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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

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



Participant Support Costs

Other Direct Costs

Research Materials and Supplies

Publication costs


Computer/ADPE Services




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


Types of Personnel Costs
  • 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 (
  • OU Travel Policy link:
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




Other Direct Costs
other direct costs1

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
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
  • 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:

Site with downloadable budget templates.


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) :

Tonya Easley (E – L):

Fran Stephens (M – R):

Matt Berry (S – Z, CIMMS) :

(405) 325-3901