Preparing proposal budgets
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Preparing Proposal Budgets. Matt Berry, Tonya Easley, Tena Smith and Fran Stephens Proposal Development Specialists Office of Research Services. Types of Proposals. Federal or Non-Federal (State or Local) Foundation/Non-Profit Industry International Subcontract/Subaward.

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Preparing Proposal Budgets

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Preparing proposal budgets

Preparing Proposal Budgets

Matt Berry, Tonya Easley, Tena Smith and Fran Stephens

Proposal Development Specialists

Office of Research Services


Types of proposals

Types of Proposals

  • Federal or Non-Federal (State or Local)

  • Foundation/Non-Profit

  • Industry

  • International

  • Subcontract/Subaward


Budget components

Budget Components

  • Direct Costs

  • Indirect Costs (IDC) – hereinafter referred to as Facilities and Administrative Costs (F&A)


Direct costs

Direct Costs

  • Expenses identified specifically with a particular sponsored project, instructional activity, creative or artistic pursuit, or other institutional activity

  • Expenses that can be assigned to a particular sponsored project with a high degree of accuracy

  • Must be allowable, allocable, reasonable & necessary for the program, given consistent treatment and conform to sponsor limitations


Typical direct costs

Typical Direct Costs

  • Include:

    • Compensation of employees for work under a sponsored agreement

    • Related fringe benefit costs

    • Materials consumed or expended in the performance of the work

    • Other items of expense incurred for the sponsored agreement provided such costs are consistently treated (e.g., travel, equipment)


Facilities administrative costs

Facilities & Administrative Costs

  • Costs incurred for common or joint objectives which cannot be identified to a specific direct cost activity

    • Facilities

    • Salaries of administrative and clerical staff

    • Office supplies (May be allowable if attributed directly and specifically to the project)

    • Postage (May be allowable if attributed directly and specifically to the project-NO STAMPS!)

    • Memberships


Budget categories

Personnel Costs

Fringe Benefits

Equipment

Travel

Participant Support Costs

Other Direct Costs

Research Materials and Supplies

Publication costs

Consultants

Computer/ADPE Services

Subcontracts

Tuition

Other

Budget Categories

  • Facilities & Administrative Costs (F&A)

  • Cost Sharing

Note the following slides are formatted to follow the ORS generic budget

spreadsheet which is recommended for all budgets.


Types of personnel costs

Faculty – Academic Year

Faculty - Summer

Professional Staff

Post Docs

Professional Staff – Limited (temporary)

Classified Staff (hourly)

Graduate Students (GRA/GTA)

Undergraduate Students

Other

Types of Personnel Costs


Fringe benefits rates fy 07

Fringe Benefits Rates - FY 07


Equipment

Equipment

  • Items costing over $5,000 and having a useful life of one year or more

  • Includes freight and shipping costs

  • Fabricated Equipment

  • Exempt from F&A


Domestic travel

Domestic Travel

  • Airfare, Lodging

  • Car Rental (Not in Oklahoma)

  • Per Diem, Mileage

  • Parking Fees/Pike Pass

  • Registration Fees

  • Local Transportation (Taxi, Metro, Shuttle)

  • Travel to Canada or Mexico is agency specific

  • GSA Rates (http://www.gsa.gov)

  • OU Travel Policy link:

    • http://www.ou.edu/aa/travel.htm


Foreign travel

Foreign Travel

  • Airfare

  • Apartment Rental

  • Car Rental

  • Local Transportation

  • Lodging

  • Per Diem

  • Registration Fees

  • Safety and security costs may also be included dependent on location

  • Travel to Canada or Mexico is agency specific


Participant support costs

Participant Support Costs

  • Agency specific (only applicable in limited circumstances)

  • Intended for conferences, meetings, symposia, training activities, and workshops

  • Participants or trainees may not be employees

  • Stipends

  • Cost of transportation

  • Subsistence

  • Other related costs


Other direct costs

Research Materials & Supplies

Publication Costs

Consultant Services

Computer Services

Subcontracts

Tuition

Other

Other Direct Costs


Other direct costs1

Chemicals

Expendable Equipment

Computer Software

Computer Supplies

Lab Supplies (Gases and Fuels)

Cartridges for Copiers/Printers/Faxes

Research Supplies (allocable to the project)

Reference Materials

Other Direct Costs

Research Materials & Supplies


Other direct costs2

Other Direct Costs

  • Publication Costs

  • Consultant Services

    • Letter of commitment

  • Computer Services

  • Subcontracts

    • Entire sub-proposal

    • Institutional letter of commitment


Other direct costs tuition

Other Direct Costs - Tuition

  • Graduate Research Assistant (GRA) labor budgeted on sponsored programs determines the amount of tuition to be budgeted

  • GRA labor budgeted is multiplied by a percentage to arrive at the tuition amounts requested from sponsor and provided by the Graduate College

  • Tuition is excluded from F&A

FY 07 Cost of Tuition Remission is 32%


Other direct costs other

Other Direct Costs - Other

Communication Costs:

  • Express Mail Charges

  • Fax Charges

  • Mobile Phone Services/Pager Fees

  • Postage (No Stamps!)

  • Telecommunication

  • Long Distance charges

  • All charges must be directly attributable to project


Other direct costs other1

Other Direct Costs - Other

  • Copying

  • Animal care costs

  • Human subject care costs

  • Maintenance agreements

  • Audio/visual services

  • Construction/renovation/remodeling costs

  • Costs for workshops/conferences/technical meetings (if including food costs, state such in budget & justification)

  • Contractual expenses/services/fees


Other direct costs excluded from f a

Other Direct Costs(Excluded from F&A)

  • Amount of Subcontract exceeding $25,000

  • Scholarships/Fellowships

  • Tuition Remission

  • Rental Costs – Off Campus Facilities

  • Equipment and Capital Expenditures

  • Patient Care Costs


Facilities administrative f a cost rates fy 07

Facilities & Administrative (F&A) Cost Rates – FY 07


Calculating f a

Calculating F&A

  • Identify Exclusions

    • Equipment

    • Capital Expenditures

    • Tuition remission

    • Rental costs of off-site facilities

    • Scholarships/Fellowships

    • Subcontract amounts in excess of first $25,000

    • Patient Care Costs

  • Modified Total Direct Base (MTDC)

    = Total Direct Costs minus exclusions listed above


Common budget dilemmas

Common Budget Dilemmas

  • Subcontractor versus Consultant or Vendor

  • Consultants on Oklahoma Teachers Retirement

  • Fellowship versus Stipends for Students (Is the student an employee?)


Cost sharing sources

Cost Sharing - Sources

  • PI Contributions

  • Departmental Contributions

  • University Contributions

  • Vice President for Research

  • Third Party Contributions (Subcontractors, Industry, etc.)

  • Oklahoma Regents for Higher Education

  • Contributed and Unrecovered F&A


Sponsor required cost sharing

Sponsor-Required Cost Sharing

  • Equipment

  • Contributed F&A

  • Unrecovered F&A (F&A not allowed or F&A associated with Cost Sharing; not in all cases-check guidelines)

  • Regents Matching Funds


Requesting cost sharing from the vice president for research

Requesting Cost Sharing from the Vice President for Research

  • http://research.ou.edu/about/cost_share_req.asp


Arithmetic

Arithmetic

  • Fringe Benefit Rate

  • GRA Tuition Rate

  • F&A Rate

  • MTDC Exclusions

  • Budget Total

    • Correct?

    • Within Sponsor Limits?

    • For All Years?


How ors can help you

Perform budget review

Ensure calculations, fringe and F&A rates are correct

Ensure budget conforms to sponsor requirements or limitations

Ensure that subagreement documents are in line with budgeted amounts

Ensure that any cost sharing is approved and documented prior to submission

How ORS can help you


Useful link for proposal preparation

Useful Link for Proposal Preparation:

  • http://research.ou.edu/proposal/generic_budget.html

    Site with downloadable budget templates.

  • http://research.ou.edu/about/rateagr.html

    Site with downloadable F&A and fringe benefit

    rate agreements.


Preparing proposal budgets1

Preparing Proposal Budgets

Thanks for joining us today!

Tena Smith (A – D) : [email protected]

Tonya Easley (E – L): [email protected]

Fran Stephens (M – R): [email protected]

Matt Berry (S – Z, CIMMS) : [email protected]

(405) 325-3901


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