Research Administration Glossary
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2 CFR 200 – Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards: Governed by the federal Office of Management and Budget (OMB) and published in the Federal Register (79 Fed. Reg. 75871), these regulations streamline and consolidate government requirements for receiving and using federal awards. Commonly referred to as “Uniform Guidance.”
A
AAALAC: American Association for the Accreditation of Lab Animal Care
Advanced Research: Original investigations undertaken in order to acquire new knowledge. It is directed primarily towards a specific, practical aim, or objective.
Agreement: General name for a grant, contract or other agreement which is enforceable and must be executed by an authorized official
Allocable Costs: A cost is allocable to a project if goods or services involved are chargeable or assignable in accordance with the relative benefits directly received by the project(s).
Allowable Costs: An allowable cost must be reasonable, allocable, consistently treated, and conform to any limitations or exclusions of the Cost Principles included in federal Uniform Guidance, the sponsor and the agreement.
Amendments: When the terms of an executed agreement/contract need to be modified due to a change in scope, length of agreement, budget changes, etc. the agreement will need a modification or amendment to Office for Sponsored Programs be negotiated. The amendment/modification must be signed/executed by all parties. Once executed, it is incorporated into the original agreement.
Assistance: Any federal program, project, service, or activity provided by the federal government that directly assists domestic governments, organizations, or individuals in the areas of education, health, public safety, etc.
Single Audit: An organization-wide financial statement and federal award audit of a non-federal entity that expends $750,000 or more in federal funds in one fiscal year. An audit may also include examination of compliance with applicable grant or contract terms, laws, and regulations
Authorized Official: An individual formally authorized to bind the institution to the terms of a grant, contract or other agreement. The Board of Trustees of The University of Alabama directs that only certain designated persons on each campus of the System are authorized to sign contracts and other documents on the System’s behalf
Award: Funds that have been obligated by an external sponsor for a particular project
ADMH: Alabama Department of Mental Health
ADECA: Alabama Department of Economic and Community Affairs
ADHR: Alabama Department of Human Resources
ADMH: Alabama Department of Mental Health
ADPH: Alabama Department of Public Health
ALDOT: Alabama Department of Transportation
ALEA: Alabama Law Enforcement Agency
ALSDE: Alabama State Department of Education
ASA (Advanced Spending Authorization): A form/process to request authorization project expenditures, up to a specific limit, before an award document has been received from the sponsor.
AUTM: Association of University Technology Managers
B
Banner: Official accounting system for The University of Alabama including accounting for externally sponsored funding
Basic Research: Experimental or theoretical work undertaken primarily to acquire new knowledge of the underlying foundations of phenomena and observable facts, without any particular application or use in view.
Broad Agency Announcement (BAA): An announcement of a federal agency’s general research interests that invites proposals and specifies the general terms and conditions under which an award may be made. A Broad Agency Announcement is not considered a formal solicitation under the FAR.
Budget: The detailed financial plan for a project or program that the sponsor approves during the award process or in subsequent amendments to the agreement
Budget justification: Narrative explanation of the budget. It helps the sponsor to evaluate the reasonableness of the budget. The budget justification should explain and defend each major budget category.
Budget Modification: An amendment to the approved budget.
Budget narrative: Detailed explanation of charges for each individual category. Must match the budget, and the format is determined by sponsor guidelines.
Budget period: The interval of time, usually twelve months, in which the project period is divided for budgetary, funding purposes, or reporting purposes.
C
Certification: A statement signed by an authorized representative of the university indicating that the university will adhere to certain conditions and will or will not undertake certain actions. Certifications related to specific costs or activities may also be required of individuals engaged in research and other sponsored activities.
CGA: The University of Alabama’s Office for Contract & Grant Accounting.
Clinical Trial (CTA): A clinical trial is a study designed to assess in humans the safety, efficacy, benefits, adverse reactions, and/or other outcomes of drugs, devices, diagnostics, treatments, procedures, medical evaluations, monitoring, or preventive measures. Preclinical laboratory studies or studies in animals are not included under the term clinical trial.
Code of Federal Regulations (CFR): The codification of the general and permanent rules and regulations (sometimes called administrative law) published in the Federal Register by executive departments and agencies of the federal government of the United States.
Cognizant Agency for Audit: The Federal agency designated with responsibility for performing audit-related activities on behalf of the federal government for federally-funded activities at the University. The cognizant audit agency for The University of Alabama is the U.S. Department of Education.
Collaborative Research Agreement (CRA): Contract where the university and the funding source (or possibly more than one funding source in the same subject sector) agree to conduct research and development activities collaboratively. There are many ways this type of contract can be constructed, and IP issues must be addressed prior to beginning any collaborative project.
Confidentiality Agreement (CDA): Often companies ask PI’s to sign a confidentiality agreement when the work to be done involves exchange of proprietary property or information.
Conflict of Interest (COI): A situation in which a person is in a position to derive personal benefit or perceived personal benefit from actions or decisions made in their official capacity.
Co-Investigator: An individual recognized by the University and the Principal Investigator (PI) as someone making a significant contribution to a project. The Co-Investigator, also known as Co-PI, is an individual that the PI relies on to assume responsibilities above those of other personnel.
Confidentiality Agreement: See Non-Disclosure Agreement.
Consistently Treated: All costs incurred for the same purpose and in like circumstances must be treated uniformly either as direct costs or as indirect (facilities and administrative or F&A) costs.
Consultant: An individual or organization that provides services of an advisory nature. The University may enter into a Professional Service Agreement for this type of service when the necessary expertise is not available within the University.
Continuation Project (Non-Competing): A project can be approved for multiple-year funding, although associated funding is typically committed one year at a time. At the end of the initial budget period, progress on the project is assessed. If satisfactory, a continuation award is made for the next budget period, subject to the availability of funds.
Contract: A mechanism for the procurement of a product or service with specific obligations for both the sponsor and recipient. Each contract document typically contains a statement of work or services to be performed (scope of work), which represents a legal obligation to provide a deliverable. Contracts received by the University may have more detailed restrictions and requirements than grants or cooperative agreements.
Contract/Grant Officer: A sponsor’s designated representative who is officially responsible for the business management aspects of a particular award. Serving as the counterpart to the authorized official or business officer of the grantee/contractor organization, the grant/contract officer interprets the applicable administration policies, regulations, and provisions. (For definition of scientific officer, see Program/Project Officer.)
Contractor: An entity from which UA will purchase specific goods or goods commercially available to the general public. In most cases, an entity that provides products and/or services that impact a large section of UA’s community (often referred to as a Vendor).
Cooperative Agreement: Legal instruments that facilitate the transfer of something of value from federal executive agencies to states, local governments, and private recipients for a public purpose or benefit. The sponsor may be actively involved in proposal preparation and anticipates substantial involvement in the sponsored activities once the award has been made.
Cooperative Research and Development Agreement (CRADA): A long term project involving multiple sponsors or the federal government, these agreements are useful because the scope of work may change as the project continues. A CRADA sets out how the parties are going to do business with each other and may include payment terms, IP ownership, and termination terms. The scope of work is usually separate from the CRADA, but refers back to the CRADA as the governing document.
Co-Principal Investigator (Co-PI): For some projects, more than one individual is involved with the administrative, fiscal, and scientific conduct. Each person can be named in the proposal and on project documentation as a co-PI, provided this role is accepted by the sponsor. (Also see Co-Investigator).
Copyright: Intellectual Property protection for a “writing”, which protects the specific expression. A copyright may be registered, but registration is not needed for protection.
Copyright Infringement: Use of copyrighted material without permission, other than under the “fair use” doctrine.
Cost Accounting Standards (CAS): Federally mandated accounting standards intended to ensure uniformity in the budgeting and spending of federal funds. Four of the many CAS applicable to commercial concerns apply to Universities: CAS 501, 502, 505, and 506. These are reflected in the University’s policies and procedures applicable to sponsored projects.
Cost Sharing: Cost sharing is the portion of the costs of a sponsored project that is not paid by the sponsor. Both Mandatory and Voluntary Committed cost sharing must be adequately documented in University’s records.
Cost Transfer: A shift of an expense to or from a sponsored project.
Councils of Governments (COG): Are partnerships that offer planning, coordination, and technical assistance to their members at a regional level, and act as intermediaries between the local government members and the state or federal government.
CWID: Campus-Wide ID used to identify personnel, students and agencies
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Data Universal Number System (DUNS) The decommissioned nine-digit number established and assigned by Dun and Bradstreet, Inc. (D&B) to uniquely identify entities. This number is no longer used by the Federal Government. The Office of Management and Budget (OMB) has directed federal agencies/systems to transition to the UEI (SAM) no later than April 4, 2022.
Deficit: An overall deficit balance occurs when total expenditures exceed the total, to-date authorized amount for an agreement (sometimes called a cost overrun). A deficit balance can also occur in a budgeted expense line but is not a cost overrun.
Deliverable: An objectively measurable product or service that is provided in satisfaction of a procurement agreement (Contract).
Developmental Research: Systematic work that applies existing knowledge and practical experience to produce new products or processes or improve existing products or processes; may results in expanded knowledge.
Direct Cost (DC): Those costs that can be identified specifically with a particular final cost objective, such as a Federal award, or other internally or externally funded activity, or that can be directly assigned to such activities relatively easily with a high degree of accuracy. General categories of direct costs include, but are not limited to, salaries and wages, fringe benefits, materials/supplies, contractual services, travel, and equipment.
Donation: See Gift.
DCJ: Direct Charge Justification
DED: Department of Education
DOD: Department of Defense
DOE: Department of Energy
E
Effort or percent effort: The proportion of time estimated to be spent on each University Activity, i.e. those activities compensated through UA payroll from all funding sources. Also see Institutional Base Salary.
Employee Identification Number (EIN): Refers to a unique identifier that is assigned to a business entity so that it can easily be identified by the Internal Revenue Service (IRS).
Encumbrance: Funds that have been set aside or “claimed” for projected expenses pending actual expenditure of the funds, thereby reducing the available budget balance.
Energy Usage Index (EUI): Represents the relative efficiency of a building’s energy usage.
Entity Identification Number (EIN): The number the Internal Revenue Service assigns to every employer that uniquely identifies that taxable entity. Use of this number enables a sponsor to identify the correct recipient to receive the funds awarded under a contract or grant. Also referred to as FIN.
Environmental Protection Agency (EPA): An independent federal agency, created in 1970, that sets and enforces rules and standards that protect the environment and control pollution.
ePA (Electronic personnel action): A form used to allocate and process salary charges.
Equipment: An item having an initial useful life extending beyond a single reporting period (generally, more than one year) and an acquisition cost which equals or exceeds $5,000. If a single device is assembled from parts with a total cost of $5,000 or more, it becomes “equipment”.
ERS: Effort reporting system
Extension: An additional period of time authorized by the sponsor to an organization for the completion of work on an awarded project. An extension allows previously allocated funds to be spent after the original expiration date.
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Facilities and Administration Cost (F&A): Necessary costs incurred by a recipient for a common or joint purpose benefitting more than one cost objective, and not readily assignable to the cost objectives specifically benefitted, without effort disproportionate to the results achieved. To facilitate equitable distribution of indirect expenses to the cost objectives served, it may be necessary to establish a number of pools of F&A (indirect) costs. F&A (indirect) cost pools must be distributed to benefitted cost objectives on bases that will produce an equitable result in consideration of relative benefits derived. (See Indirect Costs).
Federal Acquisition Regulation (FAR): Provides to federal executive agencies uniform policies and procedures for acquisition.
Federal Audit Clearinghouse (FAC): The clearinghouse designated by OMB as the repository of record where non-Federal entities are required to transmit the information required by subpart F of this part.
Federal Award Identification Number (FAIN): In federal-wide systems (e.g., USASpending.gov, FFATA/FSRS) the Federal Award Identifier Number (FAIN) is used to uniquely identify grants for federal-wide implications.
Federal Identification Number (FIN): See Entity Identification Number (EIN).
Federal Funding Accountability and Transparency Act (FFATA): The Federal Funding Accountability and Transparency Act of 2006, as amended (“Transparency Act”), requires the Office of Management and Budget to establish a single searchable database, accessible to the public, with information on financial assistance awards made by Federal agencies. The Transparency Act also includes a requirement for recipients of Federal grants to report information about first-tier subawards and executive compensation under Federal assistance awards.
Federal Insurance Contributions Act (FICA): A U.S. law enacted in 1935 that mandates a payroll tax on the paychecks of employees, with matching contributions from employers. The money collected is used to fund the Social Security and Medicare programs.
Federal Wide Assurance(FWA): A declaration of compliance with federal regulations for the protection of human subjects in research.
Final Report: The final technical, performance or financial report required by the sponsor to complete a research project.
Firm-Fixed-Price Contract: Provides for a price that is not subject to any adjustment on the basis of the contractor’s cost experience in performing the contract. This is different from a Fixed Amount Award.
Fiscal Year (FY): The University’s twelve-month annual period, beginning each October 1st, for which annual accounting and reporting is completed.
Fixed Amount Award: A type of agreement under which the Federal awarding agency or pass-through entity provides a specific level of support without regard to actual costs incurred under the Federal award. A firm-fixed-price contract provides for a price that is not subject to any adjustment on the basis of the contractor’s cost experience in performing the contract.
Fly America Act: Travel charges on federal dollars must comply with the requirements of the act which generally provides that foreign air travel may only be conducted on U.S. flag carriers.
Freedom of Insurance Contributions Act (FOIA): The Federal Freedom of Information Act provides that citizens may request public documents in the possession of any federal agency. The federal agency interprets what is available under FOI, and what is not. A proposal to an agency is not a public document until awarded.
Fringe Benefits: Employee benefits paid by the employer. (e.g., FICA, Worker’s Compensation, Withholding Tax, Insurance, etc.)
Full-time Equivalent (FTE): The number of hours considered full-time.
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GAANN: Graduate Assistance in Areas of National Need
GA Tops: Graduate assistance tuition online processing system
Generally Accepted Accounting Principles (GAAP): A set of rules and standards that govern how financial statements are prepared and reported.
General Services Administration (GSA): An independent agency of the United States government that helps manage federal property and provides contracting options for government agencies.
Gift: Funds are classified as gifts if the following characteristics exist: (1) funds are given voluntarily without expectation of any tangible compensation. Under ordinary circumstances, the funds are awarded irrevocably; (2) funds are given for unrestricted use or for general support restricted to a specific area or purpose. Beyond a possible designation of use, the donor does not impose contractual requirements on the award; (3) any subsequent reporting on the use of the funds to the donor is not a condition of the receipt of the funds.
Government Accountability Office (GAO): An independent, non-partisan agency within the legislative branch of the federal government.
Grants.gov: System that houses information on over 1,000 grant programs and vets grant applications for federal grant-making agencies. This makes it easier, faster, and more cost-effective for grant applicants to electronically interact with federal grant-making agencies.
GRA: Graduate research assistant
Grant: A legal instrument for transferring money, property, or services to the recipient to accomplish a public purpose where the granting agency has limited involvement during the performance of the grant.
Grant Officer: See Contract/Grant Officer
GrantsERA: The University’s electronic grant and contract administration system used for proposal approval and submission and award tracking and reporting.
I
IACUC: Institutional Animal Care and Use Committee.
IBC: Institutional Biosafety Committee
iEDISON: The Interagency Extramural Invention Information Management System helps government grantees and contractors comply with a federal law, the Bayh-Dole Act. Bayh-Dole regulations require that government-funded inventions be reported to the federal agency who made the award.
In-Kind Cost Share: Contribution of services outside the University, such as time donated to a project by a third party. Although the University does not pay for such services, these must be documented in the University’s CGA records.
Indemnification, Hold Harmless: An indemnification clause shifts the liability or loss from one party to another, usually without regard to fault (including undertaking any legal defense) for some legal action or claim for damages taken against the indemnified party.
Indirect Costs (IDC): Also known as Facilities and Administrative (F&A) Costs. Costs related to expenses incurred in conducting or supporting research or other externally funded activities but not directly attributable to a specific project. General categories of indirect costs include general administration (accounting, payroll, purchasing, etc.), sponsored project administration, plant operation and maintenance (utilities), library expenses, departmental administration expenses, and depreciation of the cost of buildings and equipment.
Indirect Cost Rate: A device for fairly and conveniently determining and charging the proportion of indirect cost each program should bear. An indirect cost rate is the ratio between the total indirect expenses and a direct cost base (MTDC for most universities). The University’s rate for each type of program has been established by negotiation with the University’s cognizant federal agency for cost.
Institutional Animal Care and Use Committee: The University’s Institutional Animal Care and Use Committee (IACUC) has oversight of animals used by any University employee or visiting scholar for research, teaching, or exhibitions and acts to ensure that current policies and procedures are followed concerning the humane care, welfare and use of laboratory animals as set forth Animal Welfare Regulations (9 CFR Ch 1. § 2.32), the Guide for the care and Use of Laboratory Animals, AALAC accreditation standards and OLAW standards.
Institutional Base Salary (IBS): The compensation paid by the University for an employee’s appointment, whether that individual’s time is spent on research, teaching, administration or other activities. IBS includes an individual’s regular salary (e.g. academic appointment) and salary/stipend from any additional assignment (e.g. chair of a department). The IBS does not include incidental, one-time payments. Also excluded from the IBS is salary paid directly to an individual by an organization outside the University.
Internal Processing Form (IPF): The IPF captures general information and regulatory compliance considerations for the proposed project. The IPF is required for externally sponsored grants and contracts; supporting documents routed with the IPF must include final administrative documents and draft technical/programmatic components to be reviewed internally
Internal Revenue Code (IRC): Part of the federal law that covers all types of taxes in the United States, such as income, gift, estate, and payroll taxes.
International Traffic in Arms Regulations (ITAR): A United States regulatory regime to restrict and control the export of defense and military-related technologies to safeguard U.S. national security and further U.S. foreign policy objectives.
Institutions of Higher Education (IHE): Any institution that offers education or instruction beyond the high school level, such as colleges and universities, including community and technical colleges.
Intellectual Property: Intangible property that is the product of research. Examples include copyrights, trademarks, patents, and trade secrets. Although each is a separate area of law, governed by different federal and state laws concerning ownership, all are designed to provide some protection against others from misappropriating the products and ownership of intellectual creativity.
IRB: Institutional Review Board (for Human Subjects Research)
Investigator-Initiated Proposal: A proposal submitted to a sponsor that is not in response to a particular RFP, RFA, or a specific program announcement.
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Key Personnel: An employee responsible for the design, conduct, or reporting of the proposed or funded research or educational activities.
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Letter of Intent (LOI): Serves as a formal introduction to the study, and outlines the researcher’s goals, objectives, and research questions.
License Agreement: Sets out the rights and responsibilities of a party related to the use and exploitation of intellectual property developed at the university.
Lobbying Certification: The “Byrd Amendment” requires certification for grants exceeding $100,000 that no appropriated funds were used, or will be used, to influence a federal employee or a member of Congress in connection with an award, and if the recipient has used non-appropriated funds to pay for lobbying activities for an individual not regularly employed by the recipient, a disclosure is required.
M
Mandatory Cost Sharing: Cost sharing required by the sponsor in order for the proposal to be considered for funding. See also Voluntary Committed Cost Sharing.
Material Transfer Agreement (MTA): Short contract that governs the transfer of tangible research property (often biological materials) for research use.
Memorandum of Understanding (MOU): Contract that outlines terms of the parties agreement or understanding of how they will proceed on a particular projector goal. Usually, no money is exchanged between the parties. Parties are usually collaborating on ideas and proposals, pledging resources, hosting interns or giving access to resources.
Misconduct in Science: See Research Misconduct
Modified Total Direct Cost (MTDC): A subset of direct costs used as the base for calculating Indirect Cost Rates and for charging Indirect Costs to sponsored projects. It includes all direct costs except equipment, other capital expenditures, tuition remission, rental cost of off-site facilities, scholarships, fellowships and the portion of each sub agreement in excess of $25,000.
Modular budget: A simplified budget format for NIH to request a budget up to $250,000 in annual direct costs.
N
New Award: An award not previously awarded or a renewal or continuation award treated as a new award by the sponsor and given a new agency number
NIH: National Institute of Health
No-Cost Extension (NCE): An extension of time to a project period and/or budget period to complete the work of the grant under that period, without additional federal funds or competition.
Non-Disclosure Agreement (NDA): An NDA is a legal agreement between two or more parties that defines information that the parties wish to protect from dissemination and outlines restrictions on use. (Synonomous with CDA)
Notice of Grant Award: The legally binding document that serves as a notification to the recipient and others that a grant or cooperative agreement has been made; contains or references all terms of the award and documents the obligation of funds.
Notice of Intent (NOI): Official notification to ORED that a Principal Investigator is planning to submit a proposal.
NSF: National Science Foundation
O
Office of Foreign Assets Control (OFAC): A financial intelligence and enforcement agency under the jurisdiction of the US Treasury Department. Its job is to enforce economic and trade sanctions in alignment with US foreign policy and national security goals.
OEBE: The University of Alabama’s Office for Economic & Business Engagement
OHRP Office for Human Research Protections (DHHS) The federal office for ensuring ethical conduct of human research.
OIC: The University of Alabama’s Office for Innovation & Commercialization.
OMB: Office of Management and Budget
OREC: The University of Alabama’s Office for Research Ethics & Compliance.
ORI: Office of Research Integrity, a DHHS office promoting integrity in biomedical and behavioral research.
ORSEC: The University of Alabama’s Office for Research Security & Export Control.
ORTA: The University of Alabama’s Office for Research & Technology Agreements.
OSP: The University of Alabama’s Office for Sponsored Programs.
Overhead: See F&A or indirect costs
P
Pass-through Entity (PTE): A Non-Federal entity that provides a subaward to a subrecipient to carry out part of a federal program.
Patent: Intellectual property protection of the embodiment of an idea. A patent is the statutory monopoly property right granted by the government to prevent others from making, using or selling what was patented for a set period (commonly 20 years from the patent date) in exchange for making public the information in the patent document.
Patent Infringement: Using another’s patent without adequate permission (usually a royalty-bearing license).
Payment Management System (PMS): Shared service provide and a leader in processing grant payments for the federal government.
Personally Identifiable Information (PII): Information that can be used to distinguish or trace an individual’s identity, either alone or when combined with other personal or identifying information that is linked or linkable to a specific individual. Some information that is considered to be PII is available in public sources such as telephone books, public Web sites, and university listings. This type of information is considered to be Public PII and includes, for example, first and last name, address, work telephone number, email address, home telephone number, and general educational credentials. The definition of PII is not anchored to any single category of information or technology. Rather, it requires a case-by-case assessment of the specific risk that an individual can be identified. Non-PII can become PII whenever additional information is made publicly available, in any medium and from any source, that, when combined with other available information, could be used to identify an individual.
Post award: Activities after an award is accepted by officials. (Also see CGA).
Pre-award: Activities in negotiating and receiving and award. (Also see OSP).
Pre-Award Costs: Costs associated with a project prior to the start of an award; sponsor approval is required to incur pre-award costs.
Pre-Proposal: A brief description, usually 2-10 pages, of research plans and estimated budget that is sometimes submitted to determine the interest of a particular sponsor, prior to submission of a formal proposal. Also called Preliminary Proposal.
Principal Investigator (PI): A Principal Investigator is the primary individual responsible for the preparation, conduct, and administration of a research grant, cooperative agreement or contract in compliance with applicable laws and regulations and institutional policy governing the conduct of sponsored research. The University’s systems also use the term PI to refer to the project director for a public service project or other sponsored agreement.
Prior Approval: Satisfies a requirement for written documentation of permission to use project funds for purposes not in the approved budget or to change aspects of the program from those originally planned and approved, prior to making such change.
Procurement: Under federal law, the process that leads to a contract, as opposed to assistance. The purpose is to “procure” the contractor’s goods and services to meet the sponsor’s goal.
Professional Service Agreement (PSA): Agreement used to document the scope of work and payment terms for services provided to the University by outside contractors.
Program Announcement: Describes existence of a research opportunity. It may describe new or expanded interest in a particular extramural program or be a reminder of a continuing interest in an extramural program. Program announcements, especially federal, may contain specific information that becomes part of the award, or specific deviations from the sponsor’s normal mode of doing business.
Program/Project Officer: A sponsor’s designated individual officially responsible for the technical, scientific, or programmatic aspects of a particular grant, cooperative agreement, or contract. (For definition of business officer, see Grant/Contract Officer.)
Progress Report: Periodic, scheduled programmatic/technical or performance reports required by the sponsor summarizing research or project progress to date.
Project period: The total time for which support of a project has been programmatically approved. A project period may consist of one or more budget periods.
Proposal: An application for funding that contains all information necessary to describe project plans, staff capabilities, and funds requested. Proposals are officially approved and submitted by the University, through OSP, in the name of a principal investigator.
Public Health Service (PHS): Previously a major component of DHHS, but reorganized out of existence; it remains on paper primarily because of significant sets of regulations previously imposed under its name which remain in effect for the organizations that used to be under its authority.
Purchase Orders/Terms and Conditions: When performing a work for hire or other research for outside commercial companies, the authorizing document is often a purchase order. These are official contracts and must be reviewed by OSP.
R
Reasonable: A requirement for a cost to be allowable. It is the result of the action that a prudent person would have taken under the circumstances prevailing at the time.
Re budget: The act of amending the budget by moving funds from one category or line item to another. (See also Budget Modification).
Regulations: The federal rules and requirements governing sponsored research projects. The basic requirements applicable to the University are located in the Uniform Guidance.
Renewal: An award modification based on a competitively reviewed proposal requesting additional funds and extending the scope of work beyond the current project period.
Reps And Certs: Representations and Certifications, a list of statements of institutional policies, practices, and commitments which must be signed as part of some proposals. Always found in federal contract proposals.
Request for Applications (RFA): Announcements that indicate the availability of funds for a topic of specific interest to a sponsor. RFAs generally contemplate the award of a grant rather than a contract.
Request for Proposal (RFP): Announcements that specify a topic of research, methods to be used, product(s) to be delivered and appropriate applicants sought. RFPs generally contemplate the award of a contract rather than a grant.
Request for Quotations (RFQ): A formal request to vendors for a price quotation on services, equipment or supplies to be purchased. Industry often uses an RFQ to solicit proposals.
Research Misconduct “Research misconduct is defined as fabrication, falsification, or plagiarism in proposing, performing, or reviewing research, or in reporting research results. Fabrication is making up data or results and recording or reporting them. Falsification is manipulating research materials, equipment, or processes, or changing or omitting data or results such that the research is not accurately represented in the research record. Plagiarism is the appropriation of another person’s ideas, processes, results, or words without giving appropriate credit. Research misconduct does not include honest error or differences of opinion.”
Right to Publish University policy requires that the institution or PI retains the right to publish the results of a sponsored program, as it is part of our mission and obligation to disseminate knowledge and educate students. A short delay in publication for Intellectual Property protection, coordination with other publishers, or other good reason is allowed. prohibition of the right to publish requires approval of the Vice President for Research or delegate.
Revision: A modified and resubmitted request for funding for a project that was previously not funded either because it was denied by the sponsor or withdrawn by the principal investigator.
S
Salaries and Wages (S&W) Payments made to employees of the institution for work performed.
Scope of Work (SOW) The description of the work to be performed and completed on a research project or sponsored activity. A good SOW is very verb oriented.
Senior Personnel Professional personnel who are responsible for the scientific or technical direction of project. The Principal Investigator has final responsibility if there are more than one senior investigators on a project.
Service Agreement: Contract that is usually considered a specialized service or “work for hire”, no Office for Sponsored Programs IP issues are involved, and the sponsor/funding source has need of a special capability offered within the university. This can include specialized tests of materials, or special evaluations of test results. These agreements can also be used for course development or professional education services.
Service Center: A department/unit of the University that performs specific technical or administrative services primarily for the internal operations of the University and charges users for its services. There are three types of service centers – recharge center, specialized service facility, and service facility.
Simplified Acquisition Threshold: The dollar amount in federal acquisition represented by the anticipated amount of a contract, under which contracting officers are directed to use simplified acquisition procedures to solicit and award the resulting contracts.
Small Business Innovation Research (SBIR): Federal program that encourages domestic small businesses to engage in Federal Research/Research and Development (R/R&D) that has the potential for commercialization.
Small Business Technology Transfer (STTR): Federal program that expands funding opportunities in the federal innovation research and development (R&D) arena. Requires public/private sector partnership to include Joint venture opportunities for small businesses and nonprofit research institutions. The unique feature of the STTR program is the requirement for the small business to formally collaborate with a research institution in Phase I and Phase II. STTR’s most important role is to bridge the gap between performance of basic science and commercialization of resulting innovations.
Student Financial Aid (SFA): Federal awards under those programs of general student assistance, such as those authorized by Title IV of the Higher Education Act of 1965, as amended, (20 U.S.C. 1070–1099d), which are administered by the U.S. Department of Education, and similar programs provided by other Federal agencies. It does not include Federal awards under programs that provide fellowships or similar Federal awards to students on a competitive basis, or for specified studies or research.
Sponsor: The organization that funds an award received by the institution. If the University receives a subaward, the sponsor is the pass-through organization issuing the subaward.
Sponsored Program: A grant, contract or other agreement awarded to accomplish a specific goal or project.
Sponsored Research Agreement (SRA): Used for a specific research project where the sponsor/funding source expects intellectual property rights or reports from the research project.
Stipend: A payment made to an individual under a fellowship or training grant in accordance with pre-established levels to provide for the individual’s living expenses during the period of training. Expressly, this is NOT an employer-employee relationship. Stipends may NOT be paid from any other type of grant although students may be employed on them. A stipend does not generate fringe benefits, although health insurance is often an allowable cost to a fellowship or training grant.
Stop Work Order: An official communication from the sponsor’s Contracting Officer requiring the contractor to stop work. This may be related to a Termination, or may be a temporary halt for some reason. The contractor will cease work and comply with other terms of the Stop Work Order.
Subaward, Subcontract, Subgrant, or Subagreement: A document written under the authority of, and consistent with the terms and conditions of an award (a grant, contract or cooperative agreement), that transfers a portion of the research or substantive effort of the prime award to another institution or organization. “Subaward” or Subgrant” is usually used in relation to an agreement under a federal grant.
Subrecipient: An entity that contributes substantive, programmatic work towards part or all of the research project under an award received by UA, and who retains some level of control and discretion over completion of work being performed.
Supplemental (Rebudgeting or Modification) Proposal: A request to the sponsor for additional funds for an ongoing project during the previously approved performance period. A supplemental proposal may result from increased costs, modifications in design, or a desire to add a closely related component to the ongoing project.
Supplemental Compensation: Internal supplemental compensation is any compensation paid through the University to any full-time staff member in addition to their base pay.
Suspension and Debarment Prohibition on an individual, institution or corporation receiving some benefit. As a result of Executive Order 12549 in 1986, an institution must certify, for receipt of a federal contract of grant, that it is not suspended or debarred by any federal department or agency.
System for Award Management (SAM): SAM validates applicant information and electronically shares the secure and encrypted data with the federal agencies’ finance offices to facilitate paperless payments through Electronic Funds Transfer (EFT). SAM stores your organizational information, allowing Grants.gov to verify your identity and to pre-fill organizational information on your grant applications. For more information, review the Register with SAM page.
System to System (Cayuse 424): A grant proposal submission software that reduces administrative burden and improves submission success rates through the use of pre-populated and auto-fill capabilities, subaward import functionality and real-time error validations that ensure proposal accuracy. Cayuse Proposals provides system-to-system submission for Grants.gov federal funding opportunities.
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Teaming Agreement: Used when a prime contractor and subcontractor agree to combine resources to bid on a major government procurement (contract).
Technical Data Recorded information, regardless of form or characteristic, of a scientific or technical nature. Often referred to as the “science” of a proposal.
Terms and Conditions of Award: All legal requirements imposed on an agreement by the sponsor, whether by statute, regulation(s), or terms in the award document. The terms of an agreement may include both standard and special provisions that are considered necessary to protect the sponsor’s interests. All applicable terms must be included in the award document, but very frequently by reference only.
Term Sheet: Document that outlines the material terms and conditions of a business agreement. After a Office for Sponsored Programs and Office for Counsel term sheet has been signed, it guides in the preparation of a proposed final agreement. It is not necessarily binding, as negotiations may continue until the final agreement is reached by all parties.
Total Costs, Total Project Costs: The total direct and indirect costs incurred by the institution to carry out an approved project or activity.
Total Direct Costs (TDC): The total of all direct costs of a project.
Treasury Financial Manual (TFM): The official publication of policies, procedures, and instructions concerning financial management in the federal government.
Tuition: Costs or fees associated with enrolling and attending university classes.
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UA Center: Faculty and staff from one or more departments, colleges, or units engaged in dedicated research, educational or service activity.
UA Institute: An organization intended for research and is broader in scope than a center. Typically associated with a physical and organization infrastructure for conducting research. Often involves faculty and staff from multiple units who depend on a set of common facilities for their research. May house within it one or more centers. (definition from University of Arkansas)
Uniform Guidance (UG or 2 CFR 200): UNIFORM ADMINISTRATIVE REQUIREMENTS, COST PRINCIPLES, AND AUDIT REQUIREMENTS FOR FEDERAL AWARDS. Issued by OMB (Office of Management and Budget), this guidance supersedes regulations that were previously contained in eight different OMB Circulars, including those applicable to Universities, A-21, A-110 and A-133. It is applicable to all new federal awards and increments with effective dates on or after 12/26/2014.
Unique Entity ID (UEI): A 12-character alphanumeric identifier used in SAM.gov and other federal government systems as a way to identify a unique entity.
United States Code (U.S.C.): The official compilation and codification of the general and permanent federal laws of the United States.
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Value Added Tax (VAT): Consumption tax assessed n the value added in each production stage of a good or service.
Vendor: An entity from which UA will purchase specific goods or goods commercially available to the general public. In most cases, an entity that provides products and/or services that impact a large section of UA’s community (often referred to as a Contractor).
Voluntary Committed Cost Sharing: Federal sponsors view any voluntary cost sharing offered at the proposal stage as “committed” cost-sharing at the award stage. At award it becomes fiscally and/or programmatically auditable and must be documented and reported to the federal sponsor just like mandatory cost sharing.
Voluntary Uncommitted Cost Sharing: University faculty or senior researcher effort that is over and above that which is committed and budgeted for in a sponsored agreement. This differs from mandatory cost sharing or voluntary committed cost sharing, which are specifically pledged in the proposal’s budget or award.
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Warrant, Warranty: A contractual assurance of something detailed within a Statement of Work.