Glossary

A B C D E F G H I J K L M N O P Q R S T U V W X Y Z

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.

Amendment

Resubmission of an unfunded application that has been revised in response to a prior review.

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.

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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B

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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C

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 Trial (also known as Clinical Study or Clinical Investigation)

A biomedical or behavioral research study of human subjects that involve drug, device, or therapeutic intervention(s) in patients. May proceed through four phases:

Phase I. Testing in a small group of people (e.g. 20-80) to determine efficacy and evaluate safety.

Phase II. Study in a larger group of people (several hundred) to determine efficacy and further evaluate safety.

Phase III. Study to determine efficacy in large groups of people (several hundred to several thousand) by comparing the intervention to other standard or experimental interventions, to monitor adverse effects, and to collect information to allow safe use.

Phase IV. Studies done after the intervention has been marketed. Designed to monitor effectiveness of the approved intervention in the general population and collect information about any adverse effects associated with widespread use.

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. External consultants usually possess expertise not available at the PI’s institution.

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.)

Cooperative Agreement

A support mechanism used when there will be substantial Federal scientific or programmatic involvement. Substantial involvement means that, after award, scientific or program staff will assist, guide, coordinate, or participate in project activities.

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. Matching or cost sharing may be required by law, regulation, or administrative decision of an NIH IC. Costs used to satisfy matching or cost-sharing requirements are subject to the same policies governing allowability as other costs under the approved budget.

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D

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.

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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.

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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F

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.

Federal Flow-Through Funds

The initial source of funding is directly attributable to the Federal Government through a grant/contract to a non-federal sponsor, and the funds are received by UTMB from the non-federal sponsor. Federal rules apply to the receipt, spending and accounting of the funds unless expressly exempted by the federal agency initially making the award.

Federal Government

A Cabinet-level department or independent agency of the executive branch of the Federal government or any component organization of such a department or agency.

Fellowship

Pre-doctoral and post-doctoral fellowships whose specific and only purpose is training of individuals in research techniques. This does not include fellowships if their purpose is for any training other than in research techniques. Examples are NIH individual fellowship grants (F30, F31, F32) and McLaughlin fellowships.

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.

Foundation

A nongovernmental, nonprofit organization with funds (usually from a single source, such as an individual, family, or corporation) and program managed by its own trustees or directors. The funds are established to maintain or aid social, educational, or other charitable activities serving the common welfare. "Private foundation" also means an organization that is tax-exempt under Code Section 501(c)(3) and is classified by the IRS as a private foundation as defined in the code.

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.)

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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.

Grant

Financial assistance mechanism providing money, property, or both to an eligible entity to carry out an approved project or activity. A grant is used whenever the NIH IC anticipates no substantial programmatic involvement with the recipient during performance of the financially assisted activities.

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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H

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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.

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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J K

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L

Law

A body of rules of action or conduct prescribed by controlling authority, and having binding legal force.

A government of any county, including all district and precinct offices of a county, municipality, public school district, appraisal district, or any other special-purpose district or authority.

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Matching (Funds)

The amount of institutional funds to be committed to the project as required by the sponsor, and its source. This “commitment” can include personnel salaries, fringe benefits, supplies, and other costs committed to but not paid for by the grant. The UTMB commitment may also include, with sponsor approval, indirect costs that have been waived. It is the Department’s responsibility to maintain and track cost records throughout the term of the grant.

Material Transfer Agreement

A legal document that defines the conditions under which research or other materials can be transferred and used among research laboratories and/or institutions.

Modification

Proposed modification to an existing agreement (i.e. Modification No. 1 of a clinical trial contract, NASA Grant, or subcontract).

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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N

No Cost Extension

An extension of the grant period beyond the original expiration date with no additional costs provided.

Non-Competing Renewal (Continuation)

Progress report for awarded grants, necessary for the release of funds already committed by the sponsor. If NIH, the required form is the 2590.

Notice of Grant Award (NOGA)

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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P

Principal Investigator (PI)

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.

Private For-Profit

An organization, institution, corporation, or other legal entity that is organized or operated for the profit or financial benefit of its shareholders or other owners.

Private Non-Profit

An organization in which no part of the income is distributable to members, directors, or officers [TNPCA, article 1396-1.02A(3)]. A nonprofit corporation may be created for any lawful purposes, which purposes must be fully stated in the articles of incorporation.

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 non-competing 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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Q

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R

Regulations

Rules, orders, and the like, issued by various governmental departments to carry out the intent of the law. Regulations are not the work of the legislature and do not have the effect of law in theory. In practice, regulations can have an important effect in determining the outcome of cases involving regulatory activity.

Required statements which must accompany federal contracts and proposals, and which are completed by the Office of Sponsored Research.

Request for an Application (RFA)

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 a Proposal (RFP).

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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S

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.

State Government

The government of any State of the U. S., the District of Columbia, Puerto Rico, any U.S. territory or possession, or any agency/instrumentality of a State exclusive of local governments. For purposes of NIH grants, federally recognized Indian tribal governments generally are considered State governments. State institutions of higher education and State hospitals are not considered State governments for HHS’s general administrative requirements for grants and the NIHGPS.

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/Subrecipient

Subcontract (payment for goods and services)

A subcontract is issued to a vendor is a dealer, distributor, merchant or other seller providing goods or services that are necessary for conducting a federal program. These goods or services may be for an organization’s own use or for the use of beneficiaries of the federal program “ Techniques for Monitoring Federal Subawards,” page, 6. UTMB applies full F&A to the entire amount of the subcontract. A vendor provides the following:

• Goods and services within normal business operations;
• Similar goods or services to many different purchasers;
• Operates in a competitive environment;
• Provides goods or services that are ancillary to the operation of the Federal program; and
• Is not subject to compliance requirements of the Federal program. OMB Circular A-133, Subpart B, Section .210

Subrecipient

• A formalized agreement or secondary contract in which a third party (subcontractor) 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 primary grantee. Under the agreement, the grantee must perform a substantive role in the conduct of the planned research and not merely serve as a conduit of funds to another party or parties. UTMB applies F&A to first $25,000 of the subaward. Characteristics of a subrecipient are:Has its performance measured against whether the objectives of the program are met
• Has responsibility for programmatic decision-making
• Has responsibility for adherence to applicable Federal program compliance requirements
• Uses Federal funds to carry out a program of the organization as compared to providing goods or services for a program of the pass-through entity

Supplement

A request for additional funds either for the current operating year or for any future year recommended previously. Also known as a Type 3 application or award, a supplement can be either non-competing or competing.

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T

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.

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U

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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V W X Y Z
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