Creative Budgeting…..Within Federal Guidelines

G. Maggie Griscavage

Jerry Trainor

Aiah Sankoh

University of Alaska Fairbanks

4/7/2009 1

The first necessity…

The proposal stage – if you want guns, knives and furs, you need to explain that thoroughly in the justification pageExample: A high-powered Winchester

magnum rifle is required for protection against polar bears while the research team is working on the North Slope. This rifle may be used on subsequent federal awards because a lot of this PI’s work is tundra-related and may occur in the same area.

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Or…..

If you want to hire a gun-bearer, with his/her own gun, then the same principles apply:Example: The PI will hire a local villager who

is familiar with the area, and who has the necessary competency and equipment (rifle) to protect the group. The individual will receive a modest stipend, travel and per diem via a direct payment, according to university regulations and procedures.

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You need warm bodies, but…. Participant support can cover quite a lot

of grey areas, but again… needs to be explained and be defensible.Example: The researcher will hold

instructional meetings at several villages (listed), and the culture here is such that an exchange is expected as a sign of respect.

While gifts are unallowable, you may be able to buy fuel coupons and issue them as ‘incentives.’

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Effort reporting…

Your proposal says a grad student will work 200 hours on a project over a five week period.BUT! What if the project is in a remote

location and there’s 24-hour daylight , and the boat is only available for five days??

It’s all about the “effort.” Truth is, 100% effort is expended over five weeks, it’s just that it’s been exhausted (excuse the pun) within one week.

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School of Fisheries and Ocean Sciences graduate student Cathy Hegwar prepares to dive near a sea lion rookery off Kodiak Island as part of a research project focused on the decline of Steller sea lions in Alaska's coastal waters.

Credit: UAF photo by Brenda Konar

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Continued…

But – be mindful of US Department of Labor laws, and discuss in advance the implications of hourly wages vs. stipend for the GA.

Twenty hours a day on an hourly wage will exceed your budget…

If you stick to effort, not hours, you will be within the guidelines for both agency and US DOL.

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Alaska Road Map

Scenario

Researchers invited from other countries intended to meet in Alaska for a conference.

Program officer has informed PI that the meeting needs to take place overseas instead. In England.

How do we handle the overseas travelers?

Solution

We considered these options:Re-budget heavily to pay for their travelSubcontract to private facilitatorAsk for more money as a supplement

!! Contracted out to a University near the foreign venue, and reimbursed them for managing the overseas conference

Scenario

The Barrow, Alaska, ProjectExempt and Hourly employees from Fairbanks provide on-site support in Barrow, Alaska. It was proposed Non-Exempt employees receive overtime.

Problem – What to do with the Exempt Employees who provide 60 hours or more of support per week?

Solution

State Statues state we can pay them geographical dislocation pay (+45%). Amounts equate approximately to what non-exempt employees make when they charge for overtime.

Compliance…

Your PI has to go to a foreign nation, and it is expected that there will be a need to “grease the wheels” in order for them to get to where they want to go.Example: The PI will need to pay for services,

in cash, at the foreign location. A cash advance is authorized, and the PI will keep records of payments, and obtain receipts where possible. If not possible, the record will be detailed and so state that no signature was given.

4/7/2009 14

The Great Mustache Caper…Sometimes those workers

have walked right by Stacia Backensto when she's wearing her moustache, which she bought at Party Palace in Fairbanks (she had to defend the expense to an accountant in the Institute of Arctic Biology business office). She's not sure yet if she's fooling the ravens.

Excepted from “UAF in the News”

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Contined…..

Ensure compliance up to the last minute the project leaves your control. Do the best you can, if there is an agreement, to make as clear as day for the recipient what your expectations are for them to follow guidelines, but don’t expect foreign recipients to do it the same way.

Your non-US participants may be compliant, but on their terms.

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Find A Way….

Find a way to make it work, but work within the federal regulations, state statutes, institutional policies, or whatever…

Read, read, and read some more – there is generally a way to make it work that is ethical and legal

Demonstrate that you’ve done your homework, relate it to your circumstances.

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Tips:

Full disclosure and justification at the proposal stage;

Talk over the “what if’s” with your PI. If there are any ‘not sure what will happen’ areas, put a close explanation and say that this may be subject to change(s);

Respond immediately – don’t ignore because it’s a hard request.

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Tips:

Use federal definitions to their fullest extent.

Talk to your grants specialist(s) when emails or letters won’t work – articulating your needs sometimes comes easier when you’re both feeling ‘chatty.’

Trust your gut! If it’s just plain not going to work, you will know it there first!

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And, yes, sometimes it IS rocket science!!

A rocket launched in March 2003 from UAF's Poker Flat Research Range:

Credit: UAF photo by Chuck Johnson

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THANKS!!!

Any questions??

And, no question is a silly question…!!

Maggie – gmgriscavage@alaska.edu

Jerry – ffjat1@uaf.edu

Aiah – fnaas@uaf.edu

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