Guidance Letter B-110

CLEVELAND STATE COMMUNITY COLLEGE Cleveland, Tennessee

Subject:  Development and Routing of Agreements, Contracts, and Grant Applications

In the development and processing of agreements, contracts and grant applications, the guidance provided in TBR Guidelines G-030 is to be followed.  That guideline identifies acceptable and unacceptable language, required clauses, document formats, and level of system/state approval necessary for varying situations.

  1. Approvals
    All agreements, contracts, and grant applications require the approval of the President.  The President’s approval (signature) is to be obtained prior to forwarding the document to external entities.
    In some situations other system (Chancellor) and state approvals are required.  These situations include, but are not limited to, the following:All contracts forwarded to TBR for approval must be submitted with a “Tennessee Board of Regents Contract Summary Sheet.”  Presented as Attachment 1 of this guidance letter, the form will be completed by the Office of Grants, Contracts, and Procurement.  That Office will then forward completed documents to TBR.
    1. Documents which do not adhere to the required formats and terms provided in TBR Guideline G-030.
    2. Lease/rental agreements in excess of 5 years or $15,000 annual cost.
    3. Agreements related to purchase or disposal of real property, capital outlay projects, insurance, or which have a cost in excess of $50,000.
    4. Dual Service agreements in excess of $1,500, or wherein services are for more than two courses per semester, or greater than short-term duration.
    5. Any agreement relating to matters of system-wide interest, or the provision of coordinated or cooperative programs or activities offered by another institution, or agreements which require consortia or cooperative arrangements with other institutions, agencies, or associations.
  2. Format and Provisions
    1. Required Format and Language
      TBR staff have provided in Guideline G-030 acceptable formats, inclusive of required terms and conditions, for several types of agreements.  These include:
      1. Clinical affiliations
      2. Personal, professional and consultant services
      3. Dual services (with state employees)
      4. Use of campus facilities by a non-affiliated organization
      5. Hardware, software and related services acquisition
      6. Deposit and investment of funds
    2. Impermissible Clauses
      As a constituent institution of TBR and an entity of the State, ClSCC is prohibited by entering into agreements which contain “impermissible” clauses.  Such clauses must be removed from the agreement or an amendment must be executed which renders them void prior to execution of the agreements.  Impermissible clauses include:
      1. Governing law other than Tennessee and/or consent to jurisdiction outside Tennessee.
      2. Provisions for hold harmless/indemnification by the State.
      3. Disclaimers of liability for incidental, exemplary or consequential damages.
      4. Disclaimers of express or implied warranties.
      5. Limitation on dollar amount which can be recovered by ClSCC.
      6. Limitation on time within which ClSCC may bring suit.
      7. Provisions for advanced deposits or payments.
      8. Contract durations that reflect no termination date.
      9. Provisions that ClSCC pay any taxes.
      10. Assessment of penalties and liquidated damages against ClSCC.
      11. Provisions for binding arbitration.
      12. Provisions for the award of attorney’s fees and costs in case of breach by ClSCC.
      13. Provisions requiring payment of interest, late charges, or finance charges in excess of the Tennessee Prompt Pay Act.
      14. Provisions requiring confidentiality and nondisclosure that violate the Tennessee Open Records Act.
      15. Provisions in multi-year contracts which have automatic renewal and/or do not grant ClSCC the right to terminate in the event sufficient funds are not appropriated.
      The Office of Grants, Contracts, and Procurement will work with the involved parties in the development of contract documents that meet the requirements of G-030.
  3. Development of Agreement/Contract Documents
    Relative to personal, professional, consultant and dual services contracts, when the potential contractor/vendor does not provide an agreement/contract document, one meeting TBR guidelines will be drafted by the Office of Grants, Contracts, and Procurement.  Parties requesting the contract are to provide basic information to the Office by completing and submitting either the “Personal/Professional Services Contract Information Sheet” or “Information for Dual Service Contract” form.  These one page forms are presented as Attachments 2 and 3 of this guideline and are available from the Office of Grants, Contracts, and Procurement.
    After the document has been developed by the Office, it will be returned to the requesting party for review and internal routing.  If the agreement requires TBR approval, it is also necessary to provide the Office with the information required for completion of the TBR Contract Summary Sheet (Attachment 1).
  4. Routing
    In the processing of agreements, contracts, and grant applications, broad-based input from all relevant units of the college should be considered.  The document must be approved by the President prior to submission to external entities.  The “Agreement/Contract Routing Form”, presented as Attachment 4 to this guidance letter, is to be used for internal routing of agreements/contracts to the president.  The “Grant Application Routing Form”, presented as Attachment 5, is to be used in routing grant applications or proposals.  In general, a minimum of two copies of an agreement/contract should accompany the routing form.  This permits documents with original signatures to be on file with ClSCC Finance and Administration and the other party to the contract.  If the agreement requires TBR approval and that of the Tennessee Department of Finance and Administration, a minimum of five copies of the document reflecting original signatures is required.
    In the routing process, sufficient time should be permitted to allow for ample review by each of the involved parties.  At a minimum, document review is required by the applicable director or dean; the executive administrator; the Director of Grants, Contracts, and Procurement; and the Vice President of Finance and Administration prior to submittal to the President.

 

Sources:  ClSCC Policy 1:03:02:10; TBR Policies 1:03:02:10, 3:02:02:00, 4:02:10:00 and 5:01:00:00; TBR Guideline G-030

 

Revised:  July 25, 2000                                               

                                                                                                            Attachment 1

Control No.__________________________________(filled in by TBR)      Date Received by TBR____________________________

 

TENNESSEE BOARD OF REGENTS

CONTRACT SUMMARY SHEET

PLEASE RUSH:__________ yes  __________ no                         If yes, need by:________________________________

REQUIRED – EXPLANATION FOR RUSH REQUEST _________________________________________________

____________________________________________________________________________________________________________

1.  Institution/Central Office:______________________________________________  Phone:  _______________________________

        Direct Contract Questions to:__________________________________________   Fax:_________________________________

                                                                                                                                                          E-mail:_______________________________

2.     Contract with:______________________________Address:_______________________________________________________

        Contact Person:______________________________________________________Phone:_______________________________

3.     Purpose of Contract:_______________________________________________________________________________________

        ________________________________________________________________________________________________________

        ________________________________________________________________________________________________________

4.     Is this contract a:

                    Drafted Contract                                                              ____       Vendor Generated Contract                ____     

                    Standard Form Agreement                                             ____       Vendor Contract w/Amendment        ____

                    Renewal of an Existing Contract                                    ____       Contract includes Confidential        

                    Modification of Existing or Form Contract                  ____          Research Agreement                        ____

                    Software License Agreement                                         ____

 

COPIES OF AGREEMENT BEING AMENDED, EXTENDED OR SIMLILAR CONTRACT ATTACHED FOR REFERENCE AS WELL AS ANY EXHIBITS.

 

IF MODIFCATION, PLEASE CIRCLE OR HIGHLIGHT WHICH PREPRINTED OR PRIOR TERMS HAVE CHANGED ON A PHOTOCOPY OF THE CONTRACT AND ATTACH TO THIS FORM.

 

5.     Contract Terms:

                    Dates:  Start_______________  End:_______________ Renewal:_______________ Payment Due:__________________

                    Payment Frequency:________________________________  Amount per period:_________________________________

                    Total Amount of Contract:_____________________________________________________________________________

                    Lease:____________ yes  ____________no

6.     Account Charges:________________________________________ Account Credits:___________________________________

7.     Signature of Institution official certifying compliance with TBR Purchasing Procedures:_________________________________

        Date forwarded to TBR:________________________  Form completed by:___________________________________________

C:/myfiles/contract.sum.wpd

                                                                         

                                                                                                            Attachment 2                          

PERSONAL/PROFESSIONAL SERVICES

Contract Information Sheet

 

Contractor Name:____________________________________________________________­­­__________

 

         Address:  _______________________________________________________________________

 

                        _______________________________________________________________________

 

                        _______________________________________________________________________

 

         Signatory Name:______________________________ Title:_______________________________

 

         Federal Tax ID (SSN for individual):__________________________________________________

 

         Contact:________________________________________ Phone:___________________________

 

Contract Duration:  From______________________________ Through___________________________

 

Contract Payments:  Total Amount:________________________________________________________

 

         Total amount based on the following payment rate/schedule:_______________________________

 

         ________________________________________________________________________________

 

         ________________________________________________________________________________

 

Description/Scope of Services to be Provided:________________________________________________

 

_____________________________________________________________________________________

 

_____________________________________________________________________________________

 

_____________________________________________________________________________________

 

_____________________________________________________________________________________

 

_____________________________________________________________________________________

 

_____________________________________________________________________________________

 

_____________________________________________________________________________________

                                                            Use Additional Pages as Necessary

Special Considerations:__________________________________________________________________

_____________________________________________________________________________________

_____________________________________________________________________________________

                                                            Use Additional Pages as Necessary

 

Party Requesting Document:___________________________________  Date______________________

 

         Phone:__________________________ Required By_______________________________

                                                                                                          

                                                                                                            Attachment 3

 

INFORMATION FOR DUAL SERVICE CONTRACT

(Services Provided By A State Employee)

Name of Individual Providing Service:__________________________SSN_________________

Vendor (Employing Institution/Agency)_____________________________________________

         Address __________________________________________________________________

                       __________________________________________________________________

         Official Signatory Name:_________________________ Title _______________________

         Address (if different from above):______________________________________________

                                                               ____________________________________________

Contract Duration:         From:  __________________, 200_   to __________________, 200_

Service to be Performed:__________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

                                                            Use Additional Pages as Necessary

 

Compensation:               Base                                                     __________

                                  

                                    FICA + Med (7.65%)                            __________

       

                                    Ret. (TCRS, 6.19%; Optional, __%        __________

 

                                                Total                                         __________

If Multiple Payments, Payment Rate & Schedule:______________________________________

______________________________________________________________________________

Special Considerations:___________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

                                                            Use Additional Pages as Necessary

 

Party Requesting Document:____________________________________ Date:______________

 

                                                                                                          

                                                                                                            Attachment 4

AGREEMENT/CONTRACT ROUTING FORM

 

SECTION 1.  TO BE COMPLETED BY EMPLOYEE INITIATING PROCESS

 

Agreement/Contract between ClSCC and ____________________________________________________________

 

Agreement/Contract Term:  From________________________________ Through___________________________

 

Contract Budget Amount:  $______________________________________________________________________

 

Purpose of Agreement/Contract:___________________________________________________________________

 

_____________________________________________________________________________________________

 

_____________________________________________________________________________________________

 

This Agreement/Contract:                                                                                                                                    Yes           No

1.  Was originated by an agency other than ClSCC                                                                                       ______  ______

2.  Is with a state employee                                                                                                                                ______  ______

3.  Is a rental/lease agreement                                                                                                                            ______  ______

4.  Is a consortia or cooperative agreement with another/other institution(s), agency or association  ______  ______

5.   Requires matching funds                                                                                                                             ______  ______

      If so, state account number and code where matching funds are budgeted.                                                    

_____________________________________________________________________________________________

Signed___________________________________________________________   Date_______________________

                                    Individual Initiating Process

 

NOTE:  A “yes” to any item may require additional work on the agreement or special approval by the Chancellor and/or the Tennessee Department of Finance and Administration.

 

SECTION II.  TO BE COMPLETED BY DESIGNATED PARTY

This agreement has been reviewed and recommended for approval by:  (initial and date in each case).

            Director/Dean                                                                                                           __________         __________

            Executive Administrator*                                                                                       __________         __________

            *Not necessary when President is Executive Administrator

SECTION III.  TO BE COMPLETED BY GRANTS, CONTRACTS AND PROCEDUREMENT

Date Received:____________________________________  Assigned Contract #:___________________________

Modification Required:  Yes_____  No _____  Comments:______________________________________________

_____________________________________________________________________________________________

_____________________________________________________________________________________________

Director, Grants, Contracts and Procurement:  Initials________________________  Date_____________________

SECTION IV:  TO BE COMPLETED BY DESIGNATED PARTY

This agreement has been reviewed:

            Vice President, Finance & Administration:  Initials_______________________  Date___________________

This agreement/contract accompanying this form has been:

_____  A.  Approved

_____  B.  Approved – Subject to approval by the Chancellor and/or the TDFA Commissioner.

                            (Not to be implemented until such approval is secured.)

 

                                                                                                Signed____________________________________________

                                                                                                                                                                President

                                                                                                                                                Attachment 5

 

CLEVELAND STATE COMMUNITY COLLEGE

GRANT APPLICATION ROUTING FORM

APPLICATION DEADLINE:____________________________________________________________

PROGRAM TITLE:____________________________________________________________________

 

_____________________________________________________________________________________

 

DIVISION/DEPARTMENT(S) IMPACTED:________________________________________________

 

FUNDING SOURCE:___________________________________________________________________

 

_____________________________________________________________________________________

 

POTENTIAL AWARD:  Amount  $_____________________________   Months __________________

 

BUDGET SUMMARY:   Personnel          $______________   Travel                           $____________

                                                  

                                                    Equipment             $________________     Materials/Supplies               $_____________

 

                                                    Student Awards   $________________     Indirect                                  $_____________

                                                                                  

                                                    Other (specify)     $______________________________________________________

 

REQUIRED MATCH:              Cash                       $________________     In-kind                                   $_____________

Originator:______________________________________________________________Date__________________

 

REVIEW AND RECOMMENDATION

 

__________________________________________      ___________________        _______            _______

                            Director/Dean                                                                       Date                           Yes                        No

__________________________________________      ____________________     _______            _______

                  Executive Administrator                                                               Date                            Yes                       No

 

__________________________________________      _____________________   _______            _______

       Director, Grants, Contracts and Procurement                                       Date                            Yes                       No

__________________________________________      _____________________   ________         _______

        Vice President, Finance and Administration                                       Date                             Yes                      No

 

PRESIDENTIAL APPROVAL FOR APPLICATION SUBMISSION

______________________________________________________                                                          _______________________

                                                    President                                                                                                                   Date

 

CSCC AD2160-90

Rev. 9-1994