Research Administration Glossary
A
A-21 "Cost Principles for Educational Institutions," a circular published by the federal Office of
Management and Budget (OMB) that establishes the principles for determining the costs applicable
to grants, contracts, and other government agreements (also known as Sponsored Projects) with
educational institutions.
A-87 "Cost Principles for State, Local, and Indian Tribal Governments," a circular published by the
federal Office of Management and Budget (OMB) that establishes the principles for determining the
costs applicable to grants, contracts, and other government agreements (also known as Sponsored
Projects) with state, local, and Indian tribal Governments. Frequently state agencies will flow-down
A-87 cost principles in subawards; VCU must always insist instead on A-21 cost principles.
A-110 "Uniform Administrative Requirements for Grants and Other Agreements with Institutions of
Higher Education, Hospitals and Other Non-Profit Organizations," a circular published by the federal
Office of Management and Budget (OMB) that establishes the administrative requirements for
federal grants and cooperative agreements. Each agency implements A-110 in its own regulations;
agency specific deviations require OMB approval but do exist, so depend on the agency regulations
for details.
A-122 "Cost Principles for Non-Profit Organizations," a circular published by the federal Office of
Management and Budget (OMB) that establishes the principles for determining the costs applicable
to grants, contracts, and other government agreements (also known as Sponsored Programs) with
non-profit organizations.
A-133 " Audits of States, Local Governments, and Non-Profit Organizations," a circular published by
the federal Office of Management and Budget (OMB) that establishes the requirements that ensure
consistency and uniformity in audits of federal funds, by concentrating on systems for financial
control and regulatory compliance.
AAALAC American Association for the Accreditation of Lab Animal Care
AHA American Heart Association
AID Agency for International Development
AFOSR Air Force Office of Scientific Research (DOD)
Agreement Generic name for grant, contract or other agreement which is enforcable at law, and
which must be executed by an authorized official.
Allocable Costs Those allowable costs that actually benefit the specific grant or contract to which
they are being charged.
Allowable Costs Those categories of costs that can be charged to a grant, such as salaries and
equipment. Certain types of costs, such as the cost of alcoholic beverages are not allowable and
may not be charged to a contract or grant. To be allowable, the cost must be reasonable, allocable,
consistently treated, and conforming to any limitations or exclusions of the agreement (see Special
Terms and Conditions).
AMA American Medical Association
APA Auditor of Public Accounts, the "state auditor" that audits annually, to A-133 standards.
ASPR Armed Services Procurement Regulations
Assistance Under federal law, the process that leads to a grant or cooperative agreement, as
opposed to procurement. The purpose is to "assist" the grantee with what it would do anyway, if it
had the resources.
Audit A formal examination of an organization's or individual's accounts or financial situation. An
audit may also include examination of compliance with applicable terms, laws, and regulations.
Authorized Official The individual(s) formally authorized to bind the institution to grants, contracts
and other agreements; the official "signer" for the institution.
AUTM Association of University Technology Managers
Award Funds that have been obligated by a funding agency for a particular project, or the
document memorializing this transaction.
B
Bequests A type of donation or gift. Bequests and gifts are awards given with few or no conditions
specified. Gifts may be provided to establish an endowment or to provide direct support for existing
programs. Frequently, gifts are used to support developing programs for which other funding is not
available. The unique flexibility, or lack of restrictions, makes gifts attractive sources of support.
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
FAR.
Budget The detailed statement outlining estimated project costs to support work under a grant or
contract.(See also rebudget.)
Budget Period The interval of time--usually twelve months--into which the project period is
divided for budgetary and funding purposes.
Budget Adjustment The act of amending the budget by moving funds from one category or line
item to another.
C
Cancellation, Termination, Stop Work Order A contractual clause (usually Termination Clause)
that says a party can terminate or cancel an agreement or contract with a set number of days of
written notification. A minimum of thirty (30) days written notification to allow the University to
reassign faculty, staff, and students working on the project. A Stop Work Order can require ceasing
work without necessarily terminating the project.
CAS Cost Accounting Standards
Catalog of Federal Domestic Assistance (CFDA) Publication and database produced by the
General Services Administration that lists the domestic assistance programs for all federal agencies
and gives information about a program's authorization, fiscal details' accomplishments, regulations,
guidelines, eligibility requirements, information contacts, and application and award process. CFDA
does not list assistance that benefits foreign entities, and does not list procurement opportunities.
CBD Commerce Business Daily
CDC Centers for Disease Control and Prevention
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. Several
certifications are required before receiving federal funds.
CFDA Catalog of Federal Domestic Assistance
CFR Code of Federal Regulations
Challenge Grant A grant that provides monies in response to monies from other sources, usually
according to a formula. A challenge grant may, for example, offer two dollars for every one that is
obtained from a fund drive. The grant usually has a fixed upper limit, and may have a challenge
minimum below which no grant will be made. This form of grant is fairly common in the arts,
humanities, and some other fields, but is less common in the sciences. A challenge grant differs
from a matching grant in at least one important respect: The amount of money that the recipient
organization realizes from a challenge grant may vary widely, depending upon how successful that
organization is in meeting the challenge. Matching grants usually award a clearly defined amount
and require that a specified sum be obtained before any award is made.
Change Order A written order signed by the contracting officer, directing the contractor to make
changes in the processes, goods and services under a contract. The contract will have a changes
clause that specifies the authority of the contracting officer to order such changes without the
consent of the contractor.
Clinical Trial 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.
Close Out The act of completing all internal procedures and sponsor requirements to terminate or
complete a research project.
Code of Federal Regulations (CFR) A compilation of all final regulations issued by federal
agencies and published annually by the National Archives and Records Administration. The CFR is
divided into numbered "Titles", primarily by federal agency.
Cognizant Agency The single federal agency responsible for negotiating a university's F&A rate
and resolving audit questions.
COGR Council on Governmental Relations, an association of research universities whose primary
function is to help develop policies and practices that fairly reflect the mutual interest and separate
obligations of federal agencies and universities in federal research and training.
COLA Cost of Living Allowance which may be granted to employees based away from their home
location, to provide for a higher cost of living than at the home location.
Compliance Adherence to the requirements imposed, often by federal regulation, and the
responsibilities institutions assume in their receipt. The institution signs certifications or
representations regarding compliance for most proposals or awards. It is important that the
institution have systems in place to ensure compliance and maintain adequate records to
demonstrate compliance.
Commerce Business Daily (CBD) Daily (business days) federal government publication of U. S.
government procurement invitations, contract awards, subcontracting leads, sales of surplus
property, and foreign business opportunities.
Competing Proposals Proposals that are submitted for the first time or unfunded proposals that
are resubmitted; either must compete for research funds. Ongoing projects must compete again if
the term of the original award has expired.
Confidentiality Agreement An agreement between too parties whereby they agree to maintain
confidential information received from the other party. Such information should be clearly identified
as proprietary and/or confidential, and wants a time limit specified for maintaining confidentiality. In
reviewing a confidentiality agreement, the university's right to publish must be protected.
Consistently Treated Costs Costs that are treated alike when circumstances are alike, particularly
as to whether costs of a given type are treated consistently as either direct costs or as F&A costs.
Consortium Agreement Agreement between two institutions that allows collaborative work on a
single project by investigators of the two institutions. The "lead" or "prime" institution receives an
award from the sponsor which directs that a subaward or subcontract be issued to the "sub-"
instituion.
Consultant Agreement An agreement between an individual or organization (consultant) and the
university whereby the consultant provides services of an advisory nature. The university may enter
into an agreement of this type when the necessary expertise is not available within the university
community.
Continuation Project (Non-Competing) Applicable to grants and cooperative agreements only. A
project can be approved for multiple-year funding, although funds are typically committed only one
year at a time. At the end of the initial budget period, progress on the project is assessed. If
satisfactory, an Continuation award is made for the next budget period, subject to the availability of
funds. Continuation projects do not compete with new project proposals and are not subjected to
peer review after the initial project approval.
Contract A mechanism for procurement of a product or service with specific obligations for both the
sponsor and recipient. Each contract document contains a statement of work or services to be
performed (scope of work) and represents a legal obligation by the contractor. Since a contract is a
purchase or procurement, there will always be a deliverable. Contracts received by the institution
are more detailed than grants or cooperative agreements in the technical requirements and
sometimes in the accountability for the use of funds. Contracts issued for procurement under a
sponsored program need careful review for adequacy of the scope of work and objectivitity of the
statement of deliverables.
Contract/Grant Officer A sponsor's designated individual who is officially responsible for the
business management aspects of a particular grant, cooperative agreement, or contract. Serving as
the counterpart to the authorized official or business officer of the grantee/contractor organization,
the grant/contract officer is responsible for all business management matters associated with the
review, negotiation, award, and administration of a grant or contract and interprets the associated
administration policies, regulations, and provisions. (For definition of scientific officer, see
Program/Project Officer.)
Cooperative Agreement A federal award similar to a grant and subject to grant regulations , but
in which the sponsor's staff may be actively involved in proposal preparation, and anticipates having
substantial involvement in research activities once the award has been made.
Co-Principal Investigator, Co-PI A courtesy title for a senior investigator who is not the Principle
Investigator, generally with responsibility for the conduct of a portion of the research or other
activity described in a proposal or an award. NSF recognizes this title when there are multiple senior
investigators, but states that " the first one listed will have primary responsibility for the project and
the submission of reports." Few other funding agencies recognize the title. "Co-PI" is not formally
recognized as different from any other 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 "fair
use" doctrine.
COS Community of Science A subscription web service containing information about funding
opportunities for research and scientific expertise.
Cost Accounting Standards (CAS) Federally mandated accounting standards intended to ensure
uniformity in budgeting and spending federal funds, originally applicable to commercial concerns. In
April 1996, OMB revised A-21 to incorporate certain cost standards issued by the Cost Accounting
Standards Board. Four of the CAS apply to the university: CAS 501, 502, 505, and 506.
Cost-Reimbursement Type Contract/Grant A contract/grant for which the sponsor pays for the
allowable and allocable costs incurred in the conduct of the work up to an agreed-upon amount.
Cost Sharing Cost sharing refers to that portion of the costs of a sponsored project that is borne
by the university. Cost sharing usually must be (1) verifiable from records, (2) allocable as
necessary and reasonable for proper and efficient accomplishment of the project objective, and (3)
allowable under applicable cost principles and administrative regulations. Both Mandatory and
Voluntary Committed cost sharing must be adequately documented in records. Cost sharing
commitments may be required by the sponsor (Mandatory) or by the competitive nature of the
award and then only to the extent necessary to meet the specific requirements of the sponsored
project.
CRADA or CRDA Cooperative Research and Development Agreement, originally a mechanism to
transfer technology between the government and the university. CRADAs can also be used to
transfer equipment, supplies, or to pay travel expenses. A CRADA is often the only mechanism to
transfer funds into a federal agency, e.g., when making a subaward to a cooperating federal
research laboratory.
CSR Center for Scientific Review (NIH) The NIH branch which receives all new and competing
proposals and arranges for review by a Scientific Review Group.
D
DAR Defense Acquisition Regulations
DARPA Defense Advanced Research Projects Agency (DOD)
DCAA Defense Contract Audit Agency, a cognizant agency for some institutions.
DED Department of Education
Deadline Date The date by which a proposal must be postmarked, or must be received by, a
sponsor to be considered. OSPA must receive an approved, correct proposal two full work days prior
the date the PI desires the proposal back for delivery, or the date for electronic submittal. If OSPA
must upload additional electronic files for an electronic submittal, an additional day is needed.
Defense Acquisition Regulations (DAR or DFARS) The source regulations for contracts from the
Department of Defense which supplement the FAR.
Deficit Expenditures exceed funds available; also "cost overrun".
Deliverable An objectively measurable product or service that is a direct result of a project effort
or a procurement. Deliverables must be stated as an integral part of the proposal and award
documents. The deliverable for many projects can be a report or other objects, and in a time and
effort project will be a specified amount of effort as demonstrated by the effort reporting system. A
good deliverables list is very noun oriented.
DFARS Defense Federal Acquisition Regulation Supplement, a supplement to the FAR which
includes clauses particular to DOD contract procurement.
DHHS Department of Health and Human Services
Direct Costs Clearly identifiable costs related to a specific project. General categories of direct
costs include but are not limited to salaries and wages, fringe benefits, supplies, contractual
services, travel and communication, equipment, and computer use.
DOD Department of Defense (includes Air Force, Army, ARPA, and Navy)
DOE Department of Energy
DOI Department of Interior
Donation Transfer of equipment, money, goods, services, and property with or without
specifications as to its use. Sometimes donation is used to designate contributions that are made
with more specific intent than is usually the case with a gift, but the two terms are often used
interchangeably. (Also see Gift)
DOT Department of Transportation
Drug-free Workplace The Drug-Free Workplace Act of 1988. This regulation stipulates that no
federal funding will be available for institutions or individuals who do not have a drug-free
workplace policy in place. VCU meets all requirements of this regulations. There is no requirement
for flow down to subrecipients under either grants or contracts.
Drug-free Work Force No statutory authority exists for the drug-free work force requirements.
Requirements are contained in DFAR, 252.223-7004. Drug-Free Work Force addresses employee
involvement with controlled substances regardless of where such involvement takes place, random
drug testing of employees, and other intrusive personnel policies. This clause is only applicable to
DOD solicitations and contracts involving access to classified information or when the contracting
officer decides inclusion is necessary.
E
EDGAR (Education Department General Administrative Regulations) Administrative
regulations governing U.S. Department of Education grants and cooperative agreements. EDGAR
include's DED's implementation of A-110, including all approved deviations.
EDISON Interagency Extramural Invention Information Management System A system for reporting
inventions made with federal funds through DHHS to all agencies.
Effort, Per Cent Effort Under A-21, a principal investigator must budget, propose, accumulate
costs, and report the work done on sponsored programs by salaried employees in Percent Effort.
The total work responsibility of an individual cannot exceed 100%. This work cannot be treated in
terms of hours, although an approximation of hours may be quoted with the proviso that this is
merely an estimate.
Electronic Research Administration (ERA) Conducting research administration by utilizing
electronic resources such as the Internet, the world wide web, form templates, databases, and
other electronic tools.
Encumbrance Funds that have been set aside or "claimed" for projected expenses pending actual
expenditure of the funds. Typically, the issuance of a Purchase Order results in encumbrance of the
face value of the PO.
Endowment A fund usually in the form of an income-generating investment, established to provide
long-term support for the institution, including for faculty/research positions (e.g., endowed chair).
Entity Identification Number (EIN) The number the Internal Revenue Service assigns to every
employer, also "Federal Identification Number" (FIN), 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.
EPA Environmental Protection Agency
Equipment An article of nonexpendable, tangible personal property having a useful life of more
than one year and an acquisition cost which equals or exceeds $5000. If a single device is
assembled from parts with a total cost of $5000 or more, it becomes "equipment".
Expanded Authorities Under expanded authorities (NIH's term), many federal agencies have
delegated to the institution exercise of some prior approvals required for federal research grants,
typically carryover of unobligated balances, 1 year NCTE to final budget period.
Expiration Date The date signifying the end of the performance period, as indicated on the Notice
of Grant Award.
Extension An additional period of time given by the sponsor to an organization for the completion
of work on an approved grant or contract. An extension allows previously allocated funds to be
spent after the original expiration date. Most federal agencies, including NSF and NIH allow, on
research grants only, an extension of the final period of up to one year by the institution with
adequate notice to the sponsor.
F
FAA Federal Aviation Administration
Facilities and Administrative (F&A) Costs Costs that are incurred for common or joint
objectives and, therefore, cannot be identified readily and specifically with a particular sponsored
project, an instructional activity, or any other insitutional activity. F&A costs are synonymous with
Indirect Costs, and are sometimes called "overhead".
FAR Federal Acquisition Regulations
FDA Food and Drug Administration
FDP Federal Demonstration Partnership
Federal Acquisition Regulations (FAR) Provides uniform policies and procedures for acquisition
for all executive agencies. The FAR incorporates OMEB Circular A?21 in its entirety by reference, as
Part 31.3. Some agencies have supplements to FAR (DFARS, HHSAR)
FEDERAL FINANCIAL ASSISTANCE MANAGEMENT IMPROVEMENT ACT (FFAMIA)/P.L. 106107 Enacted in 1999, this federal law is intended to make it easier for State, local, and tribal
governments and nonprofit organizations to apply for and report on financial assistance. The Act
requires federal agencies to create a common system for electronic processing of all grant
programs.
Federal Identification Number (FIN) The number the Internal Revenue Service assigns to every
employer, also "Entity Identification Number" (EIN) 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.
Federal Register Daily Compilation of federal regulations and legal notices, presidential
proclamations and executive orders, federal agency documents having general applicability and
legal effect, documents required to be published by act of Congress, and other federal agency
documents of public interest; prepared by the National Archives and Records Administration for
public distribution by the Government Printing Office; publication of record for many federal agency
regulations.
FIC Fogarty International Center (NIH)
Final Report The final technical or financial report required by the sponsor to complete a research
project.
FirstGov FirstGov is a public-private partnership, led by a cross-agency board and administered by
the Office of FirstGov in the General Services Administration's Office of Governmentwide Policy.
Launched in September 2000, it is the only official U.S. Government portal to 47 million pages of
government information, services, and online transactions. The site offers a search engine that
searches every word of every U.S. government document. FirstGov also features a topical index,
online transactions, links to state and local government, options to contact the government, and
other tools.
Fiscal Year (FY) Any twelve-month period for which annual accounts are kept.
Fixed-Price (FP) Contract/Grant/Agreement A contract/grant for which one party pays the
other party a predetermined price, regardless of actual costs, for services rendered, and which
becomes due in full when Deliverables are accepted. Quite often this is a fee-for-service agreement.
FOIA, Federal Freedom of Information Act 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. If sections of a proposal contain confidential or proprietary information
that should not be revealed once the proposal results in an award, those sections/pages should be
clearly marked and an accompanying memo/letter be sent listing those locations and specifying that
the information is confidential/proprietary.
Fringe Benefits Employee benefits paid by the employer. (e.g., FICA, Worker's Compensation,
Withholding Tax, Insurance, etc.)
Funding Cycle Range of time during which proposals are accepted, reviewed, and funds are
awarded. If a sponsor has standing proposal review committees (or boards) that meet at specified
times during the year, application deadlines are set to correspond with those meetings. For some
sponsors, if proposals are received too late to be considered in the current funding cycle, they may
be held over for the next review meeting (i.e., National Science Foundation's Target Dates).
G
Gift Gifts and bequests are awards given with few or no conditions specified. Gifts may be provided
to establish an endowment or to provide direct support for existing programs. Frequently, gifts are
used to support developing programs for which other funding is not available. The unique flexibility,
or lack of restrictions, makes gifts attractive sources of support. (Also see Donation.)
GLP, Good Laboratory Practices An objectively defined standard of laboratory practice with
scientifically sound protocols and meticulous attention to quality, required for certain purposes,
including submissions for many FDA purposes. GLP regulations are at 21 CFR 58, and FDA has a
web site on GLP.
GPG Grant Proposal Guide for the National Science Foundation.
Grant A type of financial assistance awarded to an organization for the conduct of research or other
program as specified in an approved proposal. A federal grant, as opposed to a federal cooperative
agreement, is used whenever the awarding office anticipates no substantial programmatic
involvement with the recipient during the performance of the activities. The PI of a research grant
has significantly greater flexibility in making changes to the research plan than the PI of a research
contract. As with any agreement, a grant has terms and conditions which must be followed.
Grant/Contract Officer A sponsor's designated individual who is officially responsible for the
business management aspects of a particular grant, cooperative agreement, or contract. Serving as
the counterpart to the authorized official or business officer of the grantee/contractor organization,
the grant/contract officer is responsible for all business management matters associated with the
review, negotiation, award, and administration of a grant or contract and interprets the associated
administration policies regulations, and provisions (For definition of scientific officer, see
Program/Project Officer.)
GSA General Services Administration
H
HHSAR Health and Human Survices Aquisitation Regulations Supplement, a supplement to the FAR
which includes clauses particular to HHS contract procurement.
I
IACUC Institutional Animal Care and Use Committee.
IBC Institutional Biosafety Committee
IDC Indirect Costs; Facilities and Administrative Costs is the preferable term.
IFB Invitation for Bid A solicitation issued to prospective bidders. An IFB describes what is required
and how the bidders are evaluated. Award is based on the lowest bid. Negotiations are not
conducted.
Investigator A University Member conducting Research as an employee or student of, or using
facilities owned or operated by, or resources administered by, the University.
In-Kind Contributions or assistance, typically for cost sharing, in a form other than money.
Equipment, materials, or services of recognized value that are offered in lieu of cash. A-110
provides guidance in evaluating the value of in-kind contributions.
Incremental Funding A method of funding contracts that provides specific spending limits below
the total estimated costs, usually with target dates. These limits may be exceeded only at the
contractor's own risk. Each increment is, in essence, a funding action.
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 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, library expenses, departmental
administration expenses, depreciation or use allowance for buildings and equipment, and student
administration and services. (See also Facilities and Administrative Costs.)
Indirect Cost Rate The rate, expressed as a percentage of a base amount (MTDC for most
universities), established by negotiation with the cognizant federal agency on the basis of the
institution's projected costs for the year and distributed as prescribed in OMB Circular A-21.
Institutional Animal Care and Use Committee A committee charged with the oversight of
research with vertibrate animals, and of the facilities in which that research occurs. Research
protocols involving vertibrate animals must be reviewed and approved by the IACUC prior to
initiation. Federal and some other sponsors require this approval prior to receipt of an award. An
institution must provide an acceptable written assurance to the Office for Protection from Research
Risks, NIH, that the institution is complying with the Animal Welfare Act, the Guide for the Care and
Use of Laboratory Animals, and other applicable laws and regulations. Recipients must maintain
records of committee activities which are treated as award related records for the purpose of access
and retention.
Intellectual Property In very general terms, an IP is the result of using one's intellect to create
something new and different from whatever was known before. IP is also a legal concept, inasmuch,
as like other property, it can be owned, sold, rented, given away, etc. lPs are protected by patents,
copyrights, trade secrets, trademarks, and know-how (secrecy).
Intergovernmental Personnel Act (IPA) Agreement A mechanism by which an employee of
state government may be assigned to work for a federal agency, or vice versa, while remaining on
the payroll of the "home" government, retaining his leave and benefits status. This is often used for
a temporary (up to one year) assignment of a faculty member to a federal agency. The "borrowing"
government reimburses the "lending" government for salary and benefits, and may directly pay a
cost of living or relocation allowance.
Interim Funding Authorization to expend funds on a project to a specified limit before the award
document has been received from the sponsor.
Invitation for Bid (IFB) A solicitation issued to prospective bidders. An IFB describes what is
required and how the bidders will be evaluated. Award is based on the lowest bid. Negotiations are
not conducted.
Investigator-Initiated Proposal A proposal submitted to a sponsor that is not in response to a
particular RFP, RFA, or a specific program announcement.
IPA Intergovernmental Personnel Act agreement.
IRB Institutional Review Board (for Human Subjects Research) IRB is a committee(s) set up
within the university charged with the oversight of research with human subjects. Research
protocols involving live human subjects must be reviewed and approved by the IRB prior to
initiation of the research. Federal and some other sponsors require this approval prior to issuing an
award. An institution must provide an acceptable written assurance to the Office for Human
Research Protection (OHRP), that the institution is in compliance with 45 CFR 46 and other
applicable laws and regulations. Recipients must maintain records of committee activities which are
treated as award related records for the purpose of access and retention.
J
K
Key Personnel Individuals who contribute in a substantive way to the scientific development or
execution of a project, usually only the senior members of the project staff. Sponsor permission is
usually required to change key personnel.
L
Limitation of Cost (LOC) A mandatory clause for federal cost-reimbursement type contracts.
Under the clause, the sponsor is not obligated to reimburse the contractor for costs in excess of the
stated amount. The contractor, however, is not obligated to continue performance once expenses
reach the stated amount. The Limitation of Cost clause can be routinely increased by contract
modification in an incrementally funded contract.
Lobbying Certification "Byrd Amendment". Certification is required 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. Must be flowed down to subrecipients.
M
Mandatory Cost Sharing Cost sharing required by the sponsor in order that the proposal be
considered. Mandatory cost sharing must be recorded, reported to the sponsor in the final fiscal
report, and considered in preparing the F&A rate proposal. See also Voluntary Committed Cost
Sharing.
Matching Grant A grant that requires a specified portion of the cost of a supported item of
equipment or project be obtained from other sources, as mandatory cost sharing. The required
match may be more or less than the amount of the grant. Some matching grants require that the
additional funds be obtained from sources outside the recipient organization. Some matching grants
are paid in installments, the payments coinciding with the attainment of pre-specified levels of
additional funding. (Also see Challenge Grant.) Matching grants are especially common in the
sciences for large equipment grants. They are standard practice in some government agencies.
Misconduct in Science Research Misconduct
Mission An organization's stated purpose, which is designed to address a specified set of goals or
problems. Almost all federal research agencies are designated as mission agencies.
Modification An award document that modifies any aspect of an existing award. Example:
Carryover approvals, adding or deleting special terms and conditions, changes in funding levels,
NIH's Minority Supplement, administrative changes initiated by the agency, extensions that include
changes in terms, change of principal investigator, etc.
Modified Total Direct Costs (MTDC) The cost base for calculating F&A costs used and all larger
universities. It is a subset of direct costs which excludes equipment, patient care, tuition remission,
off-campus space rental, alterations and renovations, scholarships and fellowships, and subaward
costs in excess of the first $25,000.
N
NACUBO National Association of College and University Business Officers
NAS National Academy of Sciences
NASA National Aeronautics and Space Administration
NCI National Cancer Institute (NIH)
NCRR National Center for Research Resources (NIH)
NCURA National Council of University Research Administrators
NEA National Endowment for the Arts
NEH National Endowment for the Humanities
NEI National Eye Institute (NIH)
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.
New and Competing Proposals Proposals that are submitted for the first time or ongoing projects
that must recompete for funding prior to expiration of the original award.
NHLBI National Heart, Lung, and Blood Institute (NIH)
NIA National Institute on Aging (NIH)
NIAAA National Institute on Alcohol Abuse and Alcoholism (NIH)
NIAID National Institute of Allergy and Infectious Diseases (NIH)
NIAMS National Institute of Arthritis and Musculoskeletal and Skin Diseases (NIH)
NICHD National Institute of Child Health and Human Development (NIH)
NIDA National Institute on Drug Abuse (NIH)
NIDCD National Institute on Deafness and other Communication Disorders (NIH)
NIDCR National Institute of Dental and Craniofacial Research (NIH)
NIDDK National Institute of Diabetes and Digestive and Kidney Diseases (NIH)
NIEHS National Institute of Environmental Health Sciences (NIH)
NIGMS National Institute of General Medical Sciences (NIH)
NIH National Institutes of Health
NHGRI National Human Genome Research Institute (NIH)
NIMH National Institute of Mental Health (NIH)
NINDS National Institute of Neurological Disorders and Stroke (NIH)
NINR National Institute for Nursing Research (NIH)
NLM National Library of Medicine
No Cost Time Extension An extension of the period of performance beyond the original expiration
date but with no additional costs, usually to allow the principal investigator to finish a project. Most
federal agencies allow the institution's central sponsored programs office to grant a one year NCTE
to the final year of a research grant (not contract), so long as there is timely notification to the
sponsor.
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.
NSF National Science Foundation
O
OFPP Office of Federal Procurement Policy
OMB Office of Management and Budget
OMB Circulars Regulatory circulars issued by the Office of Management & Budget (OMB) to direct
and standardize the actions and policies of federal departments. Check the definitions above for A21, A-87, A-110, A-122, and A-133.
ONR Office of Naval Research
OPAS Organizational Prior Approval System
OHRP Office for Human Research Protections (DHHS) The federal office for ensuring ethical conduct
of human research.
ORI Office of Research Integrity, a DHHS office promoting integrity in biomedical and behavioral
research.
ORSP Office of Research Subjects Protection Office overseeing IRB and IACUC activities.
OSP Office of Sponsored Programs
P
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).
Peer Review A system using reviewers who are the professional equals of the principal investigator
or program director who is to be responsible for directing or conducting the proposed project. It is a
form of objective review. Peer review is legislatively mandated in some programs and in other
programs is administratively required.
PHS Public Health Service, previously a major part 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.
PHS 2590 Application for Continuation of a PHS Grant (National Institutes of Health )
PHS 398 Application Form for a PHS Grant (National Institutes of Health)
PI Principal Investigator
PRDA Program Research and Development Announcement. An announcement and solicitation for
proposals, frequently used by the U S. Department of Energy.
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. Preproposals may be in the form of a letter of intent or brief abstract. Also termed
Preliminary Proposal.
Principal Investigator a) The individual with final responsibility for the conduct of research or
other activity described in a proposal or an award; b) the individual with fiduciary responsibility for
an award's management. Usually these are the same individual.
Prior Approval The 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 approval must be obtained before the performance of the act that
requires such approval under the terms of the agreement. Under expanded authorities (NIH's term),
many federal agencies have delegated to the institution exercise of some prior approvals required
for federal grants.
Priority Score A score derived from the rating given a research proposal by each member on a
review committee. It is used to help determine which approved proposals will be granted awards,
based on funds available.
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 a governmental goal.
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.
Serving as the counterpart to the principal investigator/project director of the grantee/contractor
organization, the program/project officer deals with the grantee/contractor organization staff to
assure programmatic progress. (For definition of business officer, see Grant/Contract Officer.)
Progress Report Periodic, scheduled reports required by the sponsor summarizing research or
project progress to date. Fiscal and invention reports may also be required.
Project Period (PP) The total time for which support of a project has been programmatically
approved. A project period may consist of one or more budget periods. (Also see Budget Period.)
Proposal An application for funding that contains all information necessary to describe project
plans, staff capabilities, and funds requested. Formal proposals are officially approved and
submitted by an organization in the name of a principal investigator. A proposal (application) can be
considered an offer to do business, and requires the signature of an institution's authorized official.
Q
R
Reasonable The action that a prudent person would have taken under the circumstances prevailing
at the time.
Rebudget The act of amending the budget by moving funds from one category or line item to
another. (See also Budget Adjustment)
Regs Short for "regulations."
Regulations The contractual rules and procedures governing sponsored research projects.
Renewal Applicable to grants and cooperative agreements only. A competitively reviewed proposal
requesting additional funds extending the scope of work beyond the current project period.
Reprocurement A contractual clause giving the sponsor the right to have a deliverable ordered
from another organization at the original contractor's expense, if the contractor fails to deliver. This
is an unacceptable clause. Not applicable usually for a non-profit educational institution which has
no funds to pay such costs.
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 conteplate the award of a grant rather than a
contract. Specific grant announcements may be published in the Federal Register and/or specific
sponsor publications. (Also see Broad Agency Announcements.)
Request for Proposal (RFP) Announcements that specify a topic of research, methods to be used,
product to be delivered, and appropriate applicants sought. RFPs generally contemplate the award
of a contract rather than a grant. Notices of federal RFPs are published in the Commerce Business
Daily.
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."
Restricted Funds Monies (or an accounting category for such funds) with specific requirements or
restrictions as to use or disposition. Grants, contracts, and cooperative agreements are considered
to be restricted funds, while gifts are usually considered unrestricted funds.
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 Voice President for Research or delegee.
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.
SBA Small Business Administration
SBIR Small Business Innovative Research
Scientific Review Group The NIH Peer review panel to which each grant proposal is sent for peer
review. Formerly named "Study Section".
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.
Secrecy Agreement A secrecy agreement, nondisclosure agreement, proprietary agreement, and
a confidentiality agreement are all the same thing. The purpose of this agreement is generally to
protect proprietary information regardless of whether it is technical, financial, trade secrets,
business information, or any other item that the party is disclosing, that they do not want divulged
beyond the party signing the agreement. A confidentiality clause requiring that the contract, its
existence, and/or its terms be kept confidential may not be accepted because it requires release of
financial or administrative records.
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.
Small Business Innovative Research (SBIR) Federal grant program created to provide support
to small business concerns and investigators for research projects that have potential for
commercialization. The SBIR program requires that the primary employment (over 50%) of the
principal investigator for the grant be with the small business. The small business concern may
conduct the entire SBIR project without outside collaboration, or it may subaward some of the
grant.
Small Business Technology Transfer (STTR) Federal grant program created to provide support
to small business concerns and investigators for research projects that have potential for
commercialization. The STTR program allows (but does not require) that the principal investigator
for the grant be primarily employed other than with the small business. The small business concern
must subaward some of the grant to a university or other research institution because the goal of
the program is to transfer technology developed there.
Small Grant A special type of award, often limited to a beginning researcher. Typically, such an
award may be obtained for one year only.
Special Terms and Conditions Terms and conditions of an award that are specific to that
individual award only.
SPINPlus Sponsored Programs Information Network An on-line search system provided by
subscription for research opportunities developed by the InfoEd.
Sponsor The organization that funds a sponsored program received by the institution. If VCU
receives a subaward, the sponsor is the organization issuing that subaward.
Sponsored Program A grant, contract or other agreement awarded to accomplish a specific goal
or project.
SRA Society of Research Administrators
SSA Social Security Administration
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.
STTR Small Business Technology Transfer
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.
Subs Short for subcontractors, or for subcontracts.
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.
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.
T
Task Order Agreeement (TOA) A legally binding document authorizing work and appropriating
funds as a supplement to a basic agreement. Task Orders are subject to the terms and conditions of
the original contract, and may occasionally contain additional special terms applicable to the specific
task only.
Teaming Agreement An agreement between two or more parties to participate in an activity.
Commonly a teaming agreement is sought by a commercial entity to jointly propose a federal
contract which requires the University's expertise for some portion of the work.
Technical Data Recorded information, regardless of form or characteristic, of a scientific or
technical nature. Often referred to as the "science" of a proposal.
Templates Facsimiles of agency forms created with common software (MS Word, Excel,
WordPerfect, etc.) that enable the user to fill out agency forms with their computer. (TRAM)
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.
Total Costs, Total Project Costs The total allowable 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.
TRAM A WWW service initially developed by the Texas Research Administrators Group providing
funding opportunity searches, agency form templates, links to research administration home pages,
etc. As Federal ERA progresses, these forms will be found on the individuals sponsors' websites.
U
Unrestricted Funds Monies (or an accounting category for such funds) with no requirements or
restrictions as to use or disposition. Grants, contracts, and cooperative agreements are considered
to be restricted funds, while gifts are usually considered unrestricted funds.
Unilateral Award An award made by a sponsor to an organization without considering competitive
proposals. Unilateral awards are most often made when unsolicited proposals receive favorable
treatment.
Unsolicited Proposal Proposal submitted to a sponsor that are not in response to a specific BAA,
RFP, RFA, or program announcement. (See also Investigator-Initiated Proposal.)
USDA United States Department of Agriculture
V
VA Department of Veterans Affairs
Voluntary Committed Cost Sharing Cost sharing that is not mandatory, but is offered in the
proposal. Included are salaries in excess of applicable reimbursement caps. Voluntary committed
cost sharing must be recorded by and considered in preparing the F&A rate proposal. See also
Mandatory Cost Sharing.
W
Warrant, Warranty A contractural assurance of something and detailed within a Statement of
Work.
X, Y, Z