12. Glossary of Research Terms
The following definitions are general in nature and by no means a conclusive list.
When dealing with a specific sponsor, we recommend perusing their glossary of terms as it may contain additional beneficial information. For your benefit, we have included links to some Agency sites. The definitions on the following pages were current at the time of printing (2005).
- Federal Acquisition Institute Glossary of Acquisition Terms (DOD Awards) (PDF)
- FAR Definition of Words and Terms
- National Institutes of Health
- National Science Foundation
- Department of Education
- USF-Specific Terminology
8(a) Contractors - Those companies which meet the criteria for Small Disadvantaged Businesses and are certified by the Small Business Administration under Section 8(a) of the Small Business Act as eligible for awards as subcontractors to contracts awarded if the total of the contract is less than $3 million for services and less than $5 million for products. Any contract over these thresholds must be competitively awarded; the competition is limited to 8(a) certified contractors.
Obtaining supplies or services by contract or purchase order with appropriated or non-appropriated funds, by and for the use of Federal agencies through purchase or lease, whether the supplies or services are already in existence or must be created, developed, demonstrated, and evaluated. An acquisition begins at the point when program personnel identify and establish needs and ends with the close out of the contract file.
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 with educational institutions (also known as Sponsored Projects).
A-110 - "Uniform Administrative Requirements for Grants and 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 sets forth standards for obtaining consistency and uniformity among Federal agencies in the administration of grants to and agreements with institutions of higher education, hospitals, and other non-profit organizations.
A-133 - "Audits of States, Local Governments, and Non-Profit Organizations " March 2007 Compliance Supplement, March 2006 Compliance Supplement, Appendix A: Data Collection Form (Form SF-SAC) and March 2005 Compliance Supplement Update, published by the Office of Management and Budget (OMB) sets forth standards for obtaining consistency and uniformity among Federal agencies for the audit of non-Federal entities expending Federal awards.
AAALAC - American Association for the Accreditation of Lab Animal Care is a private, nonprofit organization that promotes the humane treatment of animals in science through voluntary accreditation and assessment programs. AAALAC stands for the "Association for Assessment and Accreditation of Laboratory Animal Care."
Account - The term "account," as used by the NIH eRA Commons, is a personal account that an individual would use to log into the NIH eRA Commons. An account is identified by a unique combination of user name and password.
Account Administrator (AA) - An Account Administrator (AA) is designated by an SO at a grantee organization to facilitate the administration of NIH eRA Commons accounts. The AA can create, modify and/or remove the necessary accounts for these types: AO, AA, FSR, PI or ASST. Although the AA can create additional accounts, the AA cannot modify institutional profile (IPF) information. The AA typically will be in the central research administration office.
Accrued Expenditures - The charges incurred by the grantee during a given period requiring the provision of funds for goods and other tangible property received; services performed by employees, contractors, sub-grantees, subcontractors, and other payees; and other amounts becoming owed under programs for which no current services or performance is required, such as annuities, insurance claims, and other benefit payments (34 CFR, Part 80.3).
Accrued Income - The sum of earnings during a given period from services performed by the grantee and goods and other tangible property delivered to purchasers and amounts becoming owed to the grantee for which no current service or performance is required by the grantee (34 CFR, Part 80.3).
Acquisition - Taking ownership of property, receiving the property as a gift, entering into a lease-purchase arrangement, or leasing the property. The term includes processing, delivery, and installation of property (34 CFR, Part 77.1).
Acquisition Cost - The net invoice unit price of the property including the cost of modifications, attachments, accessories, or auxiliary apparatus necessary to make the property usable for the purpose for which it was acquired. Other charges such as the cost of installation, transportation, taxes, duty, or protective in-transit insurance shall be included (34 CFR, Part 80.3).
Acquisition Plan (AP) - The acquisition plan is an administrative tool in which agency program offices report their upcoming formal contract actions. It is designed to assist the program and procurement offices in planning effective and efficient accomplishments of an assigned procurement.
Acquisition Planning - The process by which the efforts of all personnel responsible for a procurement are coordinated and integrated through a comprehensive plan for fulfilling an agency's needs in a timely manner and at a reasonable cost. It includes developing an overall acquisition strategy for managing the acquisition plan.
Activity Code - A code assigned by the National Institutes of Health (NIH) to identify support mechanisms. General categories include research grants, contracts, training, and fellowships. Research grants can be subdivided into research projects, research centers, and other research grants. For specific activity code assignments and definitions, see the Web based "IMPAC Activity Codes, Organization Codes, and Definitions Used in Extramural Programs".
ADAMHA - see Alcohol, Drug Abuse, and Mental Health Administration.
Administrative Change - A unilateral contract change, in writing, that does not affect the significant rights of-the parties (e.g., a change in the paying office or the appropriate data).
Administrative Official (AO) - In the NIH Commons, an Administrative Official (AO) reviews the grant application for accuracy before the signing official submits the final application to the NIH. Depending on the institution workflow process, it is possible for the signing official and AO to be the same person. AOs can reside in either the central research administration office or academic departments. They can create additional AO and PI accounts; however, AOs are not authorized to transmit applications to the NIH.
Administrative Requirements - Those matters common to grants in general, such as financial management, kinds and frequency of reports, and retention of records. These are distinguished from "programmatic" requirements, which concern matters that can be treated only on a program-by-program or grant-by-grant basis, such as kinds of activities that can be supported by grants under a particular program (34 CFR, Part 80.3).
Affiliates - Business firms, organizations, or individuals are affiliates of each other if: (a) one controls or has the power to control the other, or (b) a third party controls or has the power to control both.
AID (USAID) - Agency for International Development
AFOSR - Air Force Office of Scientific Research (DOD)
Agency - Any executive department, Government corporation, Government controlled corporation, or other establishment in the executive branch of the government; an organized entity of the state or local government that provides services to the public. These agencies provide the public funds that support sponsored research.
ALERT System - A DHHS system for disseminating information to appropriate PHS officials to facilitate informed decisions on the award of federal monies to organizations or persons charged with or found to have engaged in misconduct. Go to the PHS administrative actions listing.
Allocable Costs - Those allowable costs that actually benefit the grant or contract to which they are being charged. The costs can be identified specifically with a single project (i.e. laboratory animals) and that are not general costs to the entire institution (building maintenance).
Allowable Costs - Costs to support research that are reasonable, allocable to a specific project, given consistent treatment under Generally Accepted Accounting Principles, and not subject to limitations or exclusions under OMB Circular A-21.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 (amended or revised applications) - Re-submission of an unfunded application that has been revised in response to a prior review.
Anti-Deficiency Act - Prohibits authorizing or incurring obligations or expenditures in excess of amounts appropriated by the Congress and apportioned by the Office of Management and Budget (OMB).
Appeal - A procedure for contesting the peer review of a grant application. Synonymous with rebuttal.
Applicant - A school district or other agency seeking a project award from the Florida Department of Education.
Application - A request for financial support of a project/activity submitted to NIH on specified forms and in accordance with NIH instructions.
Application Identification Numbers (NIH) -
Application Type Activity Code Admin Org. Serial # Suffix Yr. Amendment Supplement
1 R01 AI 183723 -01 A1 S1
The application number identifies the type of application (new is Type 1), activity code (research project grant - R01), organization to which it is assigned (NIAID - AI), serial number assigned by the Center for Scientific review (CSR), suffix showing the support year for the grant and other information identifying a supplement, amendment, or a fellowship's institutional allowance. For contracts, the suffix is replaced by a modification number.
Application Types (NIH) -
Type l - New
Type 2 - Competing continuation (aka renewal, re-competing application)
Type 3 - Application for additional (supplemental) support
Type 4 - Application for additional support beyond that previously recommended
Type 5 - Noncompeting continuation
Type 7 - Change of grantee institution
Type 9 - Change of NIH awarding institute or division (competing continuation)
Approval or Authorization - Documentation evidencing consent prior to incurring a specific cost (OMB circular A-87).
Authorized Organization Representative (AOR) - An AOR submits a grant on behalf of a company, organization, institution, or government. AORs have the authority to sign grant applications and the required certifications and/or assurances that are necessary to fulfill the requirements of the application process.
ASPR - Armed Services Procurement Regulations
Assignment - See Receipt, Referral, and assignment of applications.
Assistance - The award of money, property, or services to a recipient to accomplish a public purpose as authorized by federal statute. Assistance relationships (e.g., grants) are expressed in less detail than are acquisition relationships (contracts), and responsibilities for ensuring performance rest largely with the recipient or are shared with the government.
A relationship between a Federal agency and contractor/recipient, the principal purpose of which is the transfer of money, property, services, or anything of value to a contractor/recipient in order to accomplish a public purpose of support or stimulation authorized by Federal statute rather than of acquisition by purchase or lease of property or services for the direct benefit or use of the Federal government.
Assistant Role (ASST) - The Assistant (ASST) role in the NIH Commons has been designed to allow PIs to delegate certain responsibilities for data entry of grant information and upkeep of their personal profiles. The ASST does not have any other functions in the system.
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.
An independent financial and/or performance review of any public or private person or organization that is entrusted with public resources. The review is to attest that the recipient was responsible in applying those resources efficiently, economically, and effectively to achieve the purpose for which the resources were furnished.
AUTM - Association of University Technology Managers AUTM is a nonprofit association of technology managers and business executives who manage intellectual property. AUTM's global network of members represent more than 350 universities, research institutions, teaching hospitals and government agencies as well as hundreds of companies involved with managing and licensing innovations derived from academic and nonprofit research.
Authorized Institutional Representative - An official who is empowered by the President to commit the University to the conduct of sponsored research and who, thereafter, is to represent the University in dealing with the supporting agency on all administrative matters, At USF, that individual is the Associate Vice President of Sponsored Research or his/her designee, the Director of Sponsored Research.
Average Programmatic Reduction - The dollar amount a grant award is reduced from the amount recommended by the study section (scientific review group). This is done so institutes can maintain a sufficient number of grants in their portfolio and to combat inflation of grant costs.
Award - Funds that have been obligated by a funding agency for a particular project
Any instrument, signed by a contracting officer, providing government funds or other resources to an offeror that permits expenditure of such government funds or use of such government resources.
The provision of funds by NIH, based on an approved application and budget, to an organizational entity or an individual to carry out an activity or project. This includes both direct and indirect costs (F & A) unless otherwise indicated.
Awarding Agency -
With respect to a grant, the sponsor
With respect to a sub-grant, the party that awarded the sub-grant (34 CFR, Part 80.3)
BAFO (Best and Final Offer) - see Final Proposal Revision.
Bayh-Dole Act - A law that encourages universities and researchers to develop their inventions into marketable products.
Best and Final Offer (BAFO) - Upon completion of discussions during a negotiated procurement, contractors within the competitive range may submit a revised proposal to the contracting officer addressing issues raised during negotiations. This proposal is considered the best and final offer (BAFO).
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 which makes gifts attractive sources of support.
Bilateral Agreement - A general science agreement between the U.S. and a foreign country. Grant applications from institutions in these countries that have been recommended for approval by the scientific review group are given special funding consideration by Council.
Biomedical Research and Development Price Index (BRDPI) - The BRDPI was developed for the NIH to measure real annual changes in the prices of items and services required for research and development (R&D) activities.
Brand Name Description - A purchase description that identifies a product by its brand name and model or part number, or other appropriate terminology by which the product is offered for sale.
BRDPI - See Biomedical Research and Development Price Index.
Bridge Awards - Provide one year of funding so investigators can continue research while reapplying for an R01 grant, or enable new investigators to gather preliminary data to improve their applications. Investigators do not apply for bridge awards but are selected from R01 grants at the pay-line margin. A bridge award is made as an R21 with one year of funding, which the PI can choose to spend over a two-year period. This enables the PI to submit an amended R01 application for the next receipt date while receiving interim (bridge) funding under the R21 mechanism.
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.
Budget - The detailed statement outlining estimated project costs to support work under a grant or contract. The applicant's financial plan, in terms of accounts and amounts showing use of funds for carrying out project objectives, services, or activities as found on the budget narrative form (DOE 101), and on other budget documents required by the Florida Department of Education.
Budget Adjustment - The act of amending the budget by moving funds from one category or line item to another.
Budget Appropriation - The yearly amount given to a government agency by Congress.
Budget Authorization - Legislation authorizing the government to spend money on a program for several years.
Budgeting - The process of translating approved expenditures into funding allocations for a specified period of time.
Budget Justification - Usually submitted with a proposal to ensure that the funding agency understands why an investigator has requested support of the items listed. On a continuing application, a budget justification may be required to explain significant changes in the budget.
Budget Period - The interval of time (usually 12 months) into which the grant project is divided for budgetary and reporting purposes, This period will not always reflect the university's fiscal year.
Capital Equipment - Any equipment with a useful life of more than one year and a cost of more than $1,000. (dollar amount varies by institution and agency). All other equipment is classified as "supplies" for budget purposes.
Carryover - The unspent balance of a project to be continued under the same project award into subsequent budget periods of the next fiscal year. Unobligated funds from a prior year that may be carried forward for use in a current year, if allowed by the sponsor. Some agencies require the grantee to provide an explanation and indicate plans for expenditure of funds if the carryover amount us expected to be greater than 25 percent of the current year's total budget.
CAS - See Cost Accounting Standards
Cash Contributions - The grantee's cash outlay, including the outlay of money contributed to the grantee or sub-grantee by other public agencies and institutions and private organizations and individuals. When authorized by Federal legislation, Federal funds received from other assistance agreements may be considered as grantee or sub-grantee cash contributions (34 CFR, Part 80.3).
Catalog of Federal Domestic Assistance - An online database of all Federal programs available to state and local governments, federally-recognized Indian tribal governments, territories and possessions of the United States, domestic public, quasi-public, and private profit and nonprofit organizations and institutions, specialized groups, and individuals.
Catalog of Federal Domestic Assistance (CFDA) Number - The identifying number that a Federal program is assigned in the Catalog of Federal Domestic Assistance (CFDA).
CBO - Community based organization, a private nonprofit organization that is representative of a community or significant segments of a community and that provides education, vocational education or rehabilitation, job training, or internship services and programs and includes neighborhood groups and organizations, community action agencies, community development corporations, union-related organizations, employers-related organizations, tribal governments, and organizations serving Native Alaskans and Indians.
Center for Scientific Review (CSR) - The NIH component responsible for the receipt and referral of applications to the PHS, as well as the initial review for scientific merit of most applications submitted to the NIH.
Centers - Center grants are awarded to institutions on behalf of program directors and groups of collaborating investigators. They provide support for long-term, multi-disciplinary programs of research and development.
Central Contractor Registration (CCR) - The Central Contractor Registration (CCR) is the primary vendor database for the U.S. Federal Government. CCR validates applicant information and electronically shares the secure and encrypted data with the Federal agencies' finance offices to facilitate paperless payments through Electronic Funds Transfer (EFT). The CCR stores your organizational information, allowing Grants.gov to verify your identity and to pre-fill organizational information on your grant applications.
Certified Public Accountants - Those individuals or firms licensed by the state and meeting the qualification standards included in "Generally Accepted Government Auditing Standards" (GAGAS) for performing independent audits.
CFDA - See Catalog of Federal Domestic Assistance
CFR - See Code of Federal Regulations
Change Order - A written order signed by the contracting officer, directing the contractor to make changes that the changes clause of the contract authorizes the contracting officer to order without the consent of the contractor.
Chartered advisory committee - Any committee formed for advisory purposes composed not wholly of federal officials. Under the Federal Advisory Committee Act, standing committees must be chartered, i.e., approved by their parent agency in collaboration with the Government Services Agency to ensure a properly balanced representation (geographical, women, minorities) and that other legal requirements are met.
Close Out - (closeout, close-out) The act of completing all internal procedures and sponsor requirements to terminate or complete a research project. Institute staff must assure that necessary scientific, administrative, and financial reports have been received, implemented and documented in compliance with federal records management policy. This includes the Final Financial Status Report (FSR), Final Invention Report, and Final Progress Report.
Code of Federal Regulations (CFR) - The United States Code of Federal Regulations is the codification of the general and permanent rules and regulations published in the Federal Register by the executive departments and agencies of the Federal Government.
Cognizant Agency - The Federal agency responsible for reviewing, negotiating, and approving cost allocation plans or indirect cost proposals developed under OMB circular A-87 on behalf of all Federal agencies.
COGR - (Council on Governmental Relations) The Council on Governmental Relations is an association of research universities. COGR is involved in the development of all major financial and administrative aspects of federally-funded research.
COGR's primary function is to provide advice and information to its membership and to make certain that federal agencies understand academic operations and the impact of proposed regulations on colleges and universities. COGR helps to develop policies and practices that fairly reflect the mutual interests and separate obligations of federal agencies and universities in research and graduate education.
COLA - Cost of Living Allowance granted to employees based in a foreign city, to offset higher costs of living.
Commerce Business Daily (CBD) - A Department of Commerce publication used by Federal agencies to publish a summary or synopsis of their upcoming procurements to notify interested businesses.
Commerce Control List (CCL) - A list of items under the export control jurisdiction of the Bureau of Industry and Security, U.S. Department of Commerce. The CCL is found in Supplement 1 to part 774 of the EAR.
Commerce Control List (CCL) Category - The CCL is divided into ten categories: (0) Nuclear Materials, Facilities and Equipment, and Miscellaneous; (1) Materials, Chemicals, "Microorganisms," and Toxins; (2) Materials Processing; (3) Electronics Design, Development and Production; (4) Computers; (5) Telecommunications; (6) Sensors; (7) Navigation and Avionics; (8) Marine; (9) Propulsion Systems, Space Vehicles, and Related Equipment.
Commerce Control List (CCL) Group - The CCL is divided into ten categories. Each category is subdivided into five groups, designated by the letters A through E: (A) Equipment, assemblies, and components; (B) Test, inspection and production equipment; (C) Materials; (D) Software; and (E) Technology.
Commercial Market Representation - A Small Business Administration representative who reviews and rates the small business, small disadvantaged business and women-owned business subcontracting programs of major prime contractors and makes recommendations for improvement.
Commingling - To deposit or record funds in a general account without the ability to identify each specific source of funds for any expenditure (34 CFR, 303.123).
Commitment - The reserving of funds for obligation at the time the contract is signed by an agency's warranted Contracting Officer.
Commitment Base - Funds used for noncompeting (type 5 or ongoing awards), typically 70-80 percent of the dollars spent for research project grants.
Community of Science - A web-based database collection containing information about scientific expertise, funded scientific research, and funding opportunities for research. (NOTE: COS Pivot has replaced the COS Funding Opportunities database. COS Pivot combines the original features with a database of millions of researcher expertise profiles.)
Competing Applications - Applications that are either new or re-competing that must undergo initial peer review.
Competing Continuation - An application that requires competitive peer review and institute/center action to continue beyond the current competitive segment. Also known as a Renewal or Type 2.
Competing Renewal - An application requesting renewal of additional funds beyond the previously recommend project period and competing for available funds.
Competing Research Project Grant (RPG) - An application for a Research Project Grant that requires competitive peer review. Also, number of obligations which serves as an input for determining success rates.
Competition - A procurement strategy where more than one contractor that is capable of performing the contract is solicited to submit an offer for supplies and services. The successful offeror is selected on the basis of criteria established by the agency's contracting office and the program offices for which the work is to be performed.
Competition Advocate - Senior official appointed to promote full and open competition in the acquisition of supplies and services by the agency.
Competitive Range - A contracting term denoting a group of proposals considered to be acceptable by the initial peer review group and that are potential candidates for an award.
Computer Retrieval of Information on Scientific Projects (CRISP) - A searchable biomedical database of federally-supported proposed research conducted at universities, hospitals, and other research institutions.
Concept - The earliest, planning stage of an initiative [request for applications (RFA), request for proposals (RFP), or program announcement (PA)]. Concepts are brought before the advisory Council for concept clearance. Not all concepts cleared by Council are published as initiatives depending on the availability of funds.
Conflict of Interest - Regulations to assure that government employees, scientific review group members, Council members, or others having the ability to influence funding decisions have no personal interest in the outcome.
Consortium Agreement - A collaborative arrangement in support of a research project in which some portion of the programmatic activity is carried out through a formalized agreement between the grantee and one or more other organizations that are separate legal entities administratively independent of the grantee.
Consortium Grant Agreement - A grant made to one institution in support of a project in which the program is carried out though a cooperative arrangement between or among the grantee institution and one or more participating institutions. The cooperative agreement is subject to approval by the sponsor and should be negotiated prior to submitting the proposal.
Constant Dollars - Dollar amounts adjusted for inflation, based on buying power in a selected base year. The BRDPI is used to determine constant dollars from current dollars.
Consultant - An individual who provides advice and professional services to a project. While a consultant is almost always employed outside the university there may be rare cases where the consultant may be a university employee.
Consumer Price Index (CPI) - Measurement of changes in prices of a broad range of consumer items.
Continuation Project (Non-Competing Continuation) - A proposal that seeks to activate the next year's funding on a multi-year award. Applicable to grants and cooperative agreements only. At the end of the initial budget period, progress on the project is assessed. If satisfactory, an 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 beyond the initial project approval.
Contract - A mechanism for procurement of a product or service with specific obligations for both sponsor and recipient. Typically, a research topic and the methods for conducting the research are specified in detail by the sponsor, although some sponsors award contracts in response to unsolicited proposals.
A mutually binding legal relationship obligating the contractor to furnish the supplies or services, and an agency to pay for them. It includes all types of commitments that obligate agencies to an expenditure of funds that, except as otherwise authorized, are in writing. In addition to bilateral instruments, contracts include (but are not limited to) awards and notices of awards; job orders or task letters issued under basic ordering agreements; letter contracts; orders, such as purchase orders, under which the contract becomes effective by written acceptance or performance; and bilateral contract modifications. Contracts do not include grants and cooperative agreements covered by 31 U.S.C. 6301.
Contract (R&D) - An award instrument establishing a binding legal procurement relationship between NIH and a recipient obligating the latter to furnish a product or service defined in detail by NIH and binding the Institute to pay for it.
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.)
Contract Action - An action resulting in a contract, a modification to a contract, or a delivery order placed against an indefinite delivery-indefinite quantity (IDIQ) contract.
Contract Administration - All the activities associated with the oversight of the contractor's performance of a contract from awards to closeout.
Contract Award - Occurs when the contracting officer has signed and distributed the contract to, or notified the contractor.
Contract Quality Requirements - The technical requirements in the contract relating to the quality of the supply or service, and those contract clauses prescribing inspection, and other quality controls that are binding to the contractor, to assure that the supply or service conforms to the contractual requirements.
Contract Requirements - In addition to specified performance requirements, contract requirements include those defined in the statement of work; specifications, standards and related documents; management systems; and contract terms and conditions.
Contract Transaction Types (NIH) -
Type 1 - New contract
Type 2 - Renewal
Type 3 - Modification
Type 4 - Letter contract
Type 5 - Continuation of an incrementally (typically, in one-year increments) funded contract
Type 6 - Task orders and subsequent modifications relating to existing ordering agreements
Type 7 - Exercise of option
Contract under a grant - A written agreement between a grantee and a third party to acquire routine goods and services.
Contracting - Involves purchasing, renting, leasing, or otherwise obtaining supplies or services from non-Federal sources. Contracting includes a description of the supplies and services required, solicitation and selection of sources, preparation and award of contracts, and all phases of contract administration. It does not include making grants or cooperative agreements.
Contracting Office - The office authorized by an agency's Senior Procurement Executive that awards or executes a contract for supplies or services.
Contracting Officer - A person with delegated written authority, by-an agency's Senior Procurement Executive or designee, to enter into, administer, and/or terminate contracts and assistance agreements and make related determinations and findings.
Government employee authorized to execute contractual agreements on behalf of the government.
Contracting Officer's Representative (COR) or Contracting Officer's Technical Representative (C0TR) - Individuals identified by program offices who are designated and authorized by the contracting officer to perform contract administration functions on his/her behalf. COR/COTR functions are limited to those specifically designated in writing by the contracting officer.
Contractor - An individual or organization that conducts significant portions of the work described in the research plan. Contractors are required to submit a detailed budget (including their approved F&A rates) to be incorporated into the main budget for the grant.
Controlled Country - A list of countries, designated by EAR, as controlled for national security purposes found in Country Group D:1, including: Albania, Armenia, Azerbaijan, Belarus, Bulgaria, Cambodia, the People's Republic of China, Estonia, Georgia, Kazakhstan, Kyrgyzstan, Laos, Latvia, Lithuania, Moldova, Mongolia, Romania, Tajikistan, Turkmenistan, Ukraine, Uzbekistan, and Vietnam. Cuba and North Korea are controlled countries, but they are listed in Country Group E:2(unilateral embargoes) rather than Country Group D:1.
Cooperative Agreement - An assistance instrument used when substantial involvement is anticipated between the Federal government and the State or local government or other recipient during performance of the contemplated activity.
Cooperative Research and Development Agreement (CRADA) - Any agreement between one or more NIH laboratories and one or more non-federal parties under which the PHS, through its laboratories, provides personnel, services, facilities, equipment, or other resources with or without reimbursement (but not funds to non-federal parties) and the non-federal parties provide funds, personnel, services, facilities, equipment, or other resources toward the conduct of specified research or development efforts which are consistent with the missions of the laboratory.
COS - See Community of Science
Cost - An amount as determined on a cash, accrual, or other basis acceptable to the Federal awarding or cognizant agency (OMB Circular A-87).
Cost or Pricing Data - Factual and verifiable data that includes: (a) direct costs; (b) indirect costs; (c) profit or fee; (d) vendor quotations; (e) information on changes in production methods and in production or purchasing volume; and (f) information on management decisions that could have a significant bearing on costs.
Cost Accounting Standards (CAS) - Federally mandated accounting standards intended to ensure uniformity in budgeting and spending funds.
Cost Analyses - The review and evaluation of the separate cost elements and proposed profit of a contractor's cost or pricing data. Cost analysis always includes price analysis.
Cost-Reimbursement Type Contract/Grant - Contracts/grants based on payment of allowable, reasonable and allocable costs incurred in the contract/grant performance to the extent prescribed in the contract/grant. Payment is usually made once the agency is invoiced.
Cost-Share - Direct costs for a grant that are not paid by the sponsoring agency. To be eligible for cost sharing, the costs must be directly allocable to the grant, allowable under the guidelines of the funding agency, and incurred during the performance of the grant and tied to the performance. A general term that can describe virtually any type of arrangement in which more than one party supports research, equipment acquisition, demonstration projects, programs, institutions. Example: A university receives a grant for a project estimated to have a total cost of $100,000. The sponsor agrees to pay 75% ($75,000) and the university agrees to pay 25% ($25,000). The $25,000 is the cost-sharing component.
Cost Sharing or Matching - The value of the third party, in-kind contributions and the portion of the costs of a federally assisted project or program not borne by the Federal Government (34 CFR, Part 80.3).
Cost-Type Contract - A contract or subcontract under a grant in which a contractor or subcontractor is paid on the basis of the costs it incurs, with or without a fee (34 CFR, Part 80.3).
Count - Unless noted, the total number of grants shown, excluding administrative supplements.
Council/Board, Advisory - National Advisory Council or Board, mandated by statute, that provides the second level of review for grant applications for each institute/center that awards grants. The Councils/Boards are comprised of both scientific and lay representatives. Council/Board recommendations are based on scientific merit (as judged by the initial review groups) and the relevance of the proposed study to an institute's programs and priorities. With some exceptions, grants cannot be awarded without recommendations for approval by a Council/Board.
CPI - see Consumer Price Index.
CRADA or CRDA - Cooperative Research and Development Agreement
Cradle-To-Grave - The total concept of a procurement from inception through development, procurement, performance, and final disposition.
CRISP - See Computer Retrieval of Information on Scientific Projects.
CSR - See Center for Scientific Review. (National Institutes of Health)
Current Dollars - Actual dollars awarded, without adjustment for inflation.
Current Year - The fiscal year in progress. Also called execution year.
DAR - Defense Acquisition Regulations
DARPA - Defense Advanced Research Projects Agency (DOD)
Date of Completion - The date on which all work under an award is completed or the date on the award document, or any supplement or amendment thereto, on which awarding agency sponsorship ends.
DEA - Extramural Activities
Debarment - An action taken by a debarring official to exclude a person from participating in covered transactions. A person so excluded is "debarred" (34 CFR, Part 85.105).
Deemed Export - An export of technology or source code (except encryption source code) is "deemed" to take place when it is released to a foreign national within the United States. This release of technology can be oral through conversation or training, or visual by reading training specifications, plans or blueprints. Refer to: §734.2(b)(2)(ii) of the Export Administration Regulations (EAR).
Defective Pricing - Inaccurate cost/pricing data, to include delivery orders placed against Federal Supply Schedules (FSS), certified by a contractor to be accurate, current, and complete.
Defense Acquisition Regulation System (DARS) - The source regulations for research projects sponsored by the Department of Defense.
Deficit - Expenditures exceed funds available.
Defense Article - (ITAR 120.6) means any item designated in the USML. Examples include specified chemical agents, cameras designated for military purposes, specified lasers, and GPS equipment. It also means any technical data recorded or stored in any physical form, models, mock-ups, or other items that reveal technical data directly relating to the particular item or “defense article” listed in the USML.
Defense Service - (ITAR 120. 9) means the furnishing of assistance (including training) anywhere (inside the United States or abroad) to foreign nationals in connection with the design, development, engineering, manufacture, production, assembly, testing, repair, maintenance, modification, operation, demilitarization, destruction, processing, or use of defense articles, and the furnishing of any controlled “technical data” to foreign nationals anywhere.
Deferred - Refers to the delay in the review of an application by a scientific review group, usually to the next review cycle, due to insufficient information.
Deliverable - A report or product that must be delivered to the government by the contractor to satisfy contractual requirements.
Denied Persons List - A list, referenced in the U.S. Department of Commerce, Bureau of Industry and Security's Denied Persons List, of specific persons that have been denied export privileges, in whole or in part. The full text of each order denying export privileges is published in the Federal Register.
Dependability - A measure of the degree to which an item is operable and capable of performing its required function at any time during the life of the contract.
DHHS - U.S. Department of Health and Human Services - Federal executive department of which the U.S. Public Health Service (PHS) is a component and the NIH is an agency of the PHS.
DIR - Intramural Research
Direct Costs - Costs that can be specifically identified with a particular project(s) or activity. General categories of direct costs include but are not limited to salaries and wages, fringe benefits, consultants, communication, equipment, supplies, patient care, travel, tuition, miscellaneous costs and subcontract costs.
Direct Labor - Labor required to complete a product or service. Includes fabrication, assembly, inspection and test for constructing an end product. Also, labor expended by contractor personnel in performing contractual requirements.
Direct Materials - Includes raw materials, purchased parts and subcontracted items required to manufacture and assemble completed products. A direct material cost is the cost of material used in making a product.
Direct Operations - Funds for salary and other administrative costs.
Disallowed Costs - Charges to an award that the awarding agency determines to be unallowable, in accordance with the applicable Federal cost principles or other terms and conditions contained in the award.
Discretionary Grant - A grant (or cooperative agreement) for which the Federal awarding agency generally may select the recipient from among all eligible recipients, may decide to make or not make an award based on the programmatic, technical, or scientific content of an application, and can decide the amount of funding to be awarded.
Disbursement - Payment made in cash or by check. In budgetary usage, gross disbursements represent the amount of checks, cash, or other payments issued, less refunds received.
Disbursement Report - State and federal project recipients are required to submit the applicable "Disbursement Report" form (DOE 499 for Adult Education Programs, DOE 599 for Adult and Youth Migrant Programs or DOE 399 for all other programs) at the completion of each active project period. These reports are to be received in the DOE Comptroller's Office by the 20th of the month succeeding the close of the project period.
DOD - Department of Defense (includes Air Force, Army, ARPA, and Navy)
DOE - Department of Energy
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)
Dual Assignments - Applications simultaneously assigned to two institutes, centers, or divisions. The primary institute has complete responsibility for administering and funding the application; the secondary assumes this responsibility only if the primary is unable or unwilling to support it.
Dual Review System - Peer review process used by NIH. The first level of review provides a judgment of scientific merit. The second level of review, usually conducted by an ICD's advisory Council, assesses the quality of the first review, sets program priorities, and makes funding recommendations.
Dual-use - Items that have both commercial and military or proliferation applications. While this term is used informally to describe items that are subject to the EAR, purely commercial items are also subject to the EAR (see §734.2(a) of the EAR).
E-Business Point of Contact - An EBiz POC is responsible for the administration and management of grant activities in his/her organization. EBiz POCS grant representatives of their organization the privilege to submit grant applications through Grants.gov.
ED - Department of Education, U.S.
EDGAR - Education Department General Administrative Regulations (34 CFR Parts 74, 75, 76, 77, 79, 80, 81, 82, 84, 85, 86, 97, & 99)
EDISON - see iEdison
Effective Competition - A market condition which exists when two or more contractors, acting independently, actively compete for an agency's business in a manner which ensures that the agency will be offered the lowest price or best technical design to meet its minimum needs.
Effort - It is the amount of time, expressed as a percentage, that any particular employee will spend working on the grant. An Effort of 10% will result in 10% of the individual's Institutional Base Salary being entered in the "Requested Salary" field.
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. (For more information, link to NCURA.)
Elementary School - A day or residential school that provides elementary education, as determined under state law (34 CFR, Part 77.1).
Empowered Official - A U.S. person who:
- Is directly employed by the applicant or a subsidiary in a position having authority for policy or management within the applicant organization; and
- Is legally empowered in writing by the applicant to sign license applications or other requests for approval on behalf of the applicant; and
- Understands the provisions and requirements of the various export control statutes and regulations, and the criminal liability, civil liability and administrative penalties for violating the Arms Export Control Act and the International Traffic in Arms Regulations; and
- Has the independent authority to
- Enquire into any aspect of a proposed export or temporary import by the applicant, and
- Verify the legality of the transaction and the accuracy of the information to be submitted; and
- Refuse to sign any license application or other request for approval without prejudice or other adverse recourse. (22 C.F.R.§ 120.25)
Encumbrance - Funds that have been set aside or "claimed" for projected expenses pending actual expenditure of the funds.
Encumbrances - A commitment to restrict available funds within a governmental agency, accomplished through internal processes or procedures.
Endowment - A fund usually in the form of an income-generating investment, established to provide long-term support for faculty/research positions (e.g., endowed chair).
End-use - A detailed description of how the ultimate consignee intends to use the commodities being exported.
End-user - The person abroad who receives and ultimately uses the exported or re-exported items. The end-user is not a forwarding agent or intermediary, but may be the purchaser or ultimate consignee.
Equipment - For the purposes of budgeting, equipment means any piece of capital equipment with a useful life of more than one year and a cost of more than $5,000. All other equipment is classified as supplies for budget purposes.
A material item of a non-expendable nature, such as a built-in facility, a movable or fixed unit of furniture or furnishings, an instrument or apparatus, a machine (including attachments), instructional skill-training device, or a set of small articles whose parts are replaceable or repairable, the whole retaining its identity and utility over a period of time which is characteristic for items of its class (Chapter Seven, Section V of Financial and Program Cost Accounting and Reporting for Florida Schools).
eRA - see Electronic Research Administration.
Escalation - Determination of price adjustments based on increases or decreases to indexes specifically identified in the contract.
eSNAP - Allows an institution to review non-competing grant data and submit a progress report online.
Evaluation Criteria - Standards which are used to evaluate an offeror's technical and operational effectiveness.
Excess Property - Property under the control of an awarding agency that, as determined by the head of the awarding agency or his/her delegate, is no longer required for the agency's needs or the discharge of its responsibilities.
Exempt Property - Tangible personal property acquired in whole or in part with Federal funds, where the awarding agency has statutory authority to vest title in the recipient without further obligation to the Federal Government. An example of exempt property authority is contained in the Federal Grant and Cooperative Agreement Act, 31 U.S.C. 6306, for property acquired under an award to conduct basic or applied research by a nonprofit institution of higher education or nonprofit organization whose principal purpose is conducting scientific research.
Exempt Review - Review of research determined to be exempt under DHHS regulations, Subpart A, C and D, FDA regulations, DHHS Guidance, and Florida Statutes which do not require review and approval by the convened IRB.
Expanded Authorities - The operating authorities provided to grantees under certain research grant mechanisms that waive the requirement for NIH prior approval for specified actions.
Expanded Authority - When a federal agency authorizes the grantee flexibility to approve some issues without obtaining prior approval from the agency (e.g. Pre-award costs, no cost extension, carryover of funds)
Expedited Review - Review of human subjects research by the IRB Chairperson or designee that involves no more than minimal risk and meets one or more of the categories authorized by 45 CFR 46.110.
Expenditure - A charge against available funds, evidenced by a voucher or a claim. Expenditure represents the actual payment of funds.
Expenditure (Outlays) - Charges made to the project or program that may be reported on a cash or accrual basis. For reports prepared on a cash basis, outlays are the sum of actual cash disbursement for direct charges for goods and services, the amount of indirect expense incurred, the value of in-kind contributions applied, and the amount of cash advances and payments made to contractors and sub-grantees. For reports prepared on an accrued expenditure basis, outlays are the sum of actual cash disbursements; the amount of indirect expenses incurred; the value of in-kind contributions applied; and the new increase or decrease in the amounts owed by the grantee for goods and other property received, for services performed by employees, contractors, sub-grantees, subcontractors, and other payees; and other amounts becoming owed under programs for which no current services or performance are required, such as annuities, insurance claims, and other benefit payments (34 CFR, Part 80.3).
Expiration Date - The date signifying the end of the performance period, as indicated on the Notice of Grant Award.
Expiration Date - The date signifying the end of the performance period, as indicated on the Notice of Grant Award.
Export - In export control regulations, there are several meanings which include any of the following: 1) actual shipment of any covered goods or items; 2) the electronic or digital transmission of any covered goods, items or related goods or items; 3) any release or disclosure, including verbal disclosures or visual inspections, of any technology, software or technical data to any foreign national; or 4) actual use or application of covered technology on behalf of or for the benefit of any foreign entity or person anywhere.
Export Administration Regulations (EAR) - The Export Administration Regulations (EAR), Title 15, sections 730-774 of the Code of Federal Regulations (CFR), means the regulations promulgated and implemented by the Department of Commerce that regulate the export of goods and related technology identified on the Commerce Control List (CCL), Title 15 CFR 774, Supp. 1. Goods and technology on the CCL are NOTinherently military in nature; they are primarily and inherently commercial or potentially commercial in nature.
Export Controls - The set of laws, policies, and regulations that govern the export of sensitive items for a country or company.
Export Control Classification Number (ECCN) - Identifies items on the Commerce Control List that are subject to the export licensing authority of the Bureau of Industry and Security.
Exporter - The person who has authority of a principal party in interest to determine and control the sending of items out of the country.
Export License - The approval documentation issued by an export agency authorizing the recipient to proceed with the export, re-export, or other regulated activity as specified on the application.
Extension - An additional period of time, normally up to one year, given by the sponsor to an organization for the completion of work on an approved grant or contract, with no additional appropriation of funding from the sponsor. An extension allows previously allocated funds to be spent after the original expiration date. This is common when Investigators experience delays in getting underway and need additional time to complete their work.
Extramural Awards - Funds provided by the NIH to researchers and organizations outside the NIH.
Extramural Research - Research supported by NIH through a grant, contract, or cooperative agreement.
FACA - See Federal Advisory Committee Act.
Facilities and Administrative Costs (F&A) - Costs (also known as Indirect 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 institutional activity. F&A costs are added to Direct Costs on a budget to arrive at the total cost of the project.
FAR - see Federal Acquisition Regulations.
FDP - see Federal Demonstration Partnership
Federal Acquisition Regulations (FAR) - Laws regulating government contracting.
The primary regulation used by all Federal agencies in their acquisition of supplies and services with appropriated funds. It is issued within applicable laws under the joint authorities of the Administrator of General Services, the Secretary of Defense, and the Administrator for the National Aeronautics and Space Administration, under the broad policy guidelines of the Administrator, Office of Federal Procurement Policy, Office of Management and Budget.
Federal Advisory Committee Act (FACA) - A law that regulates federal advisory committees to ensure an appropriate balance of scientists and lay persons and minority, geographical, and racial representation.
Federal Commons - The Federal Commons is an internet grants management portal serving the grantee organization community. This portal, under P.L. 106-107, will become a common face of the government, offering all grantees (state and local governments, universities, small businesses, etc.) full service grants processing across all functions in the grant life cycle. The Federal Commons will provide both public information, such as grant programs and funding opportunities, as well as the secure processing of e-grant transactions.
Federal Demonstration Partnership (FDP) - A cooperative initiative among some Federal agencies, including NIH, select organizations that receive Federal funding for research and certain professional organizations. Its efforts include a variety of demonstration projects intended to simplify and standardize Federal requirements in order to increase research productivity and reduce administrative costs.
Federal Financial Assistance - Assistance that non-Federal entities receive or administer in the form of grants, loans, loan guarantees, property (including donated surplus property), cooperative agreements, interest subsidies, insurance, food commodities, direct appropriations, and other assistance, but does not include amounts received as reimbursement for services rendered to individuals as described in Subpart B-Audits .205(h) and .205(i) (OMB circular A-133).
Federal Financial Assistance Management Improvement Act (FFAMIA)/P.L. 106-107 - 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 (Federal Commons) for electronic processing of all grant programs.
Federal Information Processing (FIP) - A machine or a group of inter-connected machines, consisting of input, storage, computing, control, and output services. These services function by using electronic circuitry in the main computing element to perform logical operations automatically through internally stored or externally controlled programmed instruction.
Federal Register - An official, daily publication that communicates proposed and final regulations and legal notices issued by federal agencies, including announcements of the availability of funds for financial assistance.
Federal Supply Schedule (FSS) Program - A simplified process for procuring commonly used supplies or services by placing delivery orders against Federal Supply Schedule contracts which have been awarded by the General Services Administration (GSA) for use by all agencies.
Federal Technology Transfer Act (FTTA) - Authorizes government agencies to enter into CRADAs with private companies.
Fellowships - A fellowship is an amount paid for the benefit of an individual (usually a graduate student at an educational institution) to aid in the pursuit of study or research. To qualify as a fellowship, the payment must be a relatively disinterested, "no strings attached" educational grant with no requirement on the recipient's part to perform substantial services. A payment will qualify as a fellowship provided the University, as grantor will obtain no benefit, or only incidental benefit, as a result of the fellowship. If the University will receive more than incidental benefit, the payments are compensation for services performed that are subject to federal income tax withholding and also Social Security and Medicare (FICA) tax withholding.
FIC - Fogarty International Center (NIH)
Final Proposal Revision - After completion of negotiations, offerer are asked to submit a final proposal revision which documents all cost and technical agreements reached during negotiations.
Final Report - The final technical or financial report required by the sponsor to complete a research project.
Financial Status Report (FSR) - A financial report due 90 days after the end of each budget period for those awards that are not under SNAP, and at the end of the competitive segment for those awards under SNAP, showing the status of awarded funds for that period. The report is mandatory for continued funding of the grant. The form numbers for FSRs are SR 269 and SF 269A.
Financial Management Plan - A policy to establish consistency in funding, it specifies levels for items such as the pay-line, programmatic reductions, and caps for re-competing grants.
FIP Resources - A comprehensive term referring to all computer related resources including computer hardware, firmware, software, personnel, documentation, supplies, services, and support services.
Firmware - Software that is built into integrated circuits in a permanent or semi-permanent form. Firmware lies midway between hardware and software in terms of performance and flexibility.
FirstGov - See USA.gov
Fiscal Year (FY) - Any twelve-month period for which annual accounts are kept.
USF - July 1st through June 30th
Federal - October 1st through September 30th (34 CFR, Part 77.1)
State - July 1st through June 30th
Fixed Charges - Contributions of the grantee to fringe benefits and similar costs, but only those associated with salaries and wages that are charged as indirect costs, which include (a) retirement, including State, county or local retirement funds, Social Security, and pension payments; (b) unemployment compensation payments; and (c) property, employee, health, and liability insurance (34 CFR, Part 76.566).
Fixed-Price (FP) 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. A type of contract that provides for a firm price or, under appropriate circumstances, for an adjustable price for the supplies or services being procured.
FOIA - See Freedom of Information Act.
Foreign Person - (ITAR; 22 CFR § 120.16) means any person who is not a lawful permanent resident of the United States. It also means any foreign corporation, society or other entity or group that is not incorporated or organized to do business in the U.S., as well as any foreign government.
Foreign National - Any person who is neither a citizen nor a Permanent
Resident Alien of the U.S. Under the EAR, the term applies to persons lawfully admitted for permanent residence in the
United States and does not apply to persons who are protected individuals, i.e., has been admitted as a refugee or
granted asylum. Refer to the Immigration and Naturalization Act (8
U.S.C. 1324b (a) (3)).
"Foreign national" is not an ITAR term per se, but the ITAR does define the term foreign person as any natural person who is not a lawful permanent resident or who is not a protected individual, and may also include any corporation, business association, partnership society, trust or any other entity, organization or group that is incorporated to do business in the United States. This also includes any governmental entity.
Forwarding Agent - This is the person in the country of origin who is authorized by a principle party in interest to perform the services required to facilitate the export of the items from the country of origin. This may include air couriers or carriers. In routed export transactions, the forwarding agent and the exporter may be the same for compliance purposes under the EAR.
Fundamental Research - (EAR and ITAR) means basic or applied research in science and engineering performed or conducted at an accredited institution of higher learning in the United States where the resulting information is ordinarily published and shared broadly in the scientific community. Fundamental research is distinguished from research that results in information that is restricted for proprietary reasons or national security reasons (EAR) or pursuant to specific U.S. government access and dissemination controls (ITAR).
Fundamental Research Exclusions - The EAR provides that university research normally will be
considered as fundamental research unless the university or its researchers accept sponsor restrictions on publication
of scientific and technical information resulting from the project or activity. The EAR specifically permits limited
prepublication reviews by research sponsors to prevent inadvertent divulging of proprietary information provided to the
researcher by the sponsor or to insure that publication will not compromise patent rights of the sponsor. The citation
for the official definition of fundamental research under the EAR is 15 CFR § 734.8.
The ITAR states that university research will not be deemed to qualify as fundamental research if: (1) the university or its researchers accept any restrictions on publication of scientific and technical information resulting from the project or activity; or (2) the research is federally funded and specific access and dissemination controls protecting information resulting from the research have been accepted by the university or the researcher. The ITAR citation is 22 CFR § 120.11(8).
FPR - See Final Proposal Revision.
Fraud - Acts of fraud or corruption or attempts to defraud an agency or to corrupt its agents, acts that constitute a cause for debarment or suspension under FAR 9.4062(a) and 9.407-2(a), and acts that violate the False Claims Act, 31 U.S.C., sections 3729-3731, or the Anti-Kickback Act, 41 U.S.C., sections 51 and 54.
Freedom of Information Act (FOIA) - Requires wider dissemination, on request, of government documents while monitoring proprietary information.
Fringe Benefits - Employee benefits paid by the employer. (e.g., FICA, Worker's Compensation, Withholding Tax, Insurance, etc.) Costs incurred by the University to maintain its employees.
FSR - See Financial status report.
FSR Role - The FSR role in the NIH Commons allows members of your staff to process Financial Status Reports (FSRs) for submission to the NIH electronically. An account with only the FSR role assigned only can perform FSR tasks. An account can include multiple roles, including that of FSR.
FTTA - See Federal Technology Transfer Act.
Full and Open Competition - All responsible sources are permitted to compete.
Full and Open Competition After Exclusion of Sources - All responsible sources which meet certain criteria, such as business size or location in a labor surplus area, are permitted to compete. These competitions are specifically authorized by the Competition in Contracting Act (CICA).
Full Board Review - Review of proposed human subjects research by the fully convened IRB as defined by Department of Health and Human Services (DHHS), Food and Drug Administration (FDA), and Veterans Affairs (VA) regulations which do not meet the federal criteria for expedited or exempt review of human subjects research.
Funding Agency - The federal, state, or local agency that provides funding for sponsored research. Note: private foundations are often colloquially referred to as "funding agencies".
Funding Components, Abbreviated - Components of the NIH that can make extramural awards.
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).
Funding Opportunity Announcement - A publicly available document by which a Federal agency makes known its intentions to award discretionary grants or cooperative agreements, usually as a result of competition for funds. Funding opportunity announcements may be known as program announcements, notices of funding availability, solicitations, or other names depending on the agency and type of program. Funding opportunity announcements can be found at Grants.gov/FIND and on the Internet at the funding agency's or programs website.
Funding Period - The period of time when Federal funding is available for obligation by the recipient
FY – See Fiscal Year.
GAAP (Generally Accepted Accounting Principles) - An institution's requirement for funding by most sponsors.
GAO - see General Accounting Office.
General Accounting Office (GAO) - An oversight organization reporting to Congress. Go to GAO reports.
Generally Accepted Accounting Principles - As specified in generally accepted auditing standards issued by the American Institute of Certified Public Accountants (AICPA) (OMB circular A-133).
GENIUS - Global Expertise Network for Industry, Universities and Scholars
GEPA - The General Education Provisions Act (34 CFR, Part 77.1)
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.)
Government - A state or local government or a federally recognized Indian tribal government (34 CFR, Part 80.3).
Government Printing Office (GPO) - Produces and distributes Federal Government information products.
Government Property - Equipment and facilities furnished by the government to a contractor or recipient, or acquired by a contractor or recipient, at government expense for use during the performance of a contract or assistance agreement.
GPO - See Government Printing Office.
Grant - An assistance instrument used when little Federal Government involvement is anticipated in the performance by the recipient.
An award of financial assistance, including cooperative agreements in the form of money or property in lieu of money by the Federal Government to an eligible grantee. The term does not include technical assistance which provides services instead of money or other assistance in the form of revenue sharing, loans, loan guarantees, interest subsidies, insurance, or direct appropriations. Also, the term does not include assistance such as a fellowship or other lump sum award, which the grantee is not required to account for (34 CFR, Part 80.3).
A 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 Institute or Center anticipates no substantial programmatic involvement with the recipient during performance of the financially assisted activities.
A type of financial assistance awarded to an organization for the conduct of research or other program as specified in an approved proposal. A grant, as opposed to a cooperative agreement, is used whenever the awarding office anticipates no substantial programmatic involvement with the recipient during the performance of the activities.
Grant Appeals - A DHHS policy that provides for an appeal by the grantee institution of post award administrative decisions made by awarding offices. There are two levels of appeal available: an informal NIH procedure and a formal DHHS procedure. The grantee must first exhaust the informal procedures before appealing to the DHHS Appeals Board.
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).
Grant Closeout - A procedure to officially conclude a grant. Institute staff must assure that necessary scientific, administrative, and financial reports have been received, implemented and documented in compliance with federal records management policy. This includes the Final Financial Status Report (FSR), Final Invention Report, and Final Progress Report.
Grant Compliance Review - An evaluation by grants management staff to assess an institution's business and financial management systems to ensure that regulations and policies are being followed.
Grant Re-budgeting - With the advent of modular grants, grantees no longer have to request permission from NIH for re-budgeting (formerly moving money from one budget category to another). For non-modular grants, permission is still needed for some items.
Grantee - The organization or individual awarded a grant or cooperative agreement by NIH that is responsible and accountable for the use of the funds provided and for the performance of the grant-supported project or activities. The grantee is the entire legal entity even if a particular component is designated in the award document. The grantee is legally responsible and accountable to NIH for the performance and financial aspects of the grant-supported project or activity.
Grants.gov - A storefront web portal for use in electronic collection of data (forms and reports) for Federal grant-making agencies.
Grants Management Officer (GMO) - An NIH official responsible for the business management aspects of grants and cooperative agreements, including review, negotiation, award, and administration, and for the interpretation of grants administration policies and provisions. Only GMOs are authorized to obligate NIH to the expenditure of funds and permit changes to approved projects on behalf of NIH. Each NIH Institute and Center that awards grants has one or more GMOs with responsibility for particular programs or awards.
Grants Management Specialist - The Grants Management Specialist is an agent of the GMO and is assigned responsibility for the day-to-day management of a portfolio of grants.
Grants Officer - A contracting officer who contractually obligates the government by awarding grants.
Grant 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. A stipend is not considered compensation for the services expected of an employee.
Stipends are excluded from F&A costs. Payment can be made either through Financial Aid or Accounts payable dependent upon circumstances.
GSA - General Services Administration
High Risk/High Impact (HR/HI) - A category of applications identified by a scientific review group as having a high degree of uncertainty in approach but also a high potential for impact. NIH tracks how many of these applications are identified and funded.
HR/HI - see High Risk/High Impact.
Human Subject - A living individual about whom an investigator (whether professional or student) conducting research obtains data through intervention or interaction with the individual, or identifiable private information. A subject may be either a healthy human or a patient.
Human Subjects Research - Term used to define a research activity or a clinical investigation that involves human subjects, which encompasses the DHHS, VA definitions of “research” and “human subject” and the FDA regulatory definitions of “human subject”, and “clinical investigation” and requires prospective IRB Review and approval.
IACUC - See Institutional Animal Care & Use Committee.
IC - The NIH organizational component responsible for a particular grant program(s) or set of activities.
IDC - See Indirect Costs
IDeA - see Institutional Development Awards
iEdison - Interagency Extramural Invention Information Management System. NIH's electronic invention reporting system.
IFB - Invitation for Bid
IMPAC - See Information for Management, Planning, Analysis, and Coordination This manual contains the code definitions used now and for the past three fiscal years in the IMPAC and CRISP (Computer Retrieval of Information on Scientific Projects) systems to identify various aspects of extramural research activities of the Department of Health and Human Services (DHHS).
Improper Influence - An influence that induces or tends to induce a federal employee to consider awarding a federal contract or purchase on any basis other than its merit.
In-Kind - Contributions or assistance in a form other than money. Equipment, materials, or services of recognized value that are offered in lieu of cash.
In-Kind Contribution - The dedication of part of an existing institutional resource to a specific sponsored project.
In-Kind Contributions - "Third party in-kind contributions" means the value of non-cash contributions provided by non-federal third parties. Third party in-kind contributions may be in the form of real property, equipment, supplies, and other expendable property and the value of goods and services directly benefiting and specifically identifiable to the project or program (34 CFR, Part 74.2).
Incremental Funding - A method of funding contracts that provides specific spending limits below the total estimated costs. These limits may be exceeded only at the contractor's own risk. Each increment is, in essence, a funding action.
Independent Auditor - An auditor who is a certified public accountant or a federal, state or local government audit organization, which meets the general standards specified in Generally Accepted Government Auditing Standards (GAGAS). The term auditor does not include internal auditors of non-profit organizations (OMB circular A-133).
Independent Verifications and Validation Contract (IVV or IV & V) - Contracts through which testing and validation or developed software is accomplished by someone other than the developer.
Indian Tribe - Any Indian tribe, band, nation, or other organized group or community, including any Alaskan Native village or regional or village corporation (as defined in, or established under, the Alaskan Native Claims Settlement Act) that is recognized by the United States as eligible for the special programs and services provided by the United States to Indians because of their status as Indians (OMB Circular A-133).
Indirect Cost Rate - The rate, expressed as a percentage, 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. This rate is applied to the Modified Total Direct Cost (MTDC) for all federally-funded projects. For other projects, the sponsor will either accept the DHHS rate or establish a different rate for the project.
Indirect Costs - Also referred to as "Overhead". 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.)
Information for Management, Planning, Analysis, and Coordination (IMPACII) - IMPACII is a computer database system developed and maintained by the Office of Extramural Research for information concerning PHS extramural programs. (For definitions of each item in IMPAC, see IMPAC Definitions and Specifications, Master File.)
Initial Peer Review Criteria -
Significance - Is the topic important? Will it advance scientific knowledge?
Approach - Are the hypothesis, design, and methods well developed and appropriate? Are potential problems addressed?
Innovation - Does the proposal involve new ideas or methods; does it challenge existing paradigms?
Investigator - Does the investigator and collaborators have the training and experience to do the work?
Environment - Will the scientific environment contribute to success? Is there institutional support for the project? Does the work take advantage of existing opportunities including collaborations?
Initial Review Group (IRG) - See Scientific review group
Initiative - A request for applications (RFA), request for proposals (RFP), or program announcement (PA) stating the Institute's interest in receiving research applications in a given area because of a programmatic need or scientific opportunity. RFAs and RFPs generally have monies set aside to fund the applications responding to them; program announcements generally do not.
Institute/Center (I/C) - Components of the NIH (includes the National Library of Medicine). Institutes/centers can make extramural awards.
Institutional Animal Care & Use Committee (IACUC) - IACUCs are established at institutions in accordance with the PHS Policy on Humane Care and Use of Laboratory Animals, and have broad responsibilities to oversee and evaluate the institutions' animal programs, procedures, and facilities. IACUC review and approval is required for all PHS supported activities involving live vertebrate animals prior to funding.
Institutional Base Salary - The annual compensation paid by an organization for an employee's appointment, whether that individual's time is spent on research, teaching, patient care or other activities. Base salary excludes any income that an individual is permitted to earn outside of duties for the applicant/grantee organization. Base salary may not be increased as a result of replacing organizational salary funds with grant funds.
Institutional Development Awards (IDeA) - Institutional Development Awards (IDeA) enhance biomedical and behavioral research in specific geographic areas. The Division of Research Infrastructure of the National Center for Research Resources (NCRR) provides IDeA grants to foster research within states that traditionally have not received significant levels of competitive funding from the National Institutes of Health (NIH).
Institutional Profile Number (IPF) - The Institution Profile (IPF) number is an identifier that uniquely identifies and associates institutional information within the NIH enterprise database. The NIH assigns an IPF number after the institution submits its request for registration.
Institutional Review Board (IRB) - IRBs are set up by research institutions to ensure the protection of rights and welfare of human research subjects participating in research conducted under their auspices. IRBs make an independent determination to approve, require modifications in, or disapprove research protocols based on whether human subjects are adequately protected, as required by federal regulations and local institutional policy.
Instruction - Sponsored Instruction means the teaching and training activities of an institution established by grant, contract, or cooperative agreement. These activities may be offered for credits toward a degree or certificate or on a noncredit basis, and may be offered through regular academic departments or through separate divisions, such as summer school or extension. (Research training is not included; it is considered Research.)
"Instruction" is the proper code when the primary purpose of the project involves training, curriculum development, instruction, demonstration, or efforts to improve pedagogical methods. Instructional projects may include some elements of research, particularly if new techniques of instruction or curriculum content are being developed. This does not change the definition of the project to "research."
Intangible Property and Debt Instruments - Includes trademarks, copyrights, patents and patent applications, and such property as loans, notes and other debt instruments, lease agreements, stock and other instruments of property ownership, whether considered tangible or intangible.
Interactive Research Project Grant (IRPG) - An award made to two or more investigators funded independently as R01 grantees but brought together as a collaborative group receiving additional support for collaborative work, shared resources, or the exchange of ideas.
Interagency Edison - See Edison
Inter-Agency Electronic Grants Committee (IAEGC) - An organization which encourages and assists federal agencies in developing electronic grants systems and standardizing electronic commerce methodologies throughout the federal government. The IAEGC is chartered to Grants.Gov Program Management Office
Interested Party - A prime contractor or an actual or perspective offeror whose direct economic interest would be affected by the award of a contract or by the failure to award a contract.
Interim Funding - Authorization to expend funds on a project to a specified limit before the award document has been received from the sponsor.
Internal Control - A plan of organization under which employees' duties are so arranged, records, and procedures so designed, as to make it possible to exercise effective accounting control over assets, liabilities, revenues, and expenditures. For example, under such a system, work is subdivided so that no one employee performs a complete cycle of operations. The procedures to be followed are definitely laid down and such procedures call for proper authorizations by designated officials for all actions to be taken (Chapter Seven, Section V of Financial and Program Cost Accounting and Reporting for Florida Schools).
Internal Spreadsheet - This is the budget spreadsheet that is not submitted to the funding agency, but that every proposal should maintain on file in the event of an audit.
International Trafficking in Arms Regulations (ITAR) - The International Traffic in Arms Regulations (ITAR), 22 CFR §§ 120-130, means the regulations promulgated and implemented by the Department of State that control the export of articles, services, and related technical data that are inherently military in nature, as determined by the State Department. These defense articles, defense services, and related technical data are listed on the Munitions List (USML), 22 CFR § 121. Even some articles and technologies that are not readily identifiable as inherently military in nature—for example, research satellites—are included on the USML.
Internet Assisted Review (IAR) - Allows reviewer to submit critiques and preliminary scores for applications they are reviewing. Allows Reviewers, SRAs, and GTAs to view all critiques in preparation for a meeting. IAR creates a preliminary summary statement body containing submitted critiques for the SRA or GTA.
Intramural Research - Research conducted by, or in support of, employees of the NIH.
Investigator-Initiated Research - Research funded as a result of an investigator, on his or her own, submitting a research application. Also known as unsolicited research. Unsolicited applications are reviewed by chartered CSR review committees. See also its opposite: Targeted research.
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.
IRB - See Institutional Review Board.
IRG - Initial Review Group (formerly used term). See Scientific Review Group. The first level of a two-stage peer review system. Legislatively mandated panels of subject matter experts are established according to scientific discipline or medical specialty. Their primary function is the review and rating of research grant applications for scientific and technical merit. They make recommendations for the appropriate level of support and duration of award.
IRPG - see Interactive Research Project Grant.
Just-In-Time - Some sponsors require IRB approval, or at least pending approval, prior to award. The sponsor may request that PI proceed with the IRB review process upon receiving notification of a score in the fundable range. This is called the Just-in-Time procedure. Within the Status module of the eRA Commons, users will find a feature to submit Just-In-Time information when requested by the NIH. NIH policy allows the submission of certain elements of a competing application to be deferred. Through this module, institutions can electronically submit the information that is requested after the review, but before award.
Justification - See Budget Justification
Key Personnel - Individuals who contribute in a substantive way to the scientific development or execution of a project, whether or not they receive compensation from the grant supporting that project. The PI and collaborators are included in this category.
Kickback - Any money, fee, commission, credit, gift, gratuity, thing of value, or compensation of any kind which is provided, directly or indirectly, to agency procurement or program officials by any prime contractor employee, subcontractor, or subcontractor employee for the purpose of improperly obtaining or receiving favorable treatment in connection with obtaining a contract.
LEA (Local Educational Agency) -
A public board of education or other public authority legally constituted within a state for either administrative control of or direction of, or to perform service functions for, public elementary or secondary schools in:
a city, county, township, school district, or other political subdivision of a state; or
such combination of school districts or counties a state recognizes as an administrative agency for its public elementary or secondary schools
Any other public institution or agency that has administrative control and direction of a public elementary school or secondary school
As used in 34 CFR, Part 400, 408, 525, 526, and 527 (vocational education programs), the term also includes any other public institution or agency that has administrative control and direction of a vocational education program (34 CFR, Part 77.1).
Liabilities - Debt or other legal obligations arising out of transactions which are payable but not necessarily due (Encumbrances are not liabilities, they become liabilities when the services or materials for which the encumbrance was established have been rendered or received.) (Chapter Seven, Section V of Financial and Program Cost Accounting and Reporting for Florida Schools)
Life-cycle Cost - The total cost to any agency for reoccurring, operations, supporting, and disposing of the items being acquired over the life of the contract.
Limitation of Cost (LOC) - A mandatory clause for 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.
Local Government - A county, municipality, city, town, township, local public authority (including any public and Indian Housing agency under the United States Housing Act of 1937), school district, special districts, intrastate district, council of governments (whether or not incorporated as a nonprofit corporation under state law), any other regional or interstate government entity, or any agency or instrumentality of a local government (34 CFR, Part 80.3).
Major Federal Assistance Program - A federal program determined by the auditor to be a major program in accordance with subpart E – Auditors Section .520 or a program identified as a major program by a federal agency or pass-through entity in accordance with subpart B – Audits Section .215(c). (OMB circular A-133)
MARC - see Minority Access to Research Careers.
Market Survey - Attempt to determine the availability of qualified sources capable or satisfying an agency's procurement requirements. This testing of the marketplace may range from written or telephone contacts with knowledgeable Federal, and non-Federal experts, regarding similar or duplicate requirements, and the results of any market test recently undertaken, to the more formal sources-sought announcements in pertinent publications (e.g., technical/scientific journals, or the Commerce Business Daily, or solicitations for information of planning purposes.
Matching - The value of third-party, in-kind contributions and that portion of the costs of a grant supported project or program not borne by the federal government.
Matching or Cost Sharing - The value of third party in-kind contributions and the portion of the costs of a federally assisted project of program not borne by the Federal Government. See Cost Sharing
Matching Funds - A requirement by a funding agency that an applicant organization provide a percentage of the cost of a sponsored program.
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. 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. Many matching grants are paid in installments, the payments coinciding with the attainment of pre-specified levels of additional funding. Matching grants are very common in the sciences, especially for equipment. They are standard practice in some government agencies.
Material Transfer Agreement - A legal document that defines the conditions under which research or other materials can be transferred and used among research laboratories.
MBRS - See Minority Biomedical Research Support.
Mechanism - see Activity code.
MEDLINE - National Library of Medicine's database for scientific publications.
Minority Access to Research Careers (MARC) - A program to provide special research training opportunities in the biomedical sciences for students and faculty at 4-year colleges and health professional schools in which substantial student enrollments are from minority groups.
Minority Biomedical Research Support (MBRS) - A program to strengthen the biomedical research and research training capability of ethnic minority institutions. The intent is to increase the involvement of minority faculty and students in biomedical research.
Misconduct in Science - Fabrication, plagiarism, 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 - A sponsor's stated purpose, which is designed to address a specified set of problems. Almost all federal research agencies are designated as mission agencies.
Modification - An award document that modifies any aspect of an existing award other than those named above. Example: Carryover approvals, adding or deleting special terms and conditions, changes in funding levels (including NSF's Research Experience for Undergraduates, NIH's Minority Supplement, DOD's ASSERT Programs), administrative changes initiated by the agency, extensions that include changes in terms, change of PI, etc.
Modified Summary Statement - Former term for a summary statement containing reviewer critiques, which is now standard practice. See Summary statement.
Modified Total Direct Costs (MTDC) - For sponsored agreements using federally-negotiated rates, indirect costs are not assessed on direct expenditures identified as MTDC exclusions. The federally-negotiated F&A rate is applied to the total of non-excluded direct expenditures, known as the Modified Total Direct Costs (MTDC). Direct expenditures most commonly excluded from F&A as MTDC exclusions are, equipment, space rental, alterations and renovations, patient care, scholarships and fellowships, tuition, and subcontract costs in excess of the first $25,000. Refer to the sponsor guidelines to identify the appropriate exclusions.
Modular Application - A type of grant application in which support is requested in specified increments without the need for detailed supporting information related to separate budget categories. When modular procedures apply, they affect not only application preparation but also review, award, and administration of the application/award.
Monitoring - A process whereby the programmatic and business management performance aspects of a grant are reviewed by assessing information gathered from various required reports, audits, site visits, and other sources.
Monitoring - Florida Department of Education activities that ensure that funds are used and programs are operated in accordance with applicable federal and state statutes, rules, and regulations.
More Restrictive Conditions - Special requirements or restrictions imposed on a project recipient as a condition of project approval by the Department of Education.
MTA - see Material Transfer Agreement.
Munitions List (USML) - (ITAR; 22 CFR § 121) Articles, services and related technical data designated as defense articles and defense services pursuant to the Arms Export Control Act.
National Research Service Award (NRSA) - Awards to both individuals and institutions to provide research training in specified health-related areas.
NCI - National Cancer Institute (NIH)
NCRR - National Center for Research Resources (NIH)
NEI - National Eye Institute (NIH)
New Application (award, grant) - Refers to an application not previously proposed, or one that has not received prior funding. Also known as a Type 1.
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 re-compete for funding prior to expiration of the original award.
NGA - See Notice of Grant 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)
NICHD - National Institute of Child Health and Human Development (NIH)
NIDA - National Institute on Drug Abuse (NIH)
NIDCR - National Institute of Dental and Craniofacial Research (NIH)
NIEHS - National Institute of Environmental Health Sciences (NIH)
NIGMS - National Institute of General Medical Sciences (NIH)
NIH - National Institutes of Health - A Federal agency, whose mission is to improve the health of the people of the United States. NIH is part of the PHS, which is part of the U.S. DHHS.
NIH Commons Demo Facility - Demo Facility allows you to try most of the capabilities of the NIH eRA Commons in a sample environment.
NIH eRA Commons - Systems that enable the electronic transmission of information between NIH and our partners in the research community.
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 of Nursing Research (NIH)
No-Cost Extension (NCE) - An extension of the period of performance beyond the expiration data to allow the PI to finish a project. Usually, no additional costs are provided.
Within the eRA Commons, users will find a feature to automatically extend grants that are eligible for a one-time extension of the final budget period of a project period without additional NIH funds through. The system will automatically change the end date for the grant and notify the appropriate NIH staff.
Noncompeting Continuation - A year of continued support for a funded grant. Progress reports for continued support do not undergo peer review, but are administratively reviewed by the Institute/Center and receive an award based on prior award commitments. Also known as a Type 5.
Noncompeting Grant - An ongoing grant whose award is contingent on the completion of a progress report as the condition for the release of money for the following year.
North American Industry Classification System (NAICS) Code - A code with a maximum of six digits used to classify business establishments. This code will be replacing the Standard Industrial Classification (SIC) code.
Not Recommended for Further Consideration (NRFC) - A judgment made by a scientific review group for applications when the merit of the proposed research is not significant and substantial enough to warrant a further review. The study section does not recommend funding; the application cannot be funded by an institute.
Notice of Grant Award (NGA) - 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 obligation of Federal funds. The award notice may be in letter format and may be issued electronically.
NRFC - See Not Recommended for Further Consideration.
NRSA - See National Research Service Award
Obligation - Data based on NIH funds that have been awarded by an NIH Institute/Center.
Obligations - The amounts for orders placed, contracts awarded, goods and services received, or for similar transactions during the stipulated project period, that will require payment during the same or a future period.
OER - Office of Extramural Research (NIH)
Off-Campus Rate - The F&A rate used when 51% or more of the research will occur at off-campus locations. The off-campus rate is lower than the on-campus rate because the cost of doing research off-campus is lower. The off-campus rate should not be used merely to lower the overall cost of a project.
Offer - A response to a solicitation that, if accepted, would bind the offeror to fulfill the resulting contract. Responses to invitations for bids (IFB) are called bids or sealed bids; responses to requests for proposals (RFP) are referred to as offers or proposals; responses to requests for quotations (RFQ) are designated as quotes.
Offeror - A contracting term denoting an applicant responding to an RFP.
Office of Management and Budget (OMB) Circulars Listing of OMB Circulars.
Office of Small and Disadvantaged Business Utilization (OSDBU) - The mission of the Federal Office of Small and Disadvantaged Business Utilization (OSDBU) Directors Interagency Council is to exchange information on methods, initiatives, and processes that will permit our respective agencies to more effectively utilize small businesses in our prime contracts and subcontracts to the maximum extent practicable. In addition, the Council shall collectively act in the interest of small businesses on federal and national small business initiatives.
On-Campus Rate - The F&A rate used when 50% or more of the research will occur at on-campus locations.
OHSR – Office of Human Subjects Research (DHHS)
OMB Circulars - Regulatory circulars issued by the Office of Management & Budget (OMB).
ONR - Office of Naval Research
On-Line Cash Advance and Disbursements - The system created by the Florida Department of Education that allows governmental agencies to request cash in advance of payments for federal projects. The system also allows these agencies to report disbursements relative to the federal cash advances on a monthly basis instead of submitting monthly reports.
Opening Date - The first date the completed application can be submitted to Grants.gov
Operational Research Consultants (ORC) - The organization that Grants.gov has selected to validate the electronic identity of an individual through electronic credentials, PINS, passwords and PKI certificates
Option - A clause contained in a contract which gives an agency the unilateral right to extend the term of the contract or obtain additional quantities of products or services at the prices contained in the contract for that option period or additional quantity of products or services.
Organization - A generic term used to refer to an educational institution or other entity, including an individual, which receives and/or applies for an NIH grant or cooperative agreement.
Organizational Conflict of Interest - Activities or relationships with other persons that interfere with a contractor or contractor employee rendering impartial assistance or advice to an agency.
Other Research Grants - Research grants not classified as research projects or research centers.
Other Sponsored Activities (OSA) - "Other Sponsored Activities" are programs and projects sponsored by federal and non-federal agencies which involve the performance of work other than instruction and organized research. Examples include health service projects, community service programs, service and technical assistance projects, such as student assistance to corporations and government, and conferences. This category also includes sponsor-designed testing, clinical trials, evaluations, non-credit community education.
Overhead - See Facilities and Administrative Costs (F&A)
PA - see Program announcement.
PAR - Program announcement reviewed in an institute.
PAS - Program announcement with set-aside funds.
Patient Care Costs - The costs of routine and ancillary services provided by hospitals to individuals, including patients and volunteers, participating in research programs are allowable Patient Care Costs are generally not allowable unless the participant is hospitalized for the sole purpose of participating in research. Patient Care Costs, when allowable, are not subject to F&A. "Routine services" include the regular room services, minor medical and surgical supplies, and the use of equipment and facilities for which a separate charge is not customarily made. "Ancillary services" are those special services for which charges customarily are made in addition to routine services, e.g., x-ray, operating room, laboratory, pharmacy, blood bank, and pathology. The following otherwise allowable costs are not classified as research patient care costs items of personal expense reimbursement, such as patient travel; consulting physician fees; and any other direct payments to individuals, including inpatients, outpatients, subjects, volunteers, and donors. Such costs should be included in the "Other Expenses" category of the grant budget.
Pay-line - A percentile-based funding cutoff point determined at the beginning of the fiscal year by balancing the projected number of applications coming to an NIH Institute with the amount of funds available.
Parties Excluded from Procurement Programs - Contractors included on the "Consolidated List of Debarred, Suspended, and Ineligible Contractors." This list is compiled, maintained, and distributed by the General Services Administration (GSA).
Peer Review - A system for evaluating research applications that uses reviewers who are the professional equals of the applicant. See also Dual review system.
A system using reviewers who are the professional equals of the PI 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.
Peer Review Criteria -- See Initial peer review criteria.
Percent Effort - See Effort
Percentile Rank - A ranking that represents the relative position of each priority score among the scores assigned by a scientific review group at its last three meetings. The lower the numerical value of the percentile score the better. The range is from .5 to 99.5.
Personal Property - Property of any kind except real property. It may be tangible, having physical existence, or intangible, having no physical existence, such as copyrights, patents, or securities.
PHS 2590 - Application for Continuation of a PHS Grant. The forms are to be discontinued or merged with use of the SF 424 forms by September 2006.
PHS 398 - Application Form for a PHS Grant. The forms are to be discontinued or merged with use of the SF 424 forms by September 2006.
PHS Policy on Humane Care and Use of Laboratory Animals - Compliance with PHS Policy is a term and condition of all PHS awards involving live, vertebrate animals.
PI - Principal Investigator of a sponsored project
Point of Contact (POC) - An individual who is designated as the person responsible for authorization and maintenance of information on behalf of a CCR registrant, coordinating communication among organizations.
Post-Doctoral Fellowship - Provides research training support to individuals who have received a terminal degree (PhD or MD) Fellowships do not include tuition.
Pre-application - A statement in summary form of the intent of the applicant to request funds. It is used to determine the applicant's eligibility and how well the project can compete with other applications and eliminate proposals for which there is little or no chance for funding.
Pre-award Survey - An evaluation (by a contracting activity) of a prospective contractor's capability to perform the proposed contract. Site visits to contractor facilities are often conducted to determine qualifications and eligibility to receive awards.
Pre-Proposal - A brief description, usually 2-10 pages, of research plans and estimated budget that is sometimes submitted to determine the interest of a particular sponsor prior to submission of a formal proposal. Also termed Preliminary Proposal.
Preschool - The educational level from a child's birth to the time at which the state provides elementary education (34 CFR, Part 77.1).
President's Budget - The annual budget request submitted to Congress by the U.S. President. The process begins with NIAID's budget request, which, as part of the NIH budget request, is modified by the Office of Management and Budget.
Price Analysis - The process of examining and evaluating a proposed price by comparing it with other offered prices or prices previously paid for similar goods or services.
Prime Contract - A contract entered into by an agency for the purpose of obtaining supplies, materials, equipment, or services of any kind.
Prime Contractor - A corporation, partnership, business association, trust, joint-stock company, education institution or other non-profit organization, or individual who has entered into a prime contract with an agency.
PI/Program Director/Project Director - An individual designated by the grantee to direct the project or activity being supported by the grant. He or she is responsible for the scientific and technical direction of a project, the day-to-day management of the project or program, and is accountable to the grantee for the proper conduct of the project or activity.
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. Documentation evidencing consent prior to incurring specific cost (34 CFR, Part 80.3).
Priority Score - A number assigned to an application by an Initial Review Group (IRG). The score is a quantitative indicator of perceived scientific and technical merit that ranges from 100 to 500. Individual IRG members assign scores from 1.0 (highest merit) to 5.0 (lowest merit). Votes are cast in 0.1 intervals. The priority scores are the average of member votes multiplied by 100.
Privacy Act - A law that protects against needless collection or release of personal data. Records maintained by NIH with respect to grant applications, grant awards and the administration of grants are subject to the provisions of the Privacy Act.
Private, Nonprofit Organization - An agency, organization or institution, not under federal or public supervision or control, that is owned by one or more individuals, partnerships, corporations, or associations whose net earnings do or can benefit any private share holder or entity.
Procurement - The acquisition of property or services for the direct benefit or use of the government, generally via a contract.
Procurement Activity - The organization within an agency authorized to enter into contractual relationships.
Procurement Automated Source System (PASS) - A database managed by the Small Business Administration that contains information on over 230, 000 small businesses. PASS must be queried and reviewed by agency personnel to locate potential contractors. Not all small businesses are in the PASS database, but it does represent a good sampling of the availability of business in a particular industry. One of the primary reasons for the PASS search is that if any sources are found, the results are included in the "Justification for Other than Full and Open Competition (JOFOC).".
Procurement Center Representative (PCR) - Small Business Administration (SBA) representatives assigned to Federal agencies to assist in conducting their small business programs by recommending sources and the use of appropriate set-asides. PCRs have the authority to challenge a contracting officer's decision not to conduct a particular procurement as a set-aside; they also review and make recommendations on proposed subcontracting plans.
Procurement List - A List of supplies and services that the Committee for Purchase from People Who Are Blind or Severely Disabled has determined to be available for mandatory purchase by Federal Agencies.
Procurement Official Any civilian or military official or employee of an agency who has participated personally and substantially in any activities for a particular procurement.
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 Balance - The need to balance an institute's support of research in all its programmatic areas with its high-quality applications eligible for funding.
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.
Any income generated within a sponsored program that is a result of items such as fees for services or resale of equipment originally purchased on the grant. Gross income received by the grantee or sub-grantee directly generated by a grant supported activity or earned only as a result of the grant agreement during the grant period (34 CFR, 80.25[b]).
Program Official - The NIH official responsible for the programmatic, scientific, and/or technical aspects of a grant.
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 PI/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.)
Programmatic Reduction - The dollar amount a grant award is reduced from the amount recommended by the study section (scientific review group). This is done so institutes can maintain a sufficient number of grants in their portfolio and to combat inflation of grant costs.
Progress Report - Periodic, scheduled reports required by the sponsor summarizing research progress to date. Technical, fiscal, and invention reports may be required.
Project - The services or activities that an agency agrees to provide for a specified period of time using state or federal funds awarded to a project recipient.
Project Announcement (PA) - NIH term that identifies areas of increased priority and/or emphasis on particular funding mechanisms for a specific area of science. Special Types
PAR: A PA for which special referral guidelines apply as described in the PAR announcement
PAS: A PA that includes specific set-aside funds as described in the PAS announcement
Project Application - An entity's request for a project award under state or federal education programs administered by the Florida Department of Education.
Project Award - The approval of a project and of funding as stated in the project approval notification (DOE 200) sent to project recipients that specifies the amount of funds awarded, the project period, and any special requirements or restrictions to be imposed by the Florida Department of Education.
Project Costs All allowable costs, as set forth in the applicable Federal cost principles (see Sec. 74.27), incurred by a recipient and the value of the contributions made by third parties in accomplishing the objectives of the award during the project period.
Project Officer - An Institute staff member who coordinates the substantive aspects of a contract from planning the request for proposal to oversight.
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.) The total time for which support of a project has been recommended (usually no more than 5 years), consisting of one or more budget periods. Competing extensions of a project period are subject to peer review, reevaluation of the activity, and re-competition for available funds.
Project Recipient - The school district, public agency, or non-public agency that has been awarded a project to provide services or activities described in a project application approved by the Florida Department of Education.
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 PI.
Protest - A written objection by an interested party to a procurement action conducted by an agency.
Public Domain - (ITAR; 22 CFR § 120.11) means information that is published and that is generally accessible or available to the public: (1) through sales at newsstands and bookstores; (2) through subscriptions which are available without restriction to any individual who desires to obtain or purchase the published information; (3) through second class mailing privileges granted by the U.S. government; (4) at libraries open to the public or from which the public can obtain documents; (5) through patents available at any patent office; (6) through unlimited distribution at a conference, meeting, seminar, trade show, or exhibition, generally accessible to the public, in the United States; (7) through public release (i.e., unlimited distribution) in any form (e.g., not necessarily in published form) after approval by the cognizant U.S. government department or agency; and (8) through fundamental research in science and engineering at accredited institutions of higher learning in the U.S. where the resulting information is ordinarily published and shared broadly in the scientific community.
Purchaser - The person abroad who has entered into a transaction to purchase an item for delivery to the ultimate consignee. In most cases, the purchaser is not a bank, forwarding agent, or intermediary. The purchaser and ultimate consignee may be the same entity.
Purchase Order - An offer made by an agency to buy certain supplies or non-personal services from commercial sources and based on specified terms and conditions. The aggregate amount shall not exceed the small purchase limit, currently $100,000.
Purchase Request (PR) - A document that is used to initiate a procurement action. Whether referred to as a PR, requisition, or procurement directive, it provides the necessary authorization to proceed with a procurement.
Qualified Film Producers List (QFPL) - A list of producers qualified to make Government film productions. The Department of Defense (DOD), Federal Audiovisual Contract Management Office (FACMO) maintains this list.
Qualified Producers List (QPL) - A list of vendors who have been qualified in advance of a solicitation to provide a particular product or service.
Qualified Video Producers List (QVPL) - A list of producers qualified to make Government video productions. The DOD, FACMO maintains this list.
R&D Contract - A funding mechanism by which the NIH procures specific services. These are negotiated contracts which may be funded from intramural or extramural accounts. Excluded are inter/intra-agency agreements (Y01 and Y02), resource and support contracts (N02), and station support contracts (N03).
Rating Criteria - See Initial peer review criteria
Ratification The process used by an agency's contracting officers to approve and legitimize an otherwise proper contract made by an individual without contracting authority.
Real Property - Land, including land improvements, structures, and appurtenances thereto, excluding movable machinery and equipment (34 CFR, Part 80.3).
Rebudget - The act of amending the budget buy moving funds from one category or line item to another. (See also Budget Adjustment)
Rebuttal - A procedure for contesting the peer review of a grant application. See article on page 7 of the September 1997 Council issue of NIAID Council News for more information. Synonymous with appeal.
Receipt, referral, and assignment of applications - The routing of applications arriving at NIH. The referral section of CSR is the central receipt point for competing applications. CSR referral officers assign each application to an institute and refer it to a scientific review group, notifying applicants of these assignments by mail. Alternatively, NIH encourages applicants to self assign. For more information, scroll down after clicking on Requesting Assignment for Your Application.
Recommended - A designation given by a study section advising that an application be funded. The application gets a priority score and summary statement. Roughly the top half of applications being reviewed are recommended for funding.
Recommended Levels of Future Support - Funding level recommended for each future year approved by the scientific review group, subject to availability of funds and scientific progress.
Re-competing - (aka type 2, competing continuation application, renewal)A grant whose term (e.g., four years) is over and for which the applicant is again seeking NIH support.
Regs - Short for "regulations."
Regulations - The contractual rules and procedures governing sponsored research projects.
Release Date - Date funding opportunity is posted on Grants.gov. Applicants may download application package and start working on applications.
Renewal - (see Competing Continuation and Application Type 2)Applicable to grants and cooperative agreements only. A competitively reviewed proposal requesting additional funds extending the scope of work beyond the current project period.
Request for Applications (RFA) - Announcements that indicate the availability of funds for a topic of specific interest to a sponsor. Proposals submitted in response to RFAs generally result in the award of a grant. Specific grant announcements may be published in the Federal Register and/or specific sponsor publications. (Also see Broad Agency Announcements.)
Request for Proposals (RFP) - Announces that NIH would like to award a contract to meet a specific need, such as the development of an animal model. RFPs have a single application receipt date and are published in the NIH Guide for Grants and Contracts.
Request for Proposal (RFP) - Announcements that specify a topic of research, methods to be used, product to be delivered, and appropriate applicants sought. Proposals submitted in response to RFPs generally result in the award of a contract. 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 equipment or supplies to be purchased.
Research and Development - All research activities, both basic and applied, and all development activities that are supported at universities, colleges, hospitals, other nonprofit institutions, and commercial organizations. Research is defined as a systematic study directed toward fuller scientific knowledge or understanding of the subject studied. Development is the systematic use of knowledge and understanding gained from research directed toward the production of useful materials, devices, systems, or methods, including design and development of prototypes and processes. The term research also includes activities involving training of individuals in research techniques where such activities utilize the same facilities as other research and development activities and where such activities are not included in the instruction function.
Researcher - A Grant Researcher writes, prepares, and/or searches for grant applications on their behalf, or on behalf of a company, organization, institution, or government, but do not plan to sign the grant application or its associated certifications and assurances.
Research Centers - Grants that support multidisciplinary, long-term research and development programs at research centers. Research centers usually have a clinical orientation and include all P activities (excluding NLM for all years and NINR for FY 1986) that are not included in research projects (R); M01 activities; selected U activities (U41, U42, U54); R07 and G12.
Research Misconduct - Fabrication, falsification, or plagiarism in proposing, performing, or reporting 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 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. The term does not include honest error or honest differences of opinion.
Research Portfolio - The cohort of grants supported by a given NIH organization.
Activity codes for research projects are as follows: R01, R03, R15, R21, R22, R23, R29, R33, R35, R37, R55, RC1,
P01, P42, U01, U19, UC1 and NIGMS P41.
Restricted Funds - Funds that have been allocated for a specific use, agreed upon by both the sponsor and the institution. Prior approval is required for alternative uses.
Re-submission - Sending NIH an application for initial peer review after it has been reviewed by a study section and revised by the applicant. Each re-submission is given a code, e.g., A1, A2. NIH limits you to two re-submissions.
Retention of Records and Access - records shall be maintained for the periods prescribed by applicable state and federal statute and rule (see General Records Schedule for Florida School Districts; Website for the Secretary of State).
Review Cycle - Refers to the Center for Scientific Review's thrice yearly initial peer review cycle, from the receipt of applications to the date of the review. See Standard Receipt Dates.
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 PI.
Re-export - An actual shipment or transmission of items subject to export regulations from one foreign country to another foreign country. For the purposes of the U.S. EAR, the export or re-export of items subject to the EAR that will transit through a country or countries to a new country, or are intended for re-export to the new country, are deemed to be exports to the new country.
RFA - See Request for application.
RFP - See Request for proposals.
Role Manager - The person listed as the Point of Contact for a specific grantor agency or sub-agency. This person will receive any email notifications about application submissions, depending on the option selected in the agency's profile.
Roll-Forward - Unobligated balances of an award or project that is allowed to be continued in subsequent funding periods.
RPG (Research Project Grant) - See Research Projects
Salary Cap - The maximum amount of direct salary costs (excluding fringe benefits and F&A) that the NIH will reimburse for individual grant personnel. The salary cap normally increases annually to adjust for inflation.
Salaries and Wages (S&W) Payments made to employees of the institution for work performed.
SBA - Small Business Administration
SBIR - Small Business Innovative Research
Scholarships - A scholarship is an amount paid for the benefit of a student (usually an undergraduate student) at an educational institution to aid in the pursuit of studies. Recipients must not be required to perform past, present or future services for the grantor or the USF Department in charge of administering the award. If services are required the payment is compensation for services performed that is subject to federal income tax withholding and also Social Security and Medicare (FICA) tax withholding.
Scientific Review Administrator (SRA) - A federal scientist who presides over a scientific review group and is responsible for coordinating and reporting the eview of each application assigned to it. The SRA serves as an intermediary between the applicant and reviewers and prepares summary statements for all applications reviewed.
Scientific Review Group (SRG) - Formerly called initial review group; aka study section A chartered committee that performs the first level of peer review; now generally called a scientific review group (also known as a study section). See also Dual review system.
Scope of Work - The description of the work to be performed and completed on a research project.
Scored - In the Center for Scientific Review (CSR) peer review process, applications that are judged by a study section to be competitive, i.e., generally in the upper half of the applications reviewed. These applications are assigned a priority score and forwarded to the appropriate Institute/Center for the second level of review.
SEA (State Educational Agency) - The State Board of Education or other agency or officer primarily responsible for the supervision of public elementary and secondary schools in a state. In the absence of this officer or agency, it is an officer or agency designated by the Governor or State law (34 CFR, Part 77.1).
Secondary School - A day or residential school that provides secondary education as determined under State law. In the absence of State law, the Secretary may determine with respect to that State whether the term includes education beyond the twelfth grade (34 CFR, Part 77.1).
Selective Pay - The funding of a small number of programmatically important applications at the margin of the pay-line as recommended by Council.
Senior Personnel Professional personnel who are responsible for the scientific or technical direction of project.
Senior Procurement Executive - The Senior Procurement Executive for an agency is appointed by the agency head pursuant to Section 16(3) of the Office of Federal Procurement Policy (OFPP) Act (41 U.S.C. 414(3)), and is responsible for managing an agency's procurement activities.
Set Aside - Money taken out of the budget for a specific purpose, for example, to fund a congressionally mandated program.
Settlement Agreement - A written agreement, in the form of a modification to a contract, settling all or a severable portion of a settlement proposal resulting from termination of a contract for the convenience of the agency.
Significant Re-Budgeting - A threshold that is reached when expenditures in a single direct cost budget category deviate( increase or decrease) from the categorical commitment level established for the budget by more than 25% of the total costs awarded.
Signing Official (SO) - An SO, or Signing Official, has institutional authority to legally bind the institution in grants administration matters. The individual fulfilling this role may have any number of titles in the grantee organization. The label "Signing Official" is used in conjunction with the NIH eRA Commons. The SO can register the institution, and create and modify the institutional profile and user accounts. The SO also can view all grants within the institution, including status and award information. An SO can create additional SO accounts as well as accounts with any other role or combination of roles. For most institutions, the Signing Official (SO) is located in its Office of Sponsored Research or equivalent
Small Business A small business that is at least 51 percent unconditionally owned by one or more individuals who are both socially and economically disadvantaged, or owned by an Indian tribe or native Hawaiian organization.
"Socially disadvantaged individuals" are individuals who have been subjected to racial or ethnic prejudice or cultural bias because of their identity as a member of a group without regard to their qualities as individuals.
"Economically disadvantaged individuals" are socially disadvantaged individuals whose ability to compete in the free enterprise system is impaired due to diminished opportunities to obtain capital and credit as compared to others in the same line of business who are not socially disadvantaged.
Individuals who certify that they are members of named groups (Black Americans, Hispanic Americans, Native Americans, Asian-Pacific Americans, Sub-continent-Asian Americans) are to be considered socially and economically disadvantaged.
The preferred terminology for these businesses is Minority Business Enterprises (MBEs).
Small Business Innovation Research (SBIR) - An award designed to support projects from small businesses that may ultimately have commercial viability. For the computation of success rates, SBIR awards are not included in the count of RPGs.
Small Business Technology Transfer (STTR) - A 3-year pilot program begun in FY 1994 under the Small Business Innovation Research Program, that is designed to foster technological innovations through cooperative efforts between small business and research institutions. The STTR grants are awarded for projects that have potential for commercialization. For the computation of success rates, STTR awards are not included in the count of RPGs.
Small Grant - A special type of award, often limited to a beginning researcher. Typically, such an award may be obtained for one year only.
Small Purchase - Currently the term "small purchases" applies to procurements with thresholds of $100,000 or less. FASA has replaced the current term and threshold for "small purchase" with a new term called "simplified acquisition threshold" whose threshold includes procurements of $100,000 or less. There are two purchase categories under the simplified acquisition threshold. Purchases under $2,500 are called micro purchases. For these purchases, the small purchase set-aside for small business is dissolved. Small business reservation does apply to values of $2,501 - $100,000. If an agency has interim or full Federal Acquisition Computer Network (FACNET) capability, which is the ability to perform certain functions electronically, the $100,000 threshold on simplified acquisitions applies; otherwise, the threshold is $50,000. The higher threshold for simplified acquisition supports the acquisition streamlining initiative and provides small business contractors with increased set aside opportunities.
Software - A combination of associated computer instructions and computer data definitions required to enable computer hardware to perform computational or control functions.
Sole Source Procurement - A contract for the purchase of supplies or services that is entered into by an agency after soliciting and negotiating with only one source. Such procurements must be fully justified to indicate the reasons why competition is not possible.
Solicitation - A formal document which elicits proposals for acquisition or financial assistance awards. Solicitation instruments include Invitations for Bid (IFB), Requests for Proposals (RFP), and for small purchase actions, Requests for Quotation (RFQ).
Source Selection - A contracting term denoting the review process by which a contractor is selected.
Source Selection Plan - The document that explains how proposals from offerer will be evaluated. The Plan includes the evaluation factors to be used, relative weight of the factors, and the methodology to be used by evaluators in evaluating proposals.
SOW - see Statement of work.
Sponsor - The organization that funds a research project.
Specially Designated National (SDN) - Any person who is determined by the U.S. Secretary of the Treasury to be a specially designated national for any reason under regulations issued by the Office of Foreign Assets Control.
SRA - see Scientific Review Administrator.
SSA - Social Security Administration
SF-424 (Application for Federal Assistance cover page);
SF-424A (Budget Information Non-construction Programs);
SF-424B (Assurances Non-construction Programs;
SF-424C (Budget Information Construction Programs); and
SF-424D (Assurances Construction Programs).
Plus named attachments including Project Narrative and Budget Narrative.
Statement of Work (SOW) - In a contract proposal, the detailed description of the work to be performed under the contract.
Status - Allows PIs to review the current status of all their grant applications and review detailed information associated with their grants. Institution Officials (i.e., Signing Official (SO) or Administrative Official (AO) associated with the institution) can see a summary view of grant applications, review the Notice of Grant Award, and access the Progress Report face page.
Stipend - See Grant Stipend
Streamlined Non-Competing Award Process (SNAP) - Where non-competing continuation applications are streamlined, eliminating the need for annual budget submissions and any negotiations, and reducing the information required to review and approve non-competing continuation awards and to monitor these awards. SNAP authority is granted at the time of the original award.
Streamlined Review - (Formerly Triage).In the CSR peer review process, applications that are judged by a study section to be in the lower half of the applications evaluated in a given review round. These applications are generally not reviewed during the study section meeting, but returned to the applicant with the assigned reviewers' written comments.
STTR - See Small Business Technology Transfer.
Study Section - An IRG that is within the Center for Scientific Review.
Subaward - An award of financial assistance in the form of money, or property in lieu of money, made under an award by a recipient to an eligible sub-recipient or by a sub-recipient to a lower tier sub-recipient The term includes financial assistance when provided by any legal agreement, even if the agreement is called a contract, but does not include procurement of goods and services nor does it include any form of assistance which is excluded from the definition of award.
Subcontract - A contract between a prime contractor and another source to obtain outside supplies for services that prime contractor reeds to perform the contract requirements. Subcontracts include any agreement, other than an employer employee relationship, which a prime contractor enters into for the purpose of fulfilling a government contract.
Subcontract, Sub-grant, or Sub-agreement - 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.
Subcontracting Plan - A written plan, submitted by a prime contractor and approved by a contracting officer, that describes goals and actions the contractor plans to take to use small and small disadvantaged businesses to the maximum practicable extent in performing the contract.
Sub-Grant - An award of financial assistance in the form of money or property in lieu of money made under a grant by a grantee to an eligible sub-grantee. The term includes financial assistance when provided by contractual legal agreement but does not include procurement purchases, nor does it include any form of assistance which is excluded from the definition of "grant" in this part (34 CFR, Part 80.3).
Sub-Grantee - The government or other legal entity to which a sub-grant is awarded and which is accountable to the grantee for the use of the funds provided (34 CFR, Part 80.3).
Sub-Recipient - A non-Federal entity that expends Federal awards received from a pass-through entity to carry out a Federal program, but does not include an individual that is a beneficiary of such a program. A sub-recipient may also be a recipient of other Federal awards directly from a Federal awarding agency. Guidance on distinguishing between a sub-recipient and a vendor is provided in subpart B – Audits .210 (OMB circular A-133).
Subs - Short for subcontractors.
Success Rate - Indicates the percentage of reviewed RPG applications that receive funding computed on a fiscal year basis. It is determined by dividing the number of competing applications funded, by the sum of the total number of competing applications reviewed and the number of funded carry overs. Note that applications that have one or more amendments in the same fiscal year are only counted once. Success rate computations exclude SBIR/STTRs.
Success Rate Base - The basis for computing the RPG success rate. It includes the total number of competing applications reviewed (the number of applications subjected to a streamlined review process). Also known as Rate Base.
Summary statement - An official document showing the outcome of initial peer review, containing priority score and percentile, codes for various areas of concern (e.g., human subject research), and recommended budget. Summary statements generally have a short synopsis of the project prepared by the scientific review administrator and reviewer critiques. When special review criteria are used, the critiques are synthesized by the scientific review administrator.
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 noncompeting (administrative) or competing (subject to peer review).An award for additional funds over and above the amount originally awarded, either for the current budget year or for any future year.
Supplemental Proposal - A formal 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.
Supplies - An item of expendable nature that is consumed, worn out, or deteriorated in use; or one that loses its identity through fabrication or incorporation into a different or more complex unit or substance (Chapter Seven, Section V Financial and Program Cost Accounting and Reporting for Florida Schools). All consumable and non-consumable materials used to conduct research on a grant. Items with a useful life of more than one year and a cost of more than $1,000 are considered "Equipment" for budget purposes.
Suspension - Depending on the context, either (1) temporary withdrawal of the authority to obligate grant funds pending corrective action by the grantee or sub-grantee or a decision to terminate the grant, or (2) an action taken by a suspending official in accordance with agency regulations implementing E.O. 12549 to immediately exclude a person from participating in grant transactions for a period, pending completion of an investigation and such legal or debarment proceedings as may ensue (34 CFR, Part 80.3).
TAPS Number (Tracking Applications) - A unique numbering system used on each RFP that will correspond with all projects issued.
Targeted research - Research funded as a result of an institute set aside of dollars for a specific scientific area. Institutes solicit applications using research initiatives (RFAs for grants, RFPs for contracts). Targeted research applications are reviewed by chartered peer review committees within institutes. See also the opposite: Investigator-initiated research.
Task Order Agreement (TOA) - A legally binding document authorizing work and appropriating funds as a supplement to a basic contract.
Teaming Agreement - An agreement between two or more parties to participate in a research project or teaching activity.
Technical Assistance - May include instruction, skills training, working knowledge, consulting services, and may also involve the transfer of technical data.
Technical Data - Information required for the design, development, production, manufacture, assembly, operation, repair, testing, maintenance, or modification of controlled articles. This includes information in the form of blueprints, photographs, plans, diagrams, models, formulae, tables, engineering designs and specifications, manuals and instructions written or recorded on other media or devices such as disk, tape, or read-only memories. The ITAR definition does not include information concerning general scientific, mathematical, or engineering principles commonly taught in schools, colleges, and universities, or information in the public domain (ITAR 120.10(5)).
Technical Direction - The direction or guidance of the scientific, engineering, and other technical aspects of a project, as distinguished from the administrative and business management aspects.
Technology - Any specific information or know-how (whether in tangible form, such as models, prototypes, drawings, sketches, diagrams, blueprints, manuals, software, or intangible form, such as training or technical services) required for the development, production, or use of a good, but not the good itself.
Templates - Facsimiles of agency forms created with common software (MS Word, Excel, WordPerfect, etc.) that enables the user to fill out agency forms with their computer. (TRAM)
Terms and Conditions of Award - All legal requirements imposed on a grant by NIH, whether based on statue, regulation, policy, or other document referenced in the grant award, or specified by the grant award document itself. The Notice of Grant Award may include both standard and special conditions that are considered necessary to attain the grant's objectives, facilitate post award administration of the grant, conserve grant funds, or otherwise protect the Federal Government's interests.
Terms of a Grant or Sub-grant - All requirements of the grant or sub-grant, whether in statute, regulations, or the award document (34 CFR, Part 80.3).
Termination - Permanent withdrawal of the authority to obligate previously-awarded grant funds before that authority would otherwise expire. It also means the voluntary relinquishment of that authority by the grantee or sub-grantee. "Termination" does not include: (1) withdrawal of funds awarded on the basis of the grantee's underestimate of the unobligated balance in a prior period; (2) withdrawal of the unobligated balance as of the expiration of a grant; (3) refusal to extend a grant or award additional funds, to make a competing or noncompeting continuation, renewal, extension, or supplemental award; or (4) voiding of a grant upon determination that the award was obtained fraudulently or was otherwise illegal or invalid from inception (34 CFR, Part 80.3).
Third Party In-Kind Contributions - The value of non-cash contributions provided by non-Federal third parties. Third party in-kind contributions may be in the form of real property, equipment, supplies and other expendable property, and the value of goods and services directly benefiting and specifically identifiable to the project or program.
Total Direct Costs (TDC) - The total of all direct costs of a project.
Total Project Costs - The total allowable costs (both direct costs and facilities and administrative costs) incurred by the grantee to carry out a grant-supported project or activity. Total project costs include costs charged to the grant and costs borne by the grantee to satisfy a matching or cost-sharing requirement.
Trading Partner Identification Number (TPIN) - An identification number The restricted access number assigned by CCR to the main CCR Point of Contact who manages information for the CCR registrant. A TPIN is obtained by any organization that may need it via an SSL connection over the Internet from the CCR.
Traditional Research Project Award (R01) - Supports discrete, specified, circumscribed projects to be performed by named investigators in areas representing their specific interest and competencies.
Training Awards - Awards designed to support the research training of scientists for careers in the biomedical and behavioral sciences, as well as help professional schools to establish, expand, or improve programs of continuing professional education. Training awards consist of institutional training grants (T) and individual fellowships (F). (Also Fellowship.) NIH Research Training Opportunities.
Travel - Travel costs include transportation, lodging and subsistence for grant personnel who travel on official business. Costs for travel that exceed normal coach airfare of federal per diem for the destination are not allowable.
Triage - See Streamlined review.
Type - See Application types.
Tuition - Cost of tuition remitted to a graduate or undergraduate student. Tuition is not subject to F&A.
Ultimate Consignee - The principal party in interest located abroad who receives the exported or re-exported items. The ultimate consignee is not a forwarding agent or other intermediary, but may be the end-user.
Unauthorized Commitment - The placing of an order, orally or in writing, for supplies or service by an agency employee who does not have a contracting officer warrant authorizing them to enter into a contract on the behalf of the agency. Unauthorized commitments also include orders placed by contracting officers which exceed their authorized dollar limit.
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.
Unobligated Balance - The portion of the funds authorized by an awarding agency that has not been obligated by the recipient and is determined by deducting the cumulative obligations from the cumulative funds authorized.
Unrestricted Funds - Monies 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.
Unscored - In the Center for Scientific Review peer review process, applications that are judged by a study section to be noncompetitive, that is generally in the lower half of the applications to be reviewed. These applications are not given a priority score, although they are reviewed and applicants receive a summary statement. Between FY 1992 and FY 1995 the term "Not Recommended for Further Consideration" (NRFC) referred to noncompetitive applications.
Unsettled Contract Change - Any pending contract change or contract term for which a modification is required, to include a change order that has not been negotiated, but has been effected.
Unsolicited Proposal - A written proposal that is submitted to an agency by an outside source offering to perform an agency's work more effectively or efficiently. The unsolicited proposal shall not be in response to a formal or informal request, unless it is an agency request constituting a publicized general statement of need.
Proposals submitted to a sponsor that are not in response to an RFP, RFA, or program announcement. (See also Investigator-Initiated Proposal.)
Unsolicited Research - See Investigator-Initiated research.
USA.gov – Formerly FirstGov, is the home page of the US Government's Official Web Portal for all government transactions, services, and information. The site features a topical index, online transactions, links to state and local government, options to contact the government, and other tools.
U.S. Person -(ITAR; 22 CFR § 120.15) an individual who is a citizen of the United States or a foreign national with a visa status of Legal Permanent Resident (LPR). An LPR is also known as a Permanent Resident Alien (PRA).
VAH - Veterans Administration Hospital
Value Engineering - An organized effort to analyze the functions of systems, equipment, facilities, services, and supplies for the purpose of achieving the essential functions at the lowest life-cycle cost consistent with required performance, reliability, quality, and safety.
Women-Owned Small Business - Companies which meet the definition of a small business (noted above), and are at least 51% owned by a woman or women who are U.S. citizens and who also control and operate the business. The preferred terminology for these businesses is Women Business Enterprises (WBEs).
Withholding of support - A decision by NIH not to make a noncompeting continuation award within the current competitive segment.