General Information GRANTS OFFICE TO REVIEW ALSO
The material in this section follows guidelines provided by the South Orange County Community College District (SOCCCD) and the Saddleback College Office of Grants and Contracts, and is current as of 2016. For detailed information regarding the Grants process and administration, refer to the Saddleback College Grants Manual (found on the Grants and Contracts webpage under the “Documents and Resources” section) and the South Orange County Community College District’s Grants Manual. (LINK PENDING)
3.2 Grant Application Process
Grant Application Process
Faculty, administrators, staff, or the Office of Grants and Contracts may initiate interest in pursuing a grant. The individual responsible for carrying out grant activities described in the grant application is the Project Director. The Project Director, in conjunction with the Grant Analyst, will prepare the grant application. The Project Director is responsible for the work involved with developing and implementing the grant, compliance with the granting agency’s terms and conditions, required reporting, grant outcomes, and other required elements.
Once a preliminary decision has been made to apply for a grant, the Project Director will contact the Manager of Grant and Contracts who will assign a Grant Analyst. Once assigned, the Grant Analyst will discuss the process of obtaining institutional support and approval – the first step of which is completion of the “Grants Request form”. The Dean or assigned Project Director is responsible for completing the grant request form (in-house document). The grant request form is the official document that will trigger the grant application process. This process will provide the appropriate notifications and approvals of all Deans and offices that may be impacted by the pending grant application. The Project Director or Dean can work with the Grants Analyst to complete the form. While the Grant Analyst can answer questions related to the overall grant project, the Project Director or Dean must provide specific information as it relates to grant alignment.
Once the Project Director or Dean completes the grant request form the assigned Grants Analyst will obtain necessary signatures. The grant request form must be reviewed, approved and signed by the Project Director’s Dean, Vice President of Instruction (if grant involves faculty and/or curriculum), the Vice President of Student Services (if grant involves student services), and Vice President of Administrative Services (required for all grants).
The Grant Analyst will create a time-line for the development of the grant package, application editing and review and submission. Once the grant application and attached documents have been proofread for correctness and completeness the grants office will coordinate with District services at least five days before the due date to obtain signed approvals of the budget, application, and related attachments. Lacking adequate time for appropriate review, except in extenuating circumstances, grant proposals may not be submitted. Grants office staff requires sufficient time to conduct a final review of the completed proposal to ensure that it complies with all standard SOCCCD regulations, policies and procedures. It is the responsibility of the Project Director toensure that the proposal meets the formatting requirements specified in the program announcement.
Once the budget and application package have been reviewed, approved and signed District Accounting will forward the completed application package to your college Grants Office. The College Grants Office will submit the proposal.
**If a proposal is not officially approved by the College AND the SOCCCD as indicated by receipt of all required signatures the award may not be accepted. Required Signatures: District Chief Business Office, District Vice President of Information Technology and in some instances, the District Chief Executive Office
3.3 Grant Acceptance Process
Grants over $100,000 must be Board approved. The college Grants Office/Fiscal Office will prepare a Board Agenda Item for Board acceptance if required. Grants under $100,000 may be Board approved via the contract process. Once an item receives Board approval, the college Grants/Fiscal Office will submit a budget amendment through Workday with the award documentation attached. District Accounting will review the budget amendment and post the update.
**Refer to the Saddleback College Grants website in the “Documents and Resources” section under “Board Agenda Documents and Specifications” for further guidance on submitting Board Agenda Items for approval.
3.4 Grant Budget Establishment and Revision Process
Grant acceptance by the Board of Trustees does not automatically result in the establishment of a grant budget. The Office of Grants and Contracts will work with the Project Director and/or Dean to establish a grant budget. The Grant Analyst will input required data into the Workday system.
If the grant funding is revised during the term of the grant, a budget amendment is also required to revise the original grant budget. The Project Director must work with the grants office to amend the budget in Workday. Budget amendments may also require funder approval. The grants office can help determine if funder approval is required.
3.5 Grant Terminology and Roles
Award – Workday terminology which identifies a contractual relationship between college and funder which commits college to perform certain services and receive reimbursement for costs incurred.
Award Contract Reviewer - Person identified in award set-up in Workday who has authority to view Award activities in Workday.
Grant – Commonly referred to as the “bucket of money” in the Workday system relating to awards. In the Workday system the grant is the primary cost organization for accounting in Grants Management. Used as a worktag in Workday. The grant captures the basic information needed to process grant activities including information used to manage and report on the grant. A grant may be linked to one and only one award. Finally, use of the grant supports related worktags. The grant is also used to detail information regarding roles and responsibilities. For example, you can identify and assign roles for your principal investigators or researchers, grant managers and financial staff. This allows you to define security, execute auto-routing, and individualize reporting.
Grants Analyst – College staff assigned to oversee the administrative and regulatory process of a grant award. Liaison between college and district.
Grant Hierarchy -
Grant Reviewer – Workday role having authority to approve spend and other processes in the system.
Principal Investigator - A common point person for an award recipient. A faculty member or academic is often the principal investigator at a university or college. The PI is responsible for the direction and success of any research, scholarship, education or training supported by the award. The PI is also responsible for ensuring the funded program is carried out in compliance with university policy, governing laws and regulations, and sponsor requirements.
Principal Investigators must:
1) Be set up in Workday to receive notices about end of month/quarter/year end milestones for a program – please ensure this is set up for each PI and program
2) Each quarter must print and sign quarterly listing of expenditures to approve/attest to their validity. They will run the “All Award Spend Summary for Grants” report. This information (report with signature of PI) should be kept in the official file for the program by the campus Grant Office. Scan the signed report from the Principal Investigator and attach it to the applicable Award in Workday!
Responsible Grant Official – Workday role which holds over-all fiscal responsibility for approving expenditure of grant funds in the Workday accounting system. Typically this person is a dean or higher level college executive.
Senior Accounting Specialist –
There are a variety of reports available in Workday. The Grants Management module also has a specific set of custom grant reports that are useful. In general, the Workday reports that may help the most to manage your grant and/or categorical program are:
- SOCCCD Ledger Account Balance Summary
- Find Requisitions
- Find Purchase Orders
- Find Supplier Contracts
- SOCCCD Open Purchase Orders
- SOCCCD Open Supplier Contracts
- For Grants Only: SOCCCD Award Budget to Actuals – Object Class
Each of these reports and accompanying instructions are described in “Health Check” document located on the SOCCCD website. (LINK PENDING)
The following information regarding contract procedures has been provided by the Office of the Vice Chancellor, Business Services of the South Orange County Community College District.
Before you process a contract, agreement or memorandum of understanding (MOU), consider the following first:
- Review the “Criteria for Distinguishing between Employees and Independent Contractors” and the IRS Questionnaire (attached) to determine whether the relationship is one of an employee or contractor. You can also find these documents online at the SOCCCD SharePoint site: https://sharepoint.socccd.edu/ > Business Services > Purchasing>Contracts and Guidelines.
- An employee may not be paid as a consultant or contractor.
- An employer may not issue a W-2 and a 1099 in the same calendar year to one individual. Example: Prior employees (in a terminated status) cannot be paid for contracted services in the same calendar year that they were paid as an employee.
- A consultant/contractor must have an independent business with its own tax I.D. number.
- The Vice Chancellor of Business Services is the only authorized signatory for all contracts, agreements or memorandum of understandings. College staff is not authorized by the Board of Trustees to sign contracts, agreements or MOUs.
- Contracts, agreements or MOUs, with a dollar value of $100,000 and above, MUST be submitted as an agenda item for board approval through your college established procedures before the Vice Chancellor of Business Services may sign.
- Contracts, agreements or MOUs with a dollar value of less than $100,000 can be signed by the Vice Chancellor without prior board approval and will be submitted for board ratification through the Vice Chancellor of Business Services.
How to Process Consultant or Contractor Contracts under $100,000
1. Fill in the contract. (A sample contract is provided at the end of this section). Be sure to enter the requisition number on the contract. Contact Vice Chancellor’s Assistant at the District office, if you have any questions.
To find the current Independent Contractor form look in the SOCCCD SharePoint site: https://sharepoint.socccd.edu/ > Business Services > Purchasing>Contracts and Guidelines.
Contracts, agreements or MOUs may come in many different formats and should be reviewed carefully before submitting to the Vice Chancellor for signature. In some cases, legal review of the document may be necessary. If so, the Vice Chancellor of Business Services office will assist you in the legal review process. However, if you use the district approved contract (sample attached), no legal review is required.
Note: 1) All blanks must be filled in, and 2) indicate all places that a signature is needed.
2. Initiate a supplier contract in Workday per the instructions in Workday training materials. This may be saved in “draft” form until a fully executed contract can be attached to the supplier contract for submission in Workday.
3. Complete a Contract Approval Cover Page. This page is available on the District’s Sharepoint site at the following link: Contract Approval Cover Page
4. Submit the contract and cover sheet to the Office of the Vice Chancellor of Business Services in accordance with the routing instructions noted on the Contract Approval Cover Page. The contract will be signed by the Vice Chancellor and mailed to the consultant or contractor. When the document is fully executed by the district and the consultant, a copy will be returned to the initiator and the original will be filed in the District Business Office.
5. A fully executed copy of the contract can be attached to the draft supplier contract and submitted in Workday.
6. Submit the invoice(s) to Accounts Payable for payment as per agreed upon schedule shown in contract. When processing invoices, ensure the following rules are adhered to:
- The designated department staff must sign the invoice(s) to verify the work was completed and is ready for payment.
- Be sure to record the supplier contract number on the invoice.
- The invoice must show the terms as stated on the contract, such as the hourly rate, the 'not to exceed' amount, and expenses if shown on the contract (expense receipts must be attached).
7. Itemized receipts are required to reimburse the consultant for any expenses. Keep in mind that:
- All expenses to be reimbursed to the consultant must be shown on the contract.
- All expenses must be paid on the same requisition as the contract payment.
- Lodging, airfare, car rental, registration fees, mileage, etc. are typically borne by the consultant and used by him/her as a deduction for tax purposes. It would be unusual for the District to pay a consultant for any expenses.
- All expenses paid will be shown on the consultant's 1099 form as income.
How to Process Consultant or Contractor Contracts of $100,000 and Over
- Process board agenda item for Consultants/Contractors through established procedures at the college. Include, as part of your board agenda item, a completed but unsigned contract marked as "Exhibit A".
- Once the contract is Board approved, follow the procedures shown above for "How to Process Consultant or Contractor Contracts under $100,000", beginning at Step 2. [Note: When forwarding contract to the Vice Chancellor's office for signature, include a note that "contract was board approved on (date)”.]
CRITERIA FOR DISTINGUISHING BETWEEN EMPLOYEES AND INDEPENDENT CONTRACTORS
A frequent source of confusion is the criteria that should be used in distinguishing whether a person performing services is an employee or a consultant (independent contractor). The Common Law Rule used by the Internal Revenue Services and Social Security to determine employee/employer relationships states:
“A Worker is an employee under the common law rules if the person for whom he works has the right to direct and control him in the way he works, both as to the final results and as to the details of when, where and how the work is to be done. The employer need not actually exercise the control; it is sufficient that he has the right to do so. Where the employer does not possess that right, the individual involved is an independent contractor, not an employee”.
In addition, the following is a list of some of the factors that might be considered:
- A person who is required to comply with instructions about when, where and how he is to work is ordinarily an employee.
- Training of an individual by an experienced employee who works with him is a factor of control because it indicates that the employer wants the services performed in a particular method or manner. Independent contractors ordinarily use their own methods and receive no training from the one who purchases their services.
- The establishment of set hours of work by the employer is a factor indicative of control.
- The furnishing of tools, materials and the like by the employer is indicative of control over the worker.
- The right to discharge is an important factor in determining whether the one possessing that right is an employer of an employee. He exercises control through threat of dismissal. An independent contractor, on the other hand, cannot be fired so long as he produces a result that measures up to his contract specifications. The fact that a right to discharge may be limited under a collective bargaining agreement does not detract from the existence of an employer/employee relationship. Compensation for consultant contracts should be as a fee for services performed, a report completed, etc., and should not include any employee type fringe benefits.
NOTE: An assignment of a District employee who agrees to perform additional services is to be processed as an employee for all purposes, even if the additional services are not related to regular duties. If, however, a regular employee maintains a formal consulting firm or is a member of a company or consulting firm, he/she may work as such and be compensated through the outside vendor. In such cases, the employee must be prepared to validate that their relationship with an outside vendor is legitimate. If the person is a retiree, he/she must be prepared to validate his/her independent contractor status or be subject to losing his/her retirement status if the maximum allowed earnings as an employee is exceeded.
INDEPENDENT CONTRACTOR AGREEMENT
This Agreement is made and entered into this __________ day of __________ , _________ between: Requisition No.
South Orange County Community College District
28000 Marguerite Parkway, Mission Viejo, California 92692-3635
Telephone (949) 582-4664
hereinafter called DISTRICT, and
hereinafter called CONTRACTOR.
WHEREAS, the DISTRICT is authorized by Section 53060 of the California Government Code to contract with andemploy an independent contractor specially trained to perform special services required; and
WHEREAS, the CONTRACTOR is specially trained and experienced and competent to perform the special servicespursuant to this agreement.
The parties agree as follows:
The period of this Agreement shall be effective from _______________________ to _______________________ and may be modified bymutual agreement of the parties. The DISTRICT shall have the discretion to terminate this contract byproviding CONTRACTOR 30 days prior written notice.
The CONTRACTOR shall, at times and places designated by it and acceptable to the DISTRICT perform thefollowing services:
The DISTRICT shall pay the CONTRACTOR $_________________________ per hour, not to exceed $__________________________ . The DISTRICT will pay expenses in the amount of $__________________________ . The total contract amount is $_________________________ (including expenses). Upon completion of the services provided for hereof and upon a signedinvoice acceptable to the DISTRICT and approved by payment will be made.
The DISTRICT shall not be liable to the CONTRACTOR for personal injury or property damage sustained byhim/her in the performance of this contract, whether caused by himself/herself, the DISTRICT, its officers,agents or employees, or by any third party. CONTRACTOR agrees to and does hereby indemnify, holdharmless and defend the DISTRICT and its governing board, officers, employees and agents from everyclaim or demand made and every liability, loss, damage or expense, of any nature whatsoever.
While performing service hereunder, the CONTRACTOR is an independent contractor and not an officer,agent or employee of the South Orange County Community College District inclusive of Saddleback Collegeand Irvine Valley College.
Neither party shall assign this Agreement or any part thereof without the written consent of the other party.
WITNESS the parties hereto the day and year first above written:
Contractor: South Orange County Community College District
By: By: Dr. Debra L. Fitzsimons
Title: Title: Vice Chancellor, Business Services
Contact Person: College Contact Person:
Contract Form Approved by Schools Legal Service, Orange County Department of Education (02/02/2002)
3.8 Saddleback Campus Contracts
The Saddleback College Cafeteria is operated by S&B Foods. The on-site manager of the cafeteria at Saddleback College is James Gau, who can be reached on campus at ext. 4659. The email address for the cafeteria is SCCAFETERIA@Saddleback.edu. Current ASG cardholders receive a 10% discount.
Refreshments and meals must comply with Board Policy 3520, “Refreshments and Meals at District Functions.” As per the SOCCCD/Saddleback College agreement with S&B Foods, S&B Foods must be given first priority for College-sponsored functions. Contact the cafeteria directly for menu options and pricing. If S&B Foods cannot provide the variety and quality of services required at reasonable and competitive prices, food service customers may select another vendor.
Vending machines on campus are supplied by First Class Vending as a subcontractor to S&B Foods. Customers requesting a refund for lost money in the machines can seek a refund through the cafeteria. Please report broken machines to the Fiscal Services Office.
The college has a multi-year contract with Pepsi as the supplier of carbonated beverages, water, and other drink products at the college. Saddleback College’s contract with Pepsi provides for an annual product donation of a number cases of carbonated beverages and water. An email is sent out in fall of each year, notifying program managers and administrators of the availability of donated products for distribution at the college; those interested are urged to respond to the email to request a donation. In addition to donated product, Pepsi provides a small allowance to the college for Pepsi “gear”; this allowance is typically provided to ASG for the purchase of Pepsi gear such as bean bag toss and other games, speakers, earbuds, outdoor furniture, and other items.
Areas wishing to obtain a large number of cases of Pepsi products should contact the Fiscal Services office for information on how to order directly from the Pepsi distribution center (not through another vendor such as Costco). Purchasing through the distribution center will ensure a high level of customer service (e.g. delivery to any location on campus) and will ensure the college receives appropriate “credit” towards the college’s target number of cases of product.
Pepsi Refunds and Repairs
Customers requesting a refund for lost money in the machines can seek a refund through the Student Payment Office located on the second floor of the SSC building, room 208. Please report broken machines to the Fiscal Services Office so repair can be requested.
Satellite Coffee Cart Services “The Drip Coffee”
Satellite Coffee Cart provides coffee and food services at three locations at Saddleback College; BGS Building, Library/LRC and the Village Café. Students with a current ASG card receive a 10% discount.
Payphone Stations Innovations (PSI)
Payphone Stations Innovations, currently provides service to 5 payphones located on the Saddleback College campus for emergency purposes. This service is being phased out and the payphones will soon be removed.
Follett has been contracted to manage the Saddleback College Bookstore. Follett will supply textbooks (new, used and rental), saddleback college apparel, school supplies and technology items for all students, staff, and faculty. Items purchased by the District and the College are eligible for a 20% discount from retail, except textbooks, computer hardware, and software. Faculty and staff receive a discount of 10% on any item not on sale, excluding textbooks, computer hardware, and software. Saddleback College ASG cardholders receive a 10% discount excluding textbooks, computer hardware, and software.
Schools First Federal Credit Union has an automated teller machine (ATM) at Saddleback College, located on the first floor of the SSC building.