding agency without agency approval. However, most agencies have limitations on
the amount of monies moved (usually a percentage of the total award), and some have
restrictions on certain line items that do not allow movement between administrative and
program operation line items. Most agencies supply this information in the award packet
the college receives upon notification of funding.
SWCC’s protocol for transferring between line items is as follows:
a. be current on budget balances before requesting a transfer to ensure monies
b. prepare a memo to the VP of Institutional Advancement and Grants
Accountant with the following information included: grant code, line item
from which monies will be transferred and the amount, line item to which
monies will be transferred and amount, and a brief explanation of the reason
for the transfer;
c. submit memo to VP of Institutional Advancement, Phyllis Roberts, and Grants
Accountant, Jason Vencill, for approval. Make sure both have initialed your
request or the transfer will not be completed;
d. after receiving approval, make copies for your files and the Office of
Institutional Advancement and give the original to the Grants Accountant.
It is very important that you keep accurate budget records in your office. Every
transaction, including college charge backs, bookstore orders, and line item transfers,
needs to be recorded on your in-office budget spreadsheet. Each month you should
compare your records with the Business Office records for accuracy. If you need
assistance setting up a budget spreadsheet in Excel, please contact the Office of
Institutional Advancement and we will be happy to send you a file you can use. Below is
a sample budget spreadsheet:
ALLOCATED/CREDIT DATE DESCRIPTION EXPENSE BALANCE
$58,066.00 PERSONNEL $58,066.00
Budget Adjustment (adj. Fac. Resp.
Care & Co. directors) $33,550.00 $24,516.00
$4,500.00 2/19/07 Transfer from CONSULTANT $29,016.00
$36,469.00 4/12/07 Transfer from EQUIPMENT $65,485.00
7/1/07 Expended to date $9,313.76 $56,171.24
$17,420.00 FRINGE BENEFITS $17,420.00
$1,526.62 carry over from year two $18,946.62
7/1/07 Expended to date $14,133.51 $4,813.11
7/1/07 Encumbered to date $2,614.44 $2,198.67
$5,000.00 carry over from year two
$5,600.00 Budget Adjustment $10,600.00
2/19/07 Transfer to PERSONNEL $4,500.00 $6,100.00
$47,783.00 PARAMEDIC $47,783.00
4/1/07 Expended to date $27,700.61 $20,082.39
4/1/07 Encumbered $20,012.30 $70.09
$1,471.98 carry over from year two $2,631.98
$4,800.00 2/19/07 Transfer from SUPPLIES $7,431.98
2/20/07 Trvl. Reimb. J. Doe $200.70 $7,231.28
4/18/07 Trvl. Reimb. J. Doe $128.05 $7,103.23
4/23/07 Reg. For Conf. J. Smith & J. Doe $440.00 $6,663.23
5/4/07 Trvl. Reimb. J. Doe $13.00 $6,650.23
5/23/07 Airline tickets J. Smith & J. Doe $641.00 $6,009.23
5/31/07 Trvl. Reimb. J. Doe $192.20 $5,817.03
6/7/07 Trvl. Reimb. J. Doe $110.50 $5,706.53
ALLOCATED/CREDIT DATE DESCRIPTION EXPENSE BALANCE
6/29/07 Trvl. Reimb. J. Doe $123.77 $5,582.76
7/20/07 Trvl. Reimb. J. Doe (Naples, FL) $659.95 $4,922.81
7/20/07 Trvl. Reimb. J. Smith (Naples, FL) $647.20 $4,275.61
Reg. For Conf. For J. Smith & J. Doe $3,575.61
8/23/07 (Norfolk) $700.00
$36,469.00 carry over from year two $115,409.00
Budget Adjustment $19,640.69 $95,768.31
10/1/06 Budget Reduction $3,570.00 $92,198.31
11/1/06 Transfer to SUPPLIES (for software) $706.69 $91,491.62
11/15/06 Transfer to SUPPLIES $30,000.00 $61,491.62
2/28/07 Transfer to PERSONNEL $36,469.00 $25,022.62
expense carry over from year two $3,835.91 -$2,335.91
$7,500.00 Budget Adjustment $5,164.09
$706.69 11/1/06 Transfer from Equipment (for $5,870.78
11/1/06 Mosby (software RAD) $5,706.69 $164.09
$30,000.00 11/15/06 Transfer from Equipment for supplies $30,164.09
11/29/06 Sleep Multimedia Inc. (para. Software) $1,510.00 $28,654.09
11/29/06 Gateway Business VOID (reordered $19,944.00 $28,654.09
1/4/06 Gateway 2000 (computers) $20,196.00 $8,458.09
2/19/07 Transfer to TRAVEL $4,800.00 $3,658.09
3/9/07 Informed, Inc. $455.50 $3,202.59
3/30/07 Southeastern Emergency Equipment $87.00 $3,115.59
OTHER IMPORTANT BUDGET ISSUES
• Study the OMB Circular A-21 to determine which expenses
are allowable and not allowable;
• Be careful NOT to SUPPLANT (Using government money to
fund items your agency would normally fund without a
• DON’T DOUBLE DIP (can’t ask for tuition money AND money
to pay the instructor)
• MATCHING FUNDS:
o Some agencies require the grantee to commit
institutional resources toward a certain percentage of
the budget according to a formula determined by the
o A funder may require cash match, may accept in-kind
support, or a combination of both.
• IN-KIND FUNDS:
o In-kind support is a non-cash, institutional asset that
would have a cost attached to it if it were necessary
to go outside the institution to purchase.
o Examples: % of time commitment of project staff not
otherwise being compensated for additional
responsibilities; use of facilities such as meeting
rooms, classrooms; internet fees for projects
• INDIRECT COSTS (AKA Overhead):
o Compensates the grantee for costs such as security,
grounds, housekeeping, bookkeeping, depreciation,
o This expense is most common in government
o Rate has to be negotiated with government in
advance. We have an established rate on file, but
generally use a rate of 8% in all proposals in which
we are allowed this option.
GRANTS LINE ITEM HELP CHART
LINE ITEM $ ADDITIONAL INFORMATION
EQUIPMENT $5,000+ The federal government considers an individual item
(per item) under $5000 a “Supplies” item.
If an item totals less than $5,000, but with shipping and
handling added, totals or exceeds $5,000, it will be
deducted from the “Equipment” category.
SUPPLIES $0 – A “Supplies” requisition with multiple items totaling in
$4,999.99 excess of $4,999.99 will be processed from “Supplies.” A
single item listed on the requisition that exceeds $4,999.99
is considered equipment. If an item totals or exceeds
$5,000, that item will be deducted from “Equipment.” The
Office of Institutional Advancement recommends that a
separate requisition be prepared for this item.
TRAVEL Use “Travel” for motor-pool charge-backs, registration fees,
and all other travel related items.
CONSULTATION Use “Consultation” category for payment of fees charged
for services such as program consultations and evaluations.
OTHER Normally, you would use “Other” for only those items that
you originally included in the grant proposal under this
category. However, all charge-backs, with the exception
of motor-pool, should also be charged to the “Other”
category for consistency.
Please remember to always place a grant line item on requisitions.
If you need help or have a question concerning line items, feel free to call ext. 7339 or 7588
Changes that Require
[Code of Federal Regulations]
[Title 43, Volume 1]
[Revised as of October 1, 2004]
From the U.S. Government Printing Office via GPO Access
TITLE 43‐‐PUBLIC LANDS: INTERIOR
PART 12_ADMINISTRATIVE AND AUDIT REQUIREMENTS AND COST PRINCIPLES FOR ASSISTANCE
PROGRAMS‐‐Table of Contents
Subpart C Uniform Administrative Requirements for Grants and Cooperative Agreements to
State and Local Governments
Sec. 12.70 Changes.
(a) General. Grantees and sub‐grantees are permitted to re‐budget within the approved
direct cost budget to meet unanticipated requirements and may make limited program
changes to the approved project. However, unless waived by the awarding agency, certain
types of post‐award changes in budgets and projects shall require the prior written
approval of the awarding agency.
(b) Relation to cost principles. The applicable cost principles (see Sec. 12.62) contain
requirements for prior approval of certain types of costs. Except where waived, those
requirements apply to all grants and sub‐grants even if paragraphs (c) through (f) of this
section do not.
(c) Budget changes
(1) Non‐construction projects. Except as stated in other regulations or an award document,
grantees or sub‐grantees shall obtain the prior approval of the awarding agency whenever
any of the following changes is anticipated under a non‐construction award:
(i) Any revision which would result in the need for additional funding.
(ii)Unless waived by the awarding agency, cumulative transfers among direct cost
categories, or, if applicable, among separately budgeted programs, projects, functions,
or activities which exceed or are expected to exceed ten percent of the current total
approved budget, whenever the awarding agency's share exceeds $100,000.
(iii)Transfer of funds allotted for training allowances (i.e., from direct payments to
trainees to other expense categories).
(2) Construction projects. Grantees and sub‐grantees shall obtain prior written approval for any
budget revision which would result in the need for additional funds.
(3) Combined construction and non‐construction projects. When a grant or sub‐grant provides
funding for both construction and non‐construction activities, the grantee or sub‐grantee
must obtain prior written approval from the awarding agency before making any fund or
budget transfer from non‐construction to construction or vice versa.
(d) Programmatic changes. Grantees or sub‐grantees must obtain the prior approval of the
awarding agency whenever any of the following actions is anticipated:
(1)Any revision of the scope or objectives of the project (regardless of whether there
is an associated budget revision requiring prior approval).
(2)Need to extend the period of availability of funds.
(3)Changes in key persons in cases where specified in an application or a grant award.
In research projects, a change in the project director or principal investigator shall
always require approval unless waived by the awarding agency.
(4)Under non‐construction projects, contracting out, sub‐granting (if authorized by
law) or otherwise obtaining the services of a third party to perform activities which
are central to the purposes of the award. This approval requirement is in addition
to the approval requirements of Sec. 12.76 but does not apply to the procurement
of equipment, supplies, and general support services.
(e) Additional prior approval requirements. The awarding agency may not require prior
approval for any budget revision which is not described in paragraph (c) of this section.
(f) Requesting prior approval.
(1) A request for prior approval of any budget revision will be in the same budget
formal the grantee used in its application and shall be accompanied by a narrative
justification for the proposed revision.
(2) A request for a prior approval under the applicable Federal cost principles (see Sec.
12.62) may be made by letter.
(3) A request by a sub‐grantee for prior approval will be addressed in writing to the
grantee. The grantee will promptly review such request and shall approve or
disapprove the request in writing. A grantee will not approve any budget or
project revision which is inconsistent with the purpose or terms and conditions of
the Federal grant to the grantee. If the revision, requested by the sub‐grantee
would result in a change to the grantee's approved project which requires Federal
prior approval, the grantee will obtain the Federal agency's approval before
approving the sub‐grantee's request.
TITLE III GUIDE TO BUDGET CHANGES
THAT REQUIRE WRITTEN APPROVAL
What type of budget or project changes require you to request and get
approval IN WRITING from your program officer BEFORE you make
1. Change in the SCOPE of the project. “The range or extent of
2. Change in project OBJECTIVE.
3. Change in a KEY PERSON.
4. If your project director/coordinator is going to be ABSENT more
than three months or REDUCED by 25% or more in time devoted
to the project.
5. Costs for which the Office of Management and Budget
CIRCULAR A-21 requires you to get prior written approval.
Study the 54 specific costs in Section J in the back of the circular
to see which require prior written approval.
6. Transferring funds from TRAINING to other categories of
7. Sub-awarding or CONTRACTING out work that was not
described in the application (except if it involves solely purchase
of supplies or general support services.)
8. To incur costs MORE THAN 90 DAYS BEFORE the budget
period begins. E.g. before July 1.
Aside from the above changes, you may, by and large, make changes
WITHOUT PRIOR WRITTEN APPROVAL. Questions? Call the VP
of Institutional Advancement (Phyllis Roberts ext. 7588) to approve
contacting the funding agency program officer for clarification.
Changes made to Federal Grant Guidelines in 2003:
A. Universal Identifier: On October 1, 2003, submitted grant
applications were required to provide a Dun and Bradstreet Data
Universal Numbering System (DUNS) number. The DUNS number
is known as the universal identifier and helps the federal government
improve statistical reports on federal grants and cooperative
agreements. The DUNS number does not replace EIN. SWCC’s
DUNS number is 965462195.
B. Grants.gov: Grants.gov is a central electronic application system
through which the public can learn about all federal assistance
opportunities and apply for funds. On October 1, 2003, all federal
agencies were required to use this common government “portal” for at
least one of their grant application processes and must publish their
grant opportunities through the system. This portal is now almost
exclusive for use in submitting federal grants.
C. Single Audit Act Changes: In 2004, the threshold for federal grant
recipients that triggers a single audit under OMB Circular A-133
increased from $300,000 to $500,000. States, local governments and
nonprofit organizations that will expend more than $500,000 in
federal funds during a fiscal period must undergo an A-133 audit.
Checklist for Evaluations
Covers product and process
Tells who will be performing evaluation and how
evaluators will be selected
Defines evaluation criteria
Describes data gathering methods
Explains any test instruments or questionnaires
Describes the process of data analysis
Shows how evaluation will be used for program
Describes evaluation reports to be produced
PRODUCT AND PROCESS ANALYSIS
• PRODUCT EVALUATION
o Addresses results that can be attributed
to the project, as well as the extent to
which the project has satisfied its desired
o Summative evaluation: Method of
judging the worth of a program at the end
of the program activities.
o Focuses in on the outcome.
• PROCESS EVALUATION
o Addresses how the project was conducted,
in terms of consistency with the stated
plan of action and the effectiveness of the
various activities within the plan.
o Formative evaluation: Method of judging
the worth of a program while the
program activities are forming or
o Formative evaluation focuses on the
Who Should Conduct the Evaluation?
Things to consider:
Should you use internal evaluators? Hire outside evaluators?
Check with the agency to see what they prefer. If no preference,
consider the following:
Hiring an objective “outsider” with no vested interest in your
programs’ success may improve both the planning and the evaluation of
It can add to the credibility of your application.
One danger is that the evaluator may be compromised by trying to
please the client in hopes of obtaining future contracts.
On the other hand, evaluation by an insider, who may know more about
the real issues in the program, may suffer from an awareness of the
potential effect of an evaluation on the performance of staff and the
reputation of the agency.
If Done Outside . . .
1. What will it cost?
2. Will the evaluator assist in the design of the program?
3. Does the evaluator have a reputation that will enhance the
credibility of the application?
4. Will the evaluator be likely to align himself or herself, for better or
worse, with the management who is paying the bill or with the
staff whose work is being assessed?
If Done Inside . . .
1. What will it cost?
2. Is anyone on staff competent in the area of evaluations?
3. Will their responsibilities for evaluation detract from staff’s ability
to perform other required duties?
4. Will the evaluation threaten staff and reduce the accuracy of the
SAMPLE EVALUATION PLAN
Two basic types of evaluation will be used to assess achievement of objectives, implementation strategies
and final impact and outcomes: Formative and Summative. Current baseline data is included in the
objectives section and will be used as a basis for measuring progress.
Formative Evaluation: formative evaluations of measurable objectives and implementation
strategies will occur during the 5-year life-span of the project at regular and planned intervals. This will
ensure that milestones are being met and that the project is within budget. Evaluations will provide an
opportunity to reflect upon the appropriateness of the original objectives in light of changing
circumstances and modify accordingly to promote institutionalization of project activities. Formative
evaluations will allow for adjustment of objectives and schedules, reallocation of resources, revising of
tasks, and revised managerial decisions, based on preliminary evaluation results.
Quantitative Data: throughout the formative evaluations, quantifiable evidence of the attainment
of the objectives for each activity will be collected and recorded. Quantitative information will be
collected via questionnaires which use likert scales and other means for quantifying information,
especially with respect to faculty training programs. Proof of purchase, confirmation of installation and
testing, and approval for use, will constitute initial evaluation of equipment. At later intervals, faculty and
students using the equipment will be asked for their evaluation of its performance in classroom or lab
Qualitative Data: qualitative and anecdotal information, such as participants’ impressions and
perceptions about the activity’s objectives and implementation strategies, will be collected by the use of
open-ended questions on surveys and questionnaires. In some instances, individual interviews and/or
focus groups with faculty, students, administrators, and trustees will be the primary means for collecting
qualitative information. This qualitative data will be reported in evaluation reports to the evaluation team.
Summative Evaluation: a summative evaluation will take place at the conclusion of the project
and go beyond formative evaluations to determine the degree to which SWCC has reached growth and
self-sufficiency as a result of the project. All participants in the project will be surveyed with a final
impact and outcomes questionnaire prepared by the external evaluator in conjunction with the project
coordinator and the evaluation committee. Those surveyed will be asked for their perceptions about their
role in the project, about the “impact” of the project on faculty and students, the project’s continuation,
whether or not they had periodic feedback on the project’s progress, and how they perceive the project as
contributing to the college’s growth and self-sufficiency. Both quantitative and qualitative data will be
collected with this questionnaire by the methods previously mentioned: questions that ask for quantifiable
data as well as interviews and focus groups.
SWCC Form Information
Preparing your time sheet:
1. Access “Inside Southwest” from SWCC’s homepage, Faculty and Staff link, or by
using the www.sw.edu/facstaff.htm address. (This page is secure and requires
your username and password to access)
2. Click on Administrative Forms and select the template for timesheet.
3. Fill in all the blanks (i.e., dates, hours, name, employee identification no., etc.).
4. There is a key at the bottom of the form to help you mark special days (i.e., sick
days, annual leave, etc.).
5. Pay periods run from the 25th to the 9th and the 10th to the 24th. You are paid bi-
monthly on the first and 16th of each month. Timesheets are due on the ending
date of each time period. It’s a good idea to save a copy of the timesheet just in
case you need to make a change.
6. Completed timesheets need to be signed by the employee’s supervisor (make
copies for your files after all signatures are in place) and placed in the Business
Office In-Box for processing. If you plan to be absent or are out unexpectedly
due to illness or emergency, you need to prepare a Leave Form (available at
“Inside Southwest” website) for the days absent, and have your supervisor sign it.
Make two copies, one for your records and one for your supervisor’s records, and
then place the form in the Business Office In-Box.
Preparing order forms:
Purchase Requisition forms and SWCC Bookstore order forms are available on the
“Inside Southwest” website. Access the appropriate form for your purchase and save
to your computer. Remember to ALWAYS call the company you are planning to
order from to get a price quote on all items. Be sure to get the mailing address, the
name and extension of the person quoting the price, and the Federal ID number. You
need this information to complete your requisition. You are responsible for preparing
the order form but the Purchasing Agent in the Business Office will place the order.
When you are ready to prepare the order form:
a. fill in all the blanks;
b. check for accuracy;
c. print on blue paper (Purchase Requisitions only, Bookstore orders are on
d. obtain required signature from supervisor and additional signatures as per
designation of signature authority if order amount exceeds your immediate
e. make copies (after all signatures are in place) for your files and give a copy to
the Office of Institutional Advancement;
f. deliver the original purchase requisition, with any supporting documentation,
to the Grants Accountant, Jason Vencill, or place the form in the Business
Note: When ordering supplies, remember that SWCC has state contracts on numerous
products, including office furniture through Virginia Corrections Enterprises and ink
pens, pencils, markers, etc. through the Virginia Industries for the Blind. To search for
products on state contracts, visit the eVA website at: Virginia State Contracts/Vendors
(http://dps.dgs.virginia.gov/dps/contracts/covacontractsinfo.aspx) or contact Donna
Morrow (ext. 7218, Room T334) in the Business Office.
When ordering supplies from the bookstore, you simply need to fill out the bookstore
form, get your supervisor’s signature and approval from the Grants Accountant, Jason
Vencill, and then fax, send through campus mail, or hand carry the form to the
Bookstore. The Bookstore can supply you with an ordering catalog. You will need to
call extension 7217 to make sure the items you intend to order are available and make
sure you confirm product prices.
Sample (page one)
Sample (page two)
Sample SWCC Bookstore Order
Level of Signature
Solving the Needs in
CIRCULAR LOGIC PROBLEM STATEMENT
Many grant applicants often fall into this kind of circular
1. Our problem is that the college needs a computer
laboratory because it doesn’t have one now.
2. Thus, the objective of this activity is to develop a
3. The implementation strategy (method, solution,
means) is a plan to develop a computer lab.
4. The evaluation will be to find out whether the
computer lab was developed.
METAPHOR FOR DESIGN OF PROBLEM STATEMENT
“The problem with our kitchen is that it needs a skylight. It lacks a
“Go home and study what makes you angry about your kitchen.”
“The light is too low.” That’s the problem.
“The wind in the kitchen is too high.”
“The water on the kitchen floor is too high.”
Alternative Solutions: skylight
(Implementation Strategy) two skylights
widen the windows
How much change do you want to bring? Objective
How much light? Double? Triple? Quadruple?
Look at evidence from L-A-C-E regarding alternative solutions.
Authoritative Opinion – experts outside
Contact – make personal contact with those who have already done it.
Experiences in the past at your agency (organization).
Same problem: We need a computer lab.
Stronger applicants will follow a logic like this:
1. Our problem is that the failure rate of students in 10
key courses is too high.
2. The objective of this activity is to reduce the failure
rate in these courses from 38% to 30% within 2 years.
3. The implementation strategy (chosen from a list of
alternative solutions) is a plan to develop a computer
4. The evaluation will focus on: To what extent was the
implementation strategy followed and to what extent
was the failure rate reduced?
Source: Title III Informal Notes
State Travel Guidelines are available online at the Commonwealth of Virginia
Department of Accounts website, and change periodically, therefore the Office of
Institutional Advancement has provided a direct link to the State Travel Regulations
(http://www.doa.virginia.gov/Admin_Services/CAPP/CAPP_Topics/20335.pdf ) For
quick reference when preparing travel advances, check the website from time to time to
make sure you have the most current publication. Use this link to obtain more
information on travel, lodging/meals and incidental expense (M&IE), per diem guideline
tables, and rules and regulations regarding use of a State vehicle, etc.
A Per Diem Calculator is available at: http://www.vccs.edu/services/perdiem
This is a very useful resource and makes calculating travel expenses very easy. Save this
link, and all of the links provided in this manual, to your computer’s “Favorites” list for
easy access in the future.
ALL travel MUST be approved prior to traveling off campus. A Travel Advance
form must be completed when travel arrangements are made. Complete the form in
accordance with the College’s travel guidelines and print on white paper. Acquire all
necessary signatures, and remember that the President, Dr. Estepp, will need to sign any
travel advance that exceeds $500*. After all signatures are in place, send the form to
Aretha Mitchell, Business Office (ext. 7573, Room T317) or place in the Business Office
In-Box for processing. Remember to make copies for your files. A sample Travel
Advance form follows on the next page.
Loans for travel (travel advances) are available and the amount requested should be noted
on the Travel Advance form. Note that requests for travel loans must be a minimum of
$100. The temporary advance must be repaid at least sixty (60) days after the receipt of
the advance or it will be deducted from the employee’s paycheck.
*Until further notice, the President’s signature is required on all travel advances,
regardless of amount.
SAMPLE TRAVEL ADVANCE FORM
Travelers must keep receipts and accurate records of all expenses to ensure correct
reporting and submission of travel reimbursements. Each day’s expenses must be shown
separately on the voucher. Per Diem is available that will cover meals and incidentals,
but not parking fees, tolls, etc. Receipts will be required when requesting a
reimbursement of these types of expenses.
Travelers must submit two Travel Expense Reimbursement Vouchers (TERV), one on
green paper and one on golden rod paper, to the supervisor within five (5) working
days after completion of the trip where overnight travel is involved. The TERV form
provides the employee with a “page 2” for lengthier trips that require additional space for
information. BOTH colored forms require ORIGINAL signatures or they will be
returned by the Business Office unprocessed.
Sample Travel Reimbursement Forms are on the following two pages.
SAMPLE TRAVEL REIMBURSEMENT (green)
SAMPLE TRAVEL REIMBURSEMENT (page two, use if additional space is needed)
SAMPLE TRAVEL REIMBURSEMENT (golden rod/yellow)
FAST TIPS FOR TRAVEL FORMS
• ALWAYS complete a Travel Advance form prior to the date of your trip. ALL
TRAVEL, for ANY purpose, during regular business hours requires a completed
form. This rule applies to local trips and trips using a personal vehicle.
• If you are asking for an advance of funds for a trip, remember to give the
Business Office ample time to receive the Travel Advance form, process the
request, and issue a check before your trip;
• Be sure to provide the date you need to pick up the check on the form (allowing
yourself time to cash the check) and pick up your check on that date from Aretha
Mitchell, room T317;
• Keep in mind that you should estimate the funds as closely as possible to avoid
having to pay back more than the actual costs allowed for your travel;
• Although you will list the full amount of Per Diem per day on your Travel
Advance form, when requesting funds, remember to only count 75% of those
funds for the days you are actually traveling to and from your destination, and
DEDUCT the cost of meals that are provided to you through the hosting agency;
• DO NOT count the cost for mileage or registration fees that are prepaid in the
request for advanced funds;
• Advanced funds must exceed $100 before a check will be issued;
• The temporary advance must be repaid at least sixty (60) days after the receipt of
the advance or it will be deducted from the employee’s paycheck;
• To set up a direct deposit account through EDI for reimbursements, see Aretha
Mitchell, Room T317, and complete the required form;
• If the total Travel Advance exceeds $500*, the additional signature of the
President, Dr. Estepp, is also required;
• Give the original (printed on white paper) to the Business Office, and keep two
copies for yourself, one for your file and one that MUST accompany the Travel
Reimbursement form for processing.
*Until further notice, the President’s signature is required on all travel advances,
regardless of amount.
• Each Travel Reimbursement must be printed on green and goldenrod (yellow)
• Both copies must be signed with original signatures and submitted to the Business
Office with attachments of lodging receipts, parking fee receipts, and any other
costs (excluding mileage and meal receipts if using Per Diem), and a copy of the
Travel Advance that was completed and signed before the trip;
• Be sure to fill the form out completely (see example form) based on the Travel
Advance submitted prior to trip;
• The amounts input into the form will automatically total and the amount shown in
the “Grand Total” is the amount you will be required to pay back to SWCC if
you received advanced funds;
• Enter the grant charge code, reason for the trip, and the following text
“Sponsored Program,” under the “Purpose of Trip” section;
• After all authorizing signatures are acquired, print copies for your file and submit
the originals to the Business Office for processing.
IMPORTANT NOTE: All grant funded travel reimbursements MUST make the
notation of “Sponsored Program” on the form in order to be processed.
Detailed information regarding Travel Regulations is in the “Travel Regulations”
section of this binder.
Time and Effort
FROM: PRESIDENT’S OFFICE AND OFFICE OF INSTITUTIONAL ADVANCEMENT
An audit of one of our sister colleges resulted in that college receiving an audit comment
and a request for prompt implementation of new procedures to document time and effort reports
for grant funding. We reviewed the recommendations and felt it would be in our best interest to
revise our procedures accordingly to assure that all our grant programs are following acceptable
The following procedures were implemented on an institution-wide basis for reporting
time and effort for grant-funded programs:
• Each director of a grant-funded program will be responsible for the adherence of all
personnel contributing time or effort toward the grant with the policies set forth in the
enclosed guidelines. Each Grant Director will also be responsible for the timely
submittal of all time and effort reports for his/her program to Jason Vencill in the
Business Office. Delinquent reporting can result in the freezing of grant expense
accounts. Please carefully read through the enclosed guidelines and feel free to ask for
clarification on any items about which you are not clear;
• All full-time employees contributing time and effort toward a grant-funded program must
document their efforts on the enclosed Monthly Grant Time and Effort Form as
o Grant personnel receiving remuneration for grant efforts should list the total
percent of time devoted to the project; then separately document the percent of
time spent on individual activities in the appropriate category as listed on the
o Grant personnel contributing matching or in-kind hours to the project should
list total hours devoted to the project; then separately document the number of
hours spent on individual activities in the appropriate category as listed on the
• Part-Time Classified/Student Workers (Wage Employees):
Normally, the regular time sheet submitted by part-time staff will suffice as their Time &
Effort documentation. However, the Project Director may require their part-time
employees to fill out a T & E form in addition to their time sheet.
• All grant programs will follow these procedures with the exception of those grants that
require a more detailed weekly summary of matching hours as a condition of drawdown
of grant funds (such as the Department of Defense and the VA Small Business
Development Center). Also, grant directors have the individual option of requiring a
more detailed time and effort summary for their records, but this accounting should be
done in addition to, and not in lieu of, the above documentation.
Please contact Phyllis Roberts in the Office of Institutional Advancement, ext. 7588, if you
have any questions. We appreciate your cooperation and your serious attention to this
extremely important matter.
TIME AND EFFORT PROCEDURES
Any employee whose salary (wage) is funded in whole or in part by grant funds is
required to complete a time and effort form. This is required by OMB Circular A-
21: “The reports must reflect the activities for which employees are compensated
by the institution. To confirm that the distribution of activity represents a
reasonable estimate of the work performed by the employee during the period,
reports will be signed by the employee [and] principal investigator or responsible
official(s) using suitable means of verification that the work was performed.”
Failure to comply with this requirement will result in questioned costs and
possible loss of future grant funding. Non-compliance also brings about the risk
of losing state funds due to the college’s inability to meet the performance
standards relating to audits.
TIME AND EFFORT FORMS (T & E)
Time and effort will be reported on a standard form (attached). Time and Effort
reports must be submitted on schedule (see below) and must be signed by the
employee and the project director/supervisor. Faculty and full-time classified
whose salary is paid in whole or partially by grant funds must indicate the
percentage of time devoted to the total grant activity and to each activity listed.
In-kind or matching employees must indicate the number of hours devoted to the
total grant activity and to each sub-activity listed.
If a full-time faculty is charged to more than one source of funds (either multiple
grants or grant and state funds), a monthly Time and Effort report is required for
each grant worked and is due to the Business Office Grants Accountant by the
10th of the following month. These employees must indicate the percent of
effort worked for each activity checked, as well as the total percent worked for
The web version of the T & E form is located at http://www.sw.edu/facstaff.htm
and can be accessed by clicking the “Inside Southwest” link. You will be
prompted to provide your SWCC username and password.
FULL-TIME CLASSIFIED EMPLOYEES
Normally, the regular time sheet submitted by classified staff will suffice as their
Time & Effort documentation. However, the Project Director may require their
classified employees to fill out a T & E form in addition to their time sheet.
PART-TIME CLASSIFIED/STUDENT WORKERS (WAGE EMPLOYEES)
Normally, the regular time sheet submitted by part-time staff will suffice as their
Time & Effort documentation. However, the Project Director may require their
part-time employees to fill out a T & E form in addition to their time sheet.
FACULTY RANKED EMPLOYEES WORKING FULL-OR PART-TIME ON
Part-Time Adjunct Faculty who are contributing time to a grant project and have
signed a Part-Time Adjunct Faculty Contract will not need to submit a Time and
Effort form as long as the work to be performed and the hours to be contributed
to the grant project are specified in the contract.
(See Special Payment Contracts below.)
SPECIAL PAYMENT CONTRACTS
Special Pay forms require description of duties performed and will serve as the
Time and Effort report. The Business Office will maintain the payroll rosters in
EMPLOYEES WHO ARE INCLUDED IN THE MATCH
These employees follow exactly the same procedures for each grant as
employees paid by the grant. However, each Time and Effort report must
indicate that the activity is a part of the required match. Check “match” on the
All grant programs will follow the above procedures with the exception of those
grants that require a more detailed weekly summary of matching hours as a
condition of drawdown of grant funds (such as the Department of Defense and
the VA Small Business Development Center). Also, grant directors have the
individual option of requiring a more detailed time and effort summary for their
records if they feel it is warranted for their particular program, but this accounting
should be in addition to, and not in lieu of, the above documentation.
PENALTIES FOR DELINQUENT TIME AND EFFORT FORMS
The Business Office Grants Accountant will remind all grant-funded individuals
and project directors that Time and Effort forms are due by specific dates. It is
the responsibility of each individual funded by a grant or included in the match to
submit a Time and Effort report to see that it is signed by the appropriate person.
It is the responsibility of the project director to see that those reports are
submitted and turned in to the Business Office by the appropriate date.
Time & Effort reports are due as indicated below:
Full- and Part-Time Classified: All reports are due monthly – by the 10th of the
following month from work completion.
Although seeing that Time and Effort reports are turned in is not the responsibility
of the Business Office Grants Accountant, he will send out one reminder for each
delinquent report to the individual with a copy to the project director and the
If the Time and Effort report is not received in the Business Office one
week after the reminder is issued, the Grants Accountant will freeze the
account. This means no further expenditures of any kind can be made until the
“freeze” is lifted.
Both state and federal auditors and grant funding agencies regard Time and
Effort reports with great seriousness. Everyone involved with grants must,
therefore, take steps to see that these reports are filed correctly and on time.
WHERE TO SEND THE COMPLETED TIME AND EFFORT FORMS
The “original” Time and Effort reports, complete with required signatures, should
be sent to:
Copies of ALL Time and Effort reports should be sent to the Office of Institutional
Advancement, and Project Directors should maintain a file of Time and Effort
Sample Time &
Time & Effort Form
Time & Effort Form
Grants Reporting Form
Submit completed form to Office of Institutional Advancement
Sample Progress and
Final Reports Section
January 1, 2007 through March 31, 2007
Southwest Virginia Community College
ARC Asset-Based Development Grant
Southwest Virginia Community College undertook the creation of the Appalachian Arts
Center as one possible means of improving the region’s economy by providing an outlet that
would supplement income to artisans in the college’s service area by means of creating a
destination for tourists traveling throughout the region.
The ARC Asset-Based Development Grant was awarded to Southwest Virginia Community
College on September 1, 2006 to further develop the Appalachian Arts Center’s ability to
generate this income for regional artisans.
Following is a list of project objectives and a description of project status for the second
Objective #1: To stimulate economic development by generating new revenue streams for a
minimum of 50 regional artisans by:
Providing a physical marketplace for the display and sale of handmade items
During the first year of operation, the Appalachian Arts Center has almost doubled in size,
both in the number of artisans represented and in the quantity of merchandise showcased.
Because of space limitations, however, and despite a growing list of applicants, acceptance of
new members’ work has been restricted until completion of the refurbishment of the photographic
studio space. As a result, at the end of one year, the Center has 1300 items of inventory (valued at
$59,544) provided by ninety-nine artisans. Gross sales through March 1, 2007 at the Center
amount to $25,516, providing, after commissions, $19,674 of income to regional artisans.
Monthly sales through November averaged $1800, but, as with most retail entities, this figure
more than quadrupled in December and more than doubled in January.
In the revised budget submitted on, some of the grant funds are reallocated to refurbish two
additional rooms as a photographic studio space. In the previous report, this work was expected to
begin in December and to be completed in January. Unfortunately, the college could not provide
the qualified personnel to prepare this space until late March. Work is currently underway, and
appears to be progressing well. Due to these unexpected delays, the decision was made to close
off one room of the shop to temporarily set up a photographic workspace so that we could move
forward with photographing artisans’ works. Two other spaces have also been temporarily set up
for other photographic situations. However, because of less available display space at the center,
acceptance of new members and their work has been restricted until the photographic studio
space is completed.
Although some funds in the revised budget for display materials and display case/shelving have
been utilized, decisions regarding the remaining funds hinge somewhat on the completion of the
photographic studio space.
As described in the previous report, budget revisions reallocated funds for the purchase of two
computers suitable for working with digital imagery, a scanner and printer suitable for scanning
and printing high quality imagery for artisan’s portfolios, and equipment and software for
calibrating all of the equipment in order to insure consistent and true reproduction of the recorded
imagery. The computers have been purchased and installed, software for the camera has been
installed, and the software for equipment calibration has been purchased and installed. The
software to edit webpage entries on the Art Center website has also been installed. Purchase of
the additional equipment – the scanner and printer – will take place soon, after the webpage
design is further underway and significant imagery has been accumulated.
ARC Line ARC Funds 1st Qtr 2nd Qtr
Items Budget Revised Expenditure Expenditure
Materials $3,300.00 $300.00 $0.00 $0.00
Cases/Shelving $10,800.00 $6,805.50 $0.00 $1,381.13
Office Supplies $2,500.00 $7,470.49 $3,979.94 $19.56
Totals: $14,575.99 $3,979.94 $1,400.69
Total Funds Remaining in This Area: $9,195.36
Providing a professional photographer to photograph, inventory, and catalog local
samples of regional artwork;
As stated in the previous section, because of delays in preparing a photographic studio space,
temporary spaces have had to be set up in order to photograph artisans’ works. These spaces are
now operational and what equipment could be utilized in them is now in use. Photographing of
artisans’ works has begun. These spaces were also utilized recently to offer to artisans a Seminar
on Photographic Documentation of artisans’ works.
Original Funds 1st Qtr 2nd Qtr
ARC Line Items Budget Revised Expenditure Expenditure
Digital Camera $1,120.00 $1,558.80 $1,582.75 $49.95
Lighting Kit $350.00 $1,999.32 $1,753.05 $108.45
Background $200.00 $228.75 $109.90 $0.00
Background Stands $200.00 $374.14 $369.04 $0.00
Totals: $4,161.01 $3,814.74 $158.40
Total Funds Remaining in This Area: $187.87
The college is utilizing two photographers on its staff, the Program Director, and the Appalachian
Arts Center Director, to photograph the artisans’ works.
Original Funds 1st Qtr 2nd Qtr
ARC Line Items Budget Revised Expenditure Expenditure
Photographer $4,000.00 $4,000.00 $0.00 $0.00
Totals: $4,000.00 $0.00 $0.00
Total Funds Remaining in This Area: $4,000.00
Creating an Appalachian Arts Center marketing and distribution label;
In the first Progress Report it was pointed out that the Appalachian Arts Center has been
consistent with its promotional material, creating a recognizable style that has “branded” the
Center and established its initial identity, and that research had begun on developing a label/logo
for future use by the Center. Logos of other organizations have been cataloged, and discussions
have been held and are still underway as to what elements to include in a logo for the Center.
Creating an Appalachian Artisans Online Registry to showcase 50 regional artisans to
globally market uniquely Appalachian arts & crafts;
Since the last quarterly report, significant changes have taken place at the college that may impact
the nature of the developing Art Center website. Decreased enrollment has imposed financial
restrictions on the college forcing a cutback in staff hours available to the Center. Also, the lack
of a new permanent president at the college has forced a number of decisions regarding the future
direction of the Center to be postponed. Both concerns will have some resolution during the
summer if the appointment of a new president follows the current prescribed course.
The outstanding issue related to the Center’s website has to do with its utilization as a tool for
increasing sales for its member artisans. At the moment, information is being gathered on
individual artisans to incorporate into the online registry that is one stated goal of the grant. At
the time of the last report, there was anticipation that the Art Center website could be linked with
the Appalachian General Store website that was under development as an umbrella site that
would enable clients to sell merchandise through their site without much of the cost and site
upkeep required of individual selling sites. Issues related to delivery of merchandise in a timely
fashion from sellers on the site to packaging and shipping locations were being explored.
Unfortunately, development of this site has ended, which leaves many issues of promoting sales
through the Center website unresolved. Key among those issues is staff time that might
potentially be devoted to packaging and shipping of merchandise sold on the web, and the time
that would be required to constantly update items for sale on the site. Given the current
constraints on available staff hours, and the need for presidential guidance regarding the future
direction of the Center, incorporating a shopping cart component on the Center site is currently
not feasible. So, at least initially, selling from the site will be limited to potential buyers calling
the Center directly, first to determine the availability of items shown on the site, and second, to
order those items by phone from the Center, or, if the items shown on the site are merely
illustrative, to be referred directly to the artisan for purchases.
Regarding the development of the Center site, discussions have concluded with potential site
designers, and a short-term service agreement is currently in the process of being completed.
An associate of The Web Design Company will design twelve website pages with navigation that
will serve as templates for uploading information about the Center and its ninety-nine artisan
members and will conduct a daylong training session Center staff on utilizing the website editing
software. The proposed deadline for completing this work is June 30, 2007, though depending on
the various elements involved in completing each artisan’s page, this deadline is not absolute.
Original Funds 1st Qtr 2nd Qtr
ARC Line ARC
Items Budget Revised Expenditure Expenditure
Web Designer $4,000.00 $4,000.00 $0.00 $0.00
Totals: $4,000.00 $0.00 $0.00
Total Funds Remaining in This Area: $4,000.00
Providing a venue for arts displays and exhibits including four (4) seasonal arts &
As stated in the previous report, four seasonal shows at the Appalachian Arts Center were initially
planned, two of which have been completed and a third of which is currently underway.
Additionally, the Art Center is planning several more exhibits during the summer months and into
Last fall’s exhibit, The Quilts, was held in conjunction with another quilt exhibit in the Art
Gallery at SWCC. After the quilter's death in 1997, over fifty completed quilts were found in
storage in her basement along with hundreds of pieced together quilt squares. The exhibit of her
quilts attracted many local residents, and the reception honoring her proved to be a moving
experience for her family.
Works on Paper comprised the winter exhibit. An Associate Professor of Art at Bluefield
College and an Appalachian Arts Center member displayed a number of woodblock and sintra
prints, and a large number of new miniature watercolors derived from a recent trip to Italy. His
show exposed a number of Bluefield residents to the Arts Center for the first time and provided a
joyful, playful ambiance to the Center while it was on display.
Spring exhibit, Singular +Plural: Forged Ironwork and Mixed Media Sculpture, currently on
display, has provided a completely different atmosphere at the Center. A graduate from Moore
College of Art and Design and a recent Core Student at the Penland School of Crafts, handcrafted
a number of 3 dimensional art works from the pages of books, unusual found objects, and molded
glass. Her pieces, including a stitched, full-sized, picket-fence paper quilt made from an Amy
Vanderbilt book of etiquette, create the feel of a contemporary art museum at the Center, and
have provoked much discussion among art and craft students at the college. A master blacksmith
and sculptor’s work counterpoints the accompanying artist's works with gracefully forged
functional pieces of elegant design. The master blacksmith and sculptor studied metals at
Southern Illinois University at Carbondale and has taught as a Resident Artist at the Penland
School of Crafts
The next exhibit planned at the Center will begin in May, featuring the paintings and lithographs
of an alumnus of Southwest Virginia Community College. The artist holds a Masters Degree in
Fine Art from ETSU, is an adjunct art instructor there, and currently works as a graphic designer
in Ashville, NC.
A summer exhibit, Photography: Now and Then, will feature photographs about the Archie
Helton Store, the original business for which the building that houses the Appalachian Art Center
Original Funds 1st Qtr 2nd Qtr
ARC Line Items Budget Revised Expenditure re
Supplies $1,667.00 $1,400.00 $0.00 $194.73
Totals: $1,400.00 $0.00 $194.73
Total Funds Remaining in This Area: $1,205.27
Objective #2: To preserve and promote the knowledge, skills, and abilities essential for
maintaining and furthering the Appalachian culture by:
Developing and hosting a monthly series of workshops and mentoring programs including
twelve (12) workshops and four (4) business training seminars:
Since September 1st, the Appalachian Arts Center has sponsored seven art/craft workshops at the
Center and, through the college crafts program, provided transportation to an eighth workshop at
The workshops to date have been:
• Gourd Vessel workshop presented by a gourd vessel maker from the Meadows of Dan,
• Bookmaking workshop mentioned earlier as one of our Master Artists in the
Apprenticeship Program initiated last summer;
• Stained Glass workshop presented by a stained glass artist and shop owner from
• Stone Carving workshop presented by an artist and Professor of Art at Morehead State
University (transportation provided to students);
• Wire Wrap Jewelry and Bead Weaving demonstration presented by two of the
Center’s best selling jewelry artists;
• Pottery demonstration presented by a SWCC instructor, a Center member and one of our
Master Artists in the Apprenticeship Program initiated last summer;
• Metal Craft demonstration and studio tour was given by a Center member;
• Blacksmithing demonstration and studio tour was given by one of the Center’s current
Additional scheduled workshops include:
• Sheep Shearing day with a Master shearer and a weaver, where, in addition to shearing,
washing, carding, spinning and dyeing wool will be demonstrated;
• Shabori and Block Printing demonstration to be presented in the Apprenticeship
Program initiated last summer;
• Brick Sculpture demonstration and studio visit to be given by another one of our Master
Artists in the Apprenticeship Program initiated last summer;
• Basket Weaving demonstration to be presented by another one of our Master Artists in
the Apprenticeship Program initiated last summer;
• 16 hands Pottery studio tour, in Floyd County, VA.
Seven business-training seminars have been completed since the beginning of the grant period:
• Seminar on Branding and Marketing presented by the former vice president of
marketing for the Biltmore Estate and founder of the Magellan Strategy Group, an
organization specializing in marketing strategies, including branding, for tourism related
• Seminar on Gallery/Art Center Practices such as the jurying process, commissions,
promotional strategies, etc. presented at Tamarack by the Events Director and Over the
Summit Gallery by the Gallery Director. Transportation for students was provided
through the college arts program;
• Seminar on Video and Audio Documentation, Promotion and Archiving, presented
by a documentary filmmaker from Appalshop and the Director of the ETSU’s Archive of
• Seminar on Writing for the Artisan Entrepreneur, presented by a SWCC instructor
focusing on the need for and importance of effective writing of artist statements,
biographic material, promotional literature, etc.;
• Seminar on Photographic Documentation, presented by SWCC instructors focusing on
the need to have professional quality photographs of artist’s works available for
promotions, submissions for entry into galleries, exhibitions and competitions, and for a
historical record of the artist’s works;
• Seminar on Matting and Framing Techniques presented by SWCC instructor and
Currently, one additional training seminar is scheduled for May:
• Seminar on Installation Techniques to be presented by the Gallery Coordinator at
• Offering traditional music classes for twenty (20) students in fiddle, banjo, guitar,
and mandolin at SWCC’s main campus;
Traditional music classes at the college for the spring semester are well underway, taught by local
professional performing artists interested in the preservation of the traditional music of the
Course # Title Cr Instructor Students
MUS 193-30 Guitar Ensemble 1 Instructor A 6
MUS 193-31 Beginner Old Time Fiddle 1 Instructor A 10
MUS 193-32 Intermediate Old Time Fiddle 2 Instructor A 11
MUS 193-35 Beginner & Intermediate Banjo 2 Instructor B 8
MUS 193-37 Beginner Bluegrass Guitar 2 Instructor C 15
MUS 193-38 Beginner & Intermed Mandolin 2 Instructor D 8
MUS 193-40 Bluegrass String Band 2 Instructor D 8
MUS 195-01 Beginning Classical Guitar 2 Instructor A 9
MUS 195-02 Beginner Bluegrass Guitar 1 Instructor C 8
MUS 195-03 Beginner Banjo 1 Instructor E 9
Total Students: 92
In addition to the music classes at the college, the personnel involved in this music program have
in the past and again this year organized a Mountain Music Jamboree that was held one evening
in January. This event has been so popular, that not only was the auditorium this year filled
beyond its seating capacity forcing many eager listeners to stand in the hallways, but it was an
event that was so enjoyed by area residents that it went on long into the night.
A second Virginia Mountain Music Festival is scheduled for June.
Budget Totals by Quarter
ARC Funds 1st Qtr 2nd Qtr
ARC Line Items ARC Budget Revised Expenditure Expenditure
Display Materials $3,300.00 $300.00 $0.00 $0.00
Display Cases/Shelving $10,800.00 $6,805.50 $0.00 $1,381.13
Office Supplies $2,500.00 $7,470.49 $3,979.94 $19.56
Digital Camera $1,120.00 $1,558.80 $1,582.75 $49.95
Lighting Kit $350.00 $1,999.32 $1,753.05 $108.45
Seamless Background $200.00 $228.75 $109.90 $0.00
Background Stands $200.00 $374.14 $369.04 $0.00
Promotional Supplies $1,667.00 $1,400.00 $0.00 $194.73
Photographer $4,000.00 $4,000.00 $0.00 $0.00
Web Designer $4,000.00 $4,000.00 $0.00 $0.00
Totals: $28,137.00 $28,137.00 $7,794.68 $1,753.82
Remaining: $20,342.32 $18,588.50
Final Report Cover Page Sample
“Skills Upgrade for Limestone County”
ABC Community College
PO Box 1
University Park, Virginia 12345
ARC Project Number VA-12345-05
December 1, 2011 – November 30, 2012
(Date this report was submitted)
December 22, 2012
(Project Director’s name and telephone number)
Mr. John Smith
ABC Community College
Final Report Narrative (Sample)
Name of Project: _______________ ARC Project Number: _______________
Grantee Name: _______________ Grant Period: _______________
Project Director: _______________ ARC Grant Amount: _______________
Provide a short statement regarding the need for this project. What problems did
you hope to solve when you applied for ARC funding?
Describe in detail what actually happened during this grant cycle, and explain
how you implemented the project activities. If there were significant changes to
your program during the course of the project, or if the project was implemented
differently than described in your original proposal, please describe those
changes here. If you retained a consultant, list credentials and define exactly
what they were paid to do for the project.
Provide any statistical information that helps document the outcomes of your
project. Date will vary according to the type of project you completed, and it may
be difficult to document outcomes at this time. However, it is very important to
gather this kind of information so both your organization and ARC can document
In ARC’s terms, outputs measure the specific number of actions taken or the
number of people directly affected by your activities. Outcomes measure the
longer-term results of your activities. For example, a literacy training project
organized three training classes. 50 people attended regularly, and 25 people
are now able to read as a result of the training classes.
Outputs: 3 classes organized, 50 people attended
Outcomes: 25 people can now read
In addition to output and outcome measures, write an explanation of how your
project has impacted the problems you were trying to solve. Were there
What would you do differently if you were starting this project again? Describe
any major problems that may have occurred during the implementation of your
project. Knowing the types of difficulties you encountered and how you resolved
them will be helpful to other grantees that may be interested in replicating your
Program Continuation and Sustainability:
This section should describe whether and how you intend to continue program
activities after the end of the ARC grant period. Will the program continue with
other funding, and if so, what other sources of funds have been identified? If the
program is to be discontinued, has it served its purpose, or is there still a need to
solve the problems you were addressing? What additional steps are being taken
to obtain other resources needed to continue the project?
Conclusions and Recommendations:
This section summarizes your project and the lessons learned during its
implementation. Include a review of your successes and suggest ways that your
experience may be helpful to others.
Attach any material that helps to describe your project and documents your
success, such as photographs, news clippings, maps, videotapes, or website
addresses. Also, please attach copies of any written evaluations that may have
been completed for your project.
(Insert your proposal here)
Your Goals and
(Insert your grant’s information here)
Describes problem-related outcomes of your
Does not describe your methods;
Defines the population served;
States the time when the objectives will be met;
Describes the objectives in numerical terms;
Too often, grant seekers confuse means and ends. The means
are your methods. The ends are your objectives. If you begin
your statements with words like these, you are sure to be
talking about methods, and not objectives:
To provide … To establish … To create …
If you use words like these, you are more likely talking about
To increase . . . To decrease … To reduce . . .
Project objectives are measurable and should: 1) Tell
who; 2) Is going to be doing what; 3) When; 4) How much; and
5) How we will measure it.
(insert your grant’s timeline here)