grant budgeting ii final - azusa pacific university...grant budgeting faq # 3 in-kind contribution...
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GRANT BUDGETING II
Present byJosephine Wong / Marta Cenac
Office of Research and Grants, APUApril 23, 2014
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OBJECTIVES
7 grant budgeting tips 6 grant budgeting FAQ answers A brief introduction to Federal grants budgeting Discussion A glance of ORG budget template (if time allows)
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BUDGETING
Is a part of project _____ process
_________ all “Needed” resources
Is an _________ Is the , if
awarded.
DESIGN
QUANTIFY
ESTIMATE
SPENDING PLAN
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GRANT BUDGETING TIP # 1START WITH STEP ONE
1st question – Why am I doing this? 2nd question – How much do I need? 3rd question – How much can the funder provide? 4th question – What kind of expenses are allowed or
disallowed? 5th question – How can I present the need in a smart
way?
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THE FOUNDATION OF A GRANT BUDGET - 5 WS
WHY
WHAT
HOW
WHO
WHEN
OBJECT-IVE
TEAM
TIME-LINE DESIGNGOAL
1. WHY - _________2. WHAT - ___________3. HOW - __________4. WHEN - ___________5. WHO - __________
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6 BUDGET STEPS
1. 2. 3. 5.4. 6.
Write down the
NEED
Des-cribethe
budget
List in a form
Know the
limit
Know the Re-
quire-ment
Put a cost to each
NEED
-Needed Resource-Be Real-istic
List by categoryDescribe the benefit
Use Funders’ provided template
Need > Max allow-Minimize-Cut-Re-design
-Funders CFP- APU- School / Dept
- Unit price- # of unit
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GRANT BUDGETING TIP # 2PERSONNEL
Read the CFP/RFP – Is it allowed? Is there a max?
Estimate the time/effort you/your team need for the project
Know APU’s policies: Max work load, buy-out policies, Employee handbook, Conflict of Interest…
Budget Employee Related Expenses with Payroll
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GRANT BUDGETING TIP # 3INDEPENDENT CONSULTANTS/CONTRACTORS ORSUB-AWARDEES?
Independent Contractors and Consultants provide SERVICE to your project. It is a “JOB” for them.
Sub-awardees involve in the design and collaborate with PI together towards the goal of the project.
Treatment is different, if awarded. Independent Contractor - APU →An individual Sub-awardee - APU ↔ Another Institution
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GRANT BUDGETING TIP # 4PERSONNEL AND CONTRACTORS
Try to avoid TBN (To-be Named, To-be Determined)
Team members’ qualification and bio are very important to the proposal evaluation
Hard to estimate the right money figure for the work
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GRANT BUDGETING TIP # 5AVOID LUMP SUM REQUEST
help justify a request clearly show your “thoughtfulness”
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GRANT BUDGETING TIP # 6ALLOW FOR INFLATION
Cost often increases each year Yearly escalator factor is appropriate to be
included ORG grant template use 3% as the salary
escalator rate per year
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GRANT BUDGETING TIP # 7ESTIMATE
Rule of thumb: as close to the real spending as possible
Equipment budgeting - include a printed quote.
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GRANT BUDGETING FAQ # 1- WHY I CAN’T INCLUDE THIS ITEM?
Know the limit and requirement (Both Funders’ and APU’s)
Read the Call for Proposal and guideline in detail OMB Circular A-21 offers four tests :
Be reasonable Be allocable Be consistent Be conformable to the sponsored agreement
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GRANT BUDGETING FAQ # 2MATCHING FUNDS
Voluntary matching and required (Involuntary) matching
Matching need to be documentable and measurable
Match can be a combination of Cash (direct cost) in-kind contribution Facilities and Administrative costs (F&A)
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GRANT BUDGETING FAQ # 3IN-KIND CONTRIBUTION
Non-cash donation of materials, property, facilities, and / or services
List or Not to list? It depends. Some funders “REQUIRE” Some funders “ENCOURAGE” in-kind. Some funders “DISCOURAGE” voluntary in-kind and
“NOT-ALLOW” to ask any involuntary in-kind All have different and good reasons.
READ the Call for Proposal carefully
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GRANT BUDGETING FAQ # 4FACILITIES AND ADMINISTRATIVE COSTS (F&A COST / INDIRECT COST) 1
Is a legitimate budget item APU has the negotiated rate 35% of Payroll +
Employee related Expenses For organizations have the max F&A allowance,
we can charge the max allowed. The difference can be used as matching funds. If there is no specific limitation, need to use
Federal negotiated rate.
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APU general fund50%
ORG 15%
Project Investigator15%
Dept/School/College
20%
GRANT BUDGETING FAQ # 5WHERE DOES THE INDIRECT COST RECOVERYGO?
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GRANT BUDGETING FAQ # 6AS A SUBAWARDEE, HOW SHOULD I DOTHE BUDGET?
It is basically same as the other budgets Need to know the prime sponsor – Funding may
be passed through Usually, prime awardee will request Scope of
Work, Budget and Budget justification from subawardee.
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FEDERAL AGENCIES GRANT BUDGET (1)
Program Regulations
Statute
AdministrativeRegulations (OMB Circ.)
Special Terms and Conditions of Award
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FEDERAL AGENCIES GRANT BUDGET (2)
The OMB Circulars A21 – Cost Principles for Educational Institutes A110 – Uniform Administrative requirements for
grants A133 – Audit Requirement A122 – Cost Principles for Non-Profit Organization
The new Uniform Guidance – announced 12/26/2013 and will be effective after 12/26/2014
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FEDERAL AGENCIES GRANT BUDGET (3)
Most federal agencies (NIH, NSF, DoE, EPA……) require applicants to complete SF-424 + SF-424A Budget Information Form.
Modular Budget (PH S398)– For NIH R01, R03, R15, R21 or R34 grant and less than $250K a year. The request will round up to the nearest $25K. – It is a simplifier budget but the expense plan is still the same
Personnel Salary Cap
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FEDERAL AGENCIES GRANT BUDGET (4)
ORG has subscribed CAYUSE, a 3rd party submission application to double check the adequacy of SF424 before submission.
NIH budget guidance –https://grants.nih.gov/grants/developing_budget.
htm#modbud NSF budget guidance -
http://www.nsf.gov/pubs/policydocs/pappguide/nsf14001/gpgprint.pdf
DoE budget guidance –http://www2.ed.gov/fund/grant/apply/appforms/sf
424instruct.pdf NEH budget guidance –
http://www.neh.gov/files/grants/budget_information_and_instructions_march_2014.pdf
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DISCUSSION
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ORG INTERNAL BUDGET TEMPLATE
A 5 year budget template to fit most of the budget requirement.
All calculation built-in to eliminate calculation error
If Funders have their own forms, use ORG internal form to draft the budget and then copy over.
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ORG INTERNAL BUDGET TEMPLATE SAMPLE
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ORG INTERNAL BUDGET TEMPLATE SAMPLE
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ORG INTERNAL BUDGET TEMPLATE SAMPLE
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ORG INTERNAL BUDGET TEMPLATE SAMPLE
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ORG INTERNAL BUDGET TEMPLATE SAMPLE
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ORG INTERNAL BUDGET TEMPLATE SAMPLE