13. Glossary
Revised 4/3/00
This Glossary contains short concise definitions of common terms in
Research Administration. They should not be taken as complete or all
encompassing. Several of the terms have a link to the Research Handbook or
other areas with more detailed definitions and concepts.
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A
A-21 "Cost Principles for Educational Institutions,"
The circular establishing the principles for determining the costs
applicable to grants, contracts, and other government agreements (also known as Sponsored
Projects) with
educational institutions.
A-110 "Grants and Agreements with Institutions of Higher Education
. . ."
The circular establishing uniform administrative requirements for
grants and agreements with institutions of higher education, hospitals and
other non-profit organizations.
A-133 "Audits of States, Local Governments, and Non-Profit
Organizations"
This circular sets forth standards for obtaining consistency and
uniformity among Federal agencies for the audit of States, local
governments, and non-profit organizations expending Federal awards.
Allocable Costs
Those allowable costs that actually benefit the 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.
Application
A request for financial support of a project/activity submitted to a
sponsoring agency.
Appropriation
The amount of funds authorized by Congress allowing federal agencies to
make awards.
Assistance Agreement (see Grant)
Assurances
Statements concerning institution or organization compliance with Civil
Rights, Title IX, Human Subjects, etc.
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.
Authorization
Congressional legislation establishing a specific program.
Authorized Signature
Signature of person legally responsible for making agreements on behalf
of an organization; must appear on an application before it can be
considered an official request; implies that if an award is accepted, the
responsibility for its proper administration is assured.
Award
The provision of funds, based on an approved application or proposal
and budget, to an organizational entity or an individual to carry out an
activity or project.
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Block Grant
Lump sum of money given to a state or local governing agency based on a
formula to be spent in generally eligible areas. Purposes are broadly
defined and few restrictions are mandated from the funding source.
Restrictions can be imposed by the re-granting agency.
Budget
Estimated cost of conducting the proposed project, consisting of
direct/indirect costs, matching contribution (cost sharing), and
justification.
Budget Justification (Budget Explanation)
A clarification of the budget; explains how dollar amounts were
determined; not a rationale for the amounts requested.
Budget Negotiation
Discussion between submitting organization and funding source prior to
the time an award is made; often involves modification of a budget
request; initiated by the funding source; often results in a budget
reduction.
Budget Period
The interval of time - usually twelve months - into which the project
period is divided for budgetary and funding purposes.
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Carry-over or Carry-forward
Unexpended award funds on grants and contracts that are moved to the
next funding period (usually a year) where the agency (sponsor) allows the
carryover of unexpended funds.
Categorical Grant
Usually awarded to state or local governments for broad expenditures;
somewhat more restricted than for a block grant.
Clinical Investigations (also known as Clinical Study or Clinical
Trial)
A scientific treatment plan or study outline for using an experimental
procedure or a new treatment to see how it works in people.
Close Out
The act of completing all internal procedures and sponsor requirements
to terminate or complete a research project.
Competing-Continuation
The extension of an actively funded project; based on an application
made in the same manner as a new application; competes with new requests.
Conflict of Interest
When a University employee is in a position to influence the conduct of
a project for personal gain due to responsibilities or to arrangements
with an outside entity.
Consultant
A participant, usually external to the University, whose participation
does not require a sub-award or subcontract, and who is paid via a
personal service agreement.
Contract
A legal document specifying work, scope, budget and time of
performance; usually results in a tangible product.
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 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.)
Contracting Officers' Technical Representatives (COTR's)
Sponsors contracting officers appoint individuals selected by program
offices to act as authorized representatives in the monitoring and
administration of a contract. Also see Program Officer.
Cooperative Agreement
An award similar to a grant, 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.
Copyright
A form of protection provided by the laws of the United States (title
17, U.S. Code) to the authors of "original works of authorship,"
including literary, dramatic, musical, artistic, and certain other
intellectual works.
Cost Accounting Standards
(CAS)
Federally mandated accounting standards intended to ensure uniformity
in budgeting and spending funds.
Cost-Reimbursement Type Contract/Grant
A contract/grant for which the sponsor pays for the full costs incurred
in the conduct of the work up to an agreed-upon amount.
Cost Sharing
Financial contribution by the grantee; typically less than one third of
the total cost; more common to research grants; a form of matching.
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Data (see Research Data)
Data Rights
Maintaining ownership and stewardship of the scientific data and
records for research projects. In the case of federal contracts/grants,
refer to FAR Clause Subpart
27.4-Rights in Data and Copyrights, in which
it prescribes policies, procedures, and contract clauses pertaining to
patents and directs agencies to develop coverage for Rights in Data and
Copyrights.
Debarment
An action taken by a debarring official in accordance with the
regulations to exclude a person from participating in covered
transactions. A person so excluded is debarred.
Demonstration Grant
An award that allows a grantee to create a working model; usually meant
to be reproduced by others.
Direct Costs
Expenses directly associated with carrying out the sponsored project.
Included, but not limited to, salaries and fringe benefits, travel,
equipment, supplies, printing costs, etc.
Disallowance or Disallowed Cost
A charge to a grant that the Federal awarding agency determines to be
unallowable, in accordance with the applicable federal cost principles or
other terms and conditions contained in the award. Typically the sponsor
will not pay for these expenditures and the disallowed expenditure becomes
the responsibility of the PI and must be transferred to another budget
(non-federal) or receive after-the-fact approval from the sponsor.
Discretionary Grant
An award made in accordance with legislation allowing the funding
source to exercise reasonable freedom in selecting the project, the
grantee, and determining the amount of the award.
Document Summary Sheet (DSS)
An internal routing form for institutional approval for submitting proposals (U of U).
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E
Effective Date
Date award is made; allowable project costs may not be charged to the
project until this date.
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.
Electronic Data Interchange (EDI)
The computer-application-to-computer-application exchange of business
information in a standard electronic format. Translation software aids in
the exchange by converting data extracted from the application database
into standard EDI format for transmission to one or more trading partners.
Electronic Funds Transfer (EFT)
The transfer of funds from one account to another electronically
usually through an EFT software program run on a computer.
Encumbrances
Obligations in the form of purchase orders, contracts, or salary
commitments which are chargeable to an award and for which a part of the
awarded amount is reserved. They cease to be encumbrances when paid.
Equipment
Tangible assets over $5,000 acquired through donation, gift, purchase,
capital lease, or self construction with a life expectancy of more than
one year.
Expanded Authorities
The operating authorities provided to grantees under certain research
grant mechanisms that waive the requirement for agency approval for
specified actions.
Expiration Date (Termination Date)
Last date of a project; no charges may be made to a project after this
date; see Duration Dates and Grant Period.
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Facility and Administration (F&A) Costs (also known as indirect
costs)
The overhead expenses indirectly associated with the sponsored project.
Included are administrative expenses, utilities, physical plant
maintenance, library facilities, etc.
False Claims Act
Covers fraud involving any federally funded contract or program, with
the exception of tax fraud.
False Statement Act
Covers any false, fictitious or fraudulent statements or
representations in any matter within the jurisdiction of any department or
agency of the United States.
Federal Flow Through Funds
When the initial source of funds for a project is directly attributable
to the federal government through a grant or contract to a non-federal
sponsor and the funds are received by the University from the non-federal
sponsor. Federal flow through funds gain the identity of federal funds upon
receipt of an award to the University and federal rules apply to the
receipt, spending and accounting of the funds unless expressly exempted by
the federal agency initially making the award.
Fellowship
An award made directly to an individual in support of specific
educational pursuits; recipients may be subject to service and/or payback
requirements after the fellowship terminates.
Fiscal Compliance
Assurance that funds are appropriately spent and that the work is
completed and at the highest standards.
Fixed-Price (FP) Type Contract/Grant
A contract/grant for which one party pays the other party a
predetermined price, regardless of actual costs, for services rendered.
Quite often this is a fee-for-service agreement.
Freedom of Information Act
(FOIA)
A federal statute that allows any person the right to obtain federal
agency records unless the records (or part of the records) are protected
from disclosure by any of the nine exemptions contained in the law.
Fringe Benefits
Employee benefits paid by the employer. (e.g., FICA, Worker's
Compensation, Withholding Tax, Insurance, etc.)
Full Time Equivalent (FTE) (also see Percent of Effort)
The percentage of full-time employment. For hourly paid personnel, the
FTE is used in the generation of time reports to calculate the number of
hours to assign on the report. For salaried personnel, it is not used for
hours calculation but rather just to show a general distribution of time
and effort that equates to the distribution of cost.
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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.
Goals
General statements of anticipated project outcomes; usually, more
global in scope than objectives and not expected to be measurable; if
used, goals should be supported by well-stated objectives.
Government Records Access and Management Act (GRAMA)
It sets forth guidelines for classifying information in (Utah)
government records based upon who has the right to access that
information.
Grant
Award of financial or other assistance which does not hold the grantee
to a rigid work plan; more flexible than a contract; grantee or grantee's
client is usually the beneficiary.
Grant Period
The period between "effective date" and "expiration
date", during which
time items may be charged against the grant or contract.
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 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.).
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I
Indirect Costs (see also F&A)
The overhead expenses indirectly associated with the sponsored project.
Included are administrative expenses, utilities, physical plant
maintenance, library facilities, etc.
In-Kind Contribution
A service or item donated in lieu of dollars to the operation of a
funded project; usually given by the grantee or a third party; (e.g., donated
equipment or guest speaker's time); should be referenced in budget as a
real direct project cost but designated as in-kind; must be auditable with
letter of agreement as a minimum paper trail.
Intergovernmental Personnel Act (IPA)
Temporary assignments of personnel between governmental agencies and
other qualified institutions under the Intergovernmental Personnel Act
(IPA) Mobility Program when the assignment is for work of mutual concern
and benefit.
Institutional Animal Care and Use Committee (IACUC)
Monitors care and use of animals in laboratory and research programs of
a organization to assure that animals are treated humanely in accordance
with applicable laws and regulations.
Institutional Review Board (IRB) for Research with Human Subjects
Reviews all proposed research projects that involve human subjects to
assure that the rights of such subjects are protected, that adequate and
informed consent for their participation is obtained, and that any
possible benefits of the research are commensurate with the risks
involved.
Intellectual Property
Potentially legally protectable knowledge, technology, ideas, and
information often resulting from performance of sponsored activity.
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Matching (Funds)
Financial contribution by the grantee; common to capital and/or
equipment grants when grantee and/or grantee's clients are the primary
beneficiary; typically one third (1/3) or greater; a form of cost sharing.
Misconduct in Science
Fabrication, plagiarism, fraud, or other practices that seriously
deviate from those that are commonly accepted within the scientific
community for proposing, conducting, or reporting research. It does not
include honest error or honest differences in interpretations or judgments
of data.
Mission Agency
An agency of the federal government that has a specific or special
mission (i.e. ONR, DOD, etc.)
Modified Total Direct Costs (MTDC)
Basic indirect costs are calculated on a subset of direct costs,
normally excluding among other costs, equipment, patient care, space
rental, alterations and renovations, and subcontract costs in excess of
the first $25,000.
Modular Grants
Under the NIH Modular Grant Application and Award Initiative,
applicants prepare simplified proposals that provide limited budget
information in a narrative format and do not have to submit other research
support information until just prior to award. Applications are to request
direct costs in $25,000 modules, up to a total direct costs request of
$250,000 per year for all unsolicited new, revised, and competing
continuation R01, R03, R15, R21, R41, and R43 grants and competing
supplements, as well as applications responding to RFAs for these
mechanisms.
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No Cost Time Extension
An extension of the period of performance beyond the expiration data to
allow the principal investigator to finish a project. Usually, no
additional costs are provided.
Notice of Grant Award
The legally binding document that notifies the grantee and others that
an award has been made, contains or references all terms and conditions of
the award, and documents the obligations of Federal funds. May be issued
in letter or electronic format.
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O
Other Transaction Agreements (OTA) also see
Technology Investment
Agreement (TIA)
These agreements are a variation of a contractual agreement. There are
fewer bid restrictions and the Bayh-Dole Act does not apply. This means
that the sponsoring agency may retain all rights to intellectual property.
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Personnel Action Notification (PAN)
The vehicle or form used to communicate to the Human Resources Information
System data regarding each individual's employment at the University of
Utah. When completed the form provides job-related and personal
information.
Personnel
Activity Report (PAR)
To comply with government requirements, the University of Utah has
established a Personnel Activity Report (PAR) system which consists of
after-the-fact effort reports for all exempt employees who expend effort
on sponsored projects for which reimbursement is claimed from the grantor
and, in addition, exempt employees in a department associated with grants
and contracts.
Principal Investigator
The individual responsible for the conduct of research or other
activity described in a proposal for an award.
Prior Approval
Written documentation of permission to alter any aspect of a funded
project; includes programmatic and financial changes; may be obtained
within grantee organization or from grantor depending upon the case in
point and grantor policy.
Project Director
The individual, project director or principal investigator, responsible
for supervising the sponsored program for the funded agency.
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.)
Program Income
Gross income earned by a grantee that is directly generated by the
grant-supported project or activity or earned as a result of the award.
Project Period
The total time for which support of a project has been programmatically
approved. The total project period is comprised of the initial competitive
segment, and subsequent competitive segment(s) resulting from a competing
continuation award(s), and noncompeting extensions.
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.
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R
Real Property
Land, including land improvements, structures, and appurtenances, but
not movable machinery and equipment.
Recharge Centers
Operating centers established for the primary purpose of providing
specialized services to the university community (although services may be
provided on an incidental basis to external users).
Representations & Certifications (Reps & Certs)
Required statements which must accompany federal contracts and proposals, and which are completed by
the Office of Sponsored Projects.
Request For a Proposal (RFP)
Announcement distributed by a funding source to potential grantees
defining in a general way the type of project proposals desired; often
pertains to applied research which, in the interest of the grantor or
contractor, or its clients, can result in either a grant or contract; same
as a Request For an Application (RFA).
Request For a Quotation
(RFQ)
Announcement distributed by a source to potential respondents defining
in a general way the type of services/item in accordance with
specifications, and within the price or price limitation, if any, set
forth for each service/item.
Research Data
Includes laboratory notebooks, as well as any other records that are
necessary for the reconstruction and evaluation of reported results of
research and the events and processes leading to those results, regardless
of the form or the media on which they may be recorded.
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Small Business Innovation Research (SBIR) Program
Federal program to increase private sector commercialization of
technology developed through Federal R&D and increase small business
participation in Federal R&D.
Small Business Technology Transfer (STTR) Program
Under this federal program, a percent of a Federal agency's extramural
research or research and development (R&D) budget is reserved for
awards to small businesses for cooperative R&D to be conducted jointly
with a non-profit research institution.
Sponsored Research
Research funded by an outside agency either through a grant or
contract.
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.
Subcontract/Sub-award/Subgrant
An agreement or secondary contract in which a third party agrees to
perform some of the activities defined in a primary proposal; agreed upon
at the time of submission but not consummated until after the award has
been made to the organization submitting the primary proposal.
Suspension
An action taken by a suspending official in accordance with regulations
that immediately excludes a person from participating in covered
transactions for a temporary period, pending completion of an
investigation and such legal, debarment, or Program Fraud Civil Remedies
Act proceedings as may ensue. A person so excluded is suspended.
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Technology Investment Agreement
(TIA)
Used to carry out basic, applied, or advanced research projects when it
is appropriate to use assistance instruments and the research is to be
performed at least in part by for-profit firms, especially as members of
consortia. TIAs allow DOD Components to leverage for defense purposes
financial investments made by for-profit firms in research related to
commercial products and processes.
Total Direct Costs (TDC)
The total of all direct costs of a project.
Trade Secret
All forms and types of financial, business, scientific, technical,
economic, or engineering information, whether tangible or intangible, and
whether or how stored, compiled, or memorialized physically,
electronically, graphically, photographically, or in writing if (A) the
owner thereof has taken reasonable measures to keep such information
secret; and (B) the information derives independent economic value, actual
or potential, from not being generally known to, and not being readily
ascertainable through proper means by the public.
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Unallowable Cost
A cost determined to be unallowable in accordance with the applicable
cost principles or other terms and conditions contained in a grant award.
Unsolicited Proposal
Proposal for which the initiative for defining the project concept and
submitting the proposal rests solely with the applicant.
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13. Glossary