Introduction

This guide helps projects navigate the grant process when applying with NumFOCUS as the grantee organization. We follow a collaborative process for successful application and fulfillment of grant responsibilities. Sponsored projects are eligible to apply for grants with NumFOCUS as the fiscal sponsor. We also sometimes agree to sponsor affiliated or unaffiliated project grants on a case-by-case basis under a Grantee-Grantor relationship. If you are interested in searching for a grant or applying for a grant under the NumFOCUS umbrella, please contact [email protected] and we will put you in touch with the correct individual to help.

Grant Team at NumFOCUS

The grant team at NumFOCUS is comprised of the following individuals:

• MK Kanene, Project Resource Mobilization Specialist, who helps projects research and brainstorm about funding opportunities, including grants.
• Erin Gray, Grant Manager, who assists projects with grant applications and manages all of our grants throughout their lifecycle from conceptualization through the final reporting.
• Mir Mueller, Finance Director, who oversees grant compliance, grant budgets and budget justifications, and can act as PI where required or as AOR on federal grants.

Searching for a Grant

NumFOCUS provides a number of resources for grant research. MK meets regularly with projects to discuss funding opportunities, we send out a monthly newsletter about grant opportunities (contact MK to be added to the list), we maintain a list of grant opportunities on GitHub, we can provide access to grant databases and other research tools for those searching for opportunities, and we also regularly put projects whose work aligns in contact with one another for collaborative funding opportunities. We also post updates on our Slack channels and through project updates. If you have a quarterly check-in with the advocacy team coming up, Arliss and her team can also put you in touch with the correct staff member to help you get started.

Appling for a Grant

If you find a grant you wish to apply for, please submit a ticket or email [email protected] as soon as possible so that we can collaborate on the grant process. Although we can accommodate last-minute requests, if possible, we ask that you please allow at least two weeks for us to review your materials and budget before the submission deadline. This is particularly important in cases where the application process is cumbersome or lengthy (e.g. federal grants).

Our grant manager will contact you and work with you to get your application finalized. NumFOCUS should always be the submitting party for all grant applications, NOT the project or project PI. Please do not submit grant applications yourselves, and please do not submit applications or budgets that we have not reviewed and approved. We are required to verify that all grant applications and budgets are compliant with our mission as well as IRS and accounting regulations before submission.

Grant Budgets

All projects applying for grants are required to fill out our Grant Budget Template. Our Finance Director will assist in budgeting to ensure that resources are available, costs are estimated appropriately, the grantor’s guidelines are followed, and that all categories of costs are accounted for. Budgets may include:

• Staff costs - whether NumFOCUS personnel or project personnel that we hire for the duration of the grant

• Fringe benefits - tax and benefit allowances for staff members

• Contractors/Consultants - the most common category

• Subcontracts - this is more rare, and potential subcontractors must fill out a form to apply for this category. Contact finance to have it sent to you.

• Event costs including venue, catering, AV and supplies

• Awards and scholarships

• Equipment and software, other hardware

• Travel

• Other costs not listed above

• Indirect/overhead costs

NumFOCUS Indirect Costs aka Overhead

Per the project fiscal services agreement, NumFOCUS charges a 15% indirect/overhead fee for all grants. This is calculated by adding up all of the direct costs and multiplying that number by 15%. This fee defrays the costs of administering grants including oversight staff, contracts and subcontract administration, income processing and fees, accounts payable processing and processing fees, reimbursement costs, equipment and software used in the administration of grants, research costs, compliance costs including annual tax forms and annual audits, bookkeeping and accounting work, and more.

Sometimes, grantors have specific rules around indirect/overhead fees, and we read the guidelines before we submit applications and comply with all of these requests. Sometimes grantor guidelines specify maximum indirect percentages, or require negotiated rates, or restrict the indirect to a percentage of certain categories of direct costs. In all cases, NumFOCUS pursues the maximum amount of indirect allowable up to 15%.

NumFOCUS does not have a negotiated overhead rate with the federal government. We use the de minimus 15% allowable indirect. In the event of grants that do not allow indirect/overhead fees, NumFOCUS will add appropriate budget line items for direct staff costs, accounting costs, and software costs at rates equivalent to the 15% to account for your project's indirect fees.

Budget Changes and Extensions

Sometimes projects may not able to spend grant funds in the manner they originally represented to the funder, or may require additional time to complete the work represented in the grant application. Many funders have specific guidance and requirements around budget changes and extensions, and the project should let us know as soon as possible so that we can address the administrative requirements.

 

Please do not count on being able to significantly change the spending from the original budget, and expect to need approval from the grantor for changes of more than 10% to any one budget category.

Grant Awards

When a grant is awarded where NumFOCUS is the fiscal sponsor, it becomes NumFOCUS’s responsibility to comply with the terms and conditions of the grant. NumFOCUS assumes all liability for executing the grant and its financial oversight. As the fiduciary agent for the grant, NumFOCUS will be responsible for:

• Signing the grant agreement.

• Providing the grantor with banking information for fund transfer.

• Advising the project on award requirements, terms, conditions, and provisions of the grant agreement.

• Verifying that budgets are reasonably estimated and aligned with grantor requirements.

• Applying for re-budgets and extensions with the grantor where required.

• Providing all requested information such as audits and financial statements to the grantor and complying with additional documentation requests.

• Tracking the spending of funds and the budget on an ongoing basis with the project.

• Preparing financial reports for the grantor as required.

• Submitting interim and final reports to the grantor.

 

PROJECTS SHOULD NOT SIGN AGREEMENTS OR SUBMIT FINANCIAL STATEMENTS, REPORTS OR OTHER MATERIALS TO THE GRANTOR. Please allow our Grant Manager to review and submit all materials of these types.

Spending Grant Funds and Managing Your Budget

We provide ongoing assistance in the execution of grants, specifically in the area of spending the funds (a) appropriately and (b) in a timely manner and providing you with ongoing information regarding the status of your grant funds. We try to provide projects with quarterly Budget v Actual updates from our bookkeeping software, and approximate fund balances are available through Open Collective for the projects who use OC.

We will provide you with a current report on spending on demand. Please submit a ticket or email [email protected] with your request and we'll get it to you within a couple of business days.

Contracts and Subcontracts

If your grant includes contractors and/or subcontractors, the PI and the Contractor should collaborate to submit a Contract Request Form. For more information about this process, please see Sign up for a Contractor Agreement. The same form can be used to request a Contract Amendment.

For subcontracting with institutions, such as universities, you should also fill out the Contract Request Form. We will need a contact person at the institution's grants or awards office to arrange for the Agreement to be reviewed and executed.

Disbursement of Funds

Once a contract is completed, the contractor can request funds through the appropriate channels. Our Contract Administrator will notify you when your contract is complete and provide you with the link for submitting your invoices. You may also submit requests to that link for reimbursement of personal expenditures for travel, equipment, supplies, and other materials. In some cases, the grant PI may request a credit card to help with regular or routine travel or ongoing software costs. The Finance Director can also add recurring software costs to a corporate card. Finally, we offer guest travel reservations through Navan Travel which we will bill to your grant. Please contact finance to discuss your options in more detail.

The finance team executes grant payments according to our established expense policies. See How to Get an Invoice Paid and How to Get a Reimbursement and the Travel Expense Policy.

Reports and Extensions

File a Report with a Grantor

NumFOCUS is required to submit all grant reports, including narrative and financial, on behalf of grants for which we are the fiscal sponsor. Please do not submit grant reports yourself, whether final or interim. NumFOCUS needs to review all submissions before finalizing and submitting.

Interim Reports

Depending on the grant period, the project may need to submit interim progress reports on grant activities and expenditures. NumFOCUS will provide a preliminary financial report and review it with the PI before submission to the grantor. We will notify you 30 days prior to the grant report due date.

Final Reports

At the end of the grant term, the project must provide a final narrative/substantive report that reviews the work performed. This report should align with the budget, proposal, projected outcomes, and grant terms. NumFOCUS will notify you 30 days before the final report deadline to confirm the project is on track. NumFOCUS will work with the project on any outstanding financial items or variances before submitting the final financial report.

Extensions

If an extension is needed, NumFOCUS will review the grantor’s guidelines for extension requests and provide the necessary support. Some grantors only offer extensions under specific circumstances; in these cases, NumFOCUS will work with the grantor to identify options.

For further assistance or to learn more about applying for and managing grants under NumFOCUS, please submit a ticket or email [email protected].