Administrative Requirements for Grants and Agreements with Institutions
of Higher Education, Hospitals, and Other Non-Profit
Organizations," an OMB circular covering the award of grants and
contracts, post-award requirements, and property standards.
"Audits of States, Local Governments, and Non-Profit
Organizations," an OMB circular setting standards for obtaining
consistency and uniformity among federal agencies for the audit of
recipients of federal awards.
Principles for Educational Institutions," an OMB circular
describing financial management procedures relevant to federal
agreements with academic institutions and represent the "Cost
Accounting Standards" for federal awards.
AAALAC. American Association for the
Accreditation of Lab Animal Care: an organization that
accredits research animal facilities.
Advance spending. Authorization to expend
funds on a project prior to receipt of the sponsor's notice of award,
e.g., to hire staff and purchase materials required to perform the
scope of work.
Agency. Synonym for "sponsor."
Allowable costs. Costs that may be charged to
a grant, such as salaries and equipment, that meet the requirements of
being reasonable, allocable to the project, and treated consistently at
the institution, and not excluded by Circular A-21.
Audit. A formal examination of an
organization's or individual's accounts, financial situation, or
compliance with applicable terms, laws, and regulations.
Authorized signature. Signature of the person
authorized to commit funds and facilities on grants and contracts.
AUTM. Association of University Technology
Managers. Its mission is "to promote, support and improve
academic technology transfer worldwide and demonstrate its benefits
globally through education, advocacy, networking and
Award. Funds provided by a sponsor to support
a particular project.
Bequest. An award given with few or no
conditions specified, for instance to establish an endowment or to
provide direct support for existing programs.
Broad Agency Announcement (BAA). An
announcement describing a federal agency's general research interest,
soliciting proposals, and specifying the criteria for selecting
Budget. The detailed estimate of the
expenditures to be made under a project's scope of work.
Budget category. A section of the budget that
includes a defined type of expenditure (e.g., salaries, fringe
benefits, travel, patient costs).
Budget justification. A description of the
individual cost elements that together comprise the budget and the
estimation methods used in costing the project.
Budget period. The interval of time into
which the project period is divided for budgetary and funding
purposes: generally one year.
CAS. See Cost Accounting Standards
for Disease Control and Prevention (DHHS)
of Federal Domestic Assistance, a listing of all programs available
to state and local governments, organizations, individuals, etc.
CFR. Code of Federal
Regulations: general and permanent rules established by the
Executive branch of the Federal Government.
Change order. A written order signed by the
contracting officer, modifying contract clauses or scope of work
without the consent of the contractor.
Research sponsored by the federal government involving restrictions on
the distribution or publication of the research findings or results
Close-out. Completion of internal procedures
and sponsor requirements to terminate or complete a research
Cognizant audit agency. The federal office
that is designated to perform audits for sponsored projects at a
university (at UVA, the Department of Health and Human Services
COGR. Council on Governmental Relations, an
association of colleges and universities that advise the government on
the impact of its regulations on their business practices.
Competing proposal. A proposal (1) submitted
for the first time, (2) that was unfunded but is being re-submitted, or
(3) for an ongoing project after the term of the original award
Compliances and certifications. Federal and
state rules and requirements concerning the responsible handling of
research involving human subjects, vertebrate animal care, and
hazardous substances, as well as other legal issues (such as conflict
of interest, drug-free workplace, etc.). Administrative officers of an
institution must regularly certify, by their signature, compliance with
these rules and regulations; individual investigators must comply with
institutional requirements and must sign to that effect on the proposal
Confidentiality agreement. A legal agreement
preventing one or both party from disclosing confidential information
belonging to the other party. Also called a nondisclosure
Conflict of commitment. Any situation in
which non-university activities are sufficiently demanding of time and
attention that they interfere with assigned duties or with
responsibilities to students or the university.
Conflict of interest. Situations in which
employees use their positions for purposes that are, or give the
appearance of being, motivated by a desire for private gain for
themselves or others, such as those with whom they have family,
business or other ties.
Consideration. Anything of value that changes
hands between the parties of contract.
Consortium agreement. A document formalizing
the terms and conditions under which a group of collaborative
investigators (i.e., a consortium) at different institutions
collaborate on a project.
Consultant. An individual whose expertise is
required by the PI to perform the research project. Consultant may be a
paid or unpaid.
Continuation project (non-competing). A
subsequent award on a project after the previous budget period has
expired, on multi-year projects. These do not compete with other
proposals: rather, satisfactory progress is assessed in
determining whether to provide the next period's funding.
Contract. Agreement to provide services that
primarily benefit the sponsor. For an award to be considered a
contract, it normally must contain all of the following: detailed
financial and legal requirements; specific statement of work to be
performed; deliverables and/or reports required by the sponsor;
accounting procedures to be followed; legally binding contract
Contract/grant officer. A sponsor's designee
who is responsible for the business management aspects of an
award. In general, this individual works with the project
Cooperative Agreement. An award involving
greater agency involvement than a grant, during proposal preparation or
in carrying out the scope of work.
Co-Principal Investigator (Co-PI). An
investigator sharing responsibility for the direction of a research
program. PHS/NIH does not recognize the concept of co-principal
investigator, but does recognize multiple-PI projects.
Copyright. A government grant of exclusivity
in reproduction and sale of creative (e.g., literary, artistic,
computer programs) inventions.
Cost Accounting Standards (CAS). Federally
mandated accounting standards intended to ensure uniformity in
budgeting and spending funds.
Cost-reimbursement contract/grant. A contract
or grant for which the sponsor reimburses the actual allowable costs
incurred during the conduct of the work.
Cost-sharing. University and nonfederal
sponsor resources provided in support of sponsored programs; includes
contributed effort and matching funds. Cost-sharing contributions
must meet the following criteria: verifiability in University
records; contributions are allowable, allocable, reasonable, and
necessary to accomplish the scope of work; shared costs are not also
used for other projects; and shared costs are identifiable in the
proposal budget or justification.
Cover sheet. The first page of a proposal,
often in a format supplied by an agency, showing summary data on the
proposal and PI, plus all required compliance check-offs
CRADA or CRDA. Cooperative Research and
Development Agreement. A document allowing government
investigators to collaborate with non-government scientists on common
CSR. Center for Scientific Review (National
Institutes of Health).
DARPA. Defense Advanced Research Projects
Agency, the central R&D arm of the Department of Defense.
Data. Recorded information, regardless of
form or characteristic, describing the design or resulting from a
Defense Acquisition Regulations (DAR). The
regulations governing research projects sponsored by the Department of
Deficit. Expenditures exceeding available
Deliverable. Items to be delivered to the
sponsor, generally as required by contracts. These might include
technical reports, reagents, computer programs, etc.
DFARS. Defense Federal Acquisition Regulation
DHHS. Department of Health and Human
Direct costs. Costs that are identified
specifically with a sponsored project, such as salaries/fringe
benefits, supplies, equipment, etc.
DOD. Department of Defense (includes Air
Force, Army, ARPA, and Navy)
Donation. Transfer of equipment, money,
goods, services, and property, much like a gift except often with more
specific intent than the latter.
DRG. Division of Research Grants (National
Institutes of Health)
Extramural Invention Information Management System (for reporting of
inventions created under federal funding)
Effort. The amount of time (usually a percent
of total professional effort) that individual expends on a project.
Effort report. Periodic
report of the time (as a percent of total) expended by an employee on
sponsored projects and other professional activities. The
employee must sign the effort report, as required by law.
Effort, contributed. Effort expended on a
sponsored project that the sponsor does not compensate for; a form of
Encumbrance. Funds set aside for a projected
expense prior to their actual expenditure.
Endowment. An income-generating fund usually
provided as a gift in order to generate long-term support for faculty
positions or research activities.
Equipment. Property having a useful life of
more than one year and an acquisition cost of more than $5,000 per unit
on federal grants (exclusive of taxes and shipping).
Equipment, general purpose. Equipment that
can be utilized for activities other than the specific scope of work
supported by a grant or contract (e.g., office equipment and furniture,
computers, and photocopiers).
Equipment, government-furnished, Equipment
provided to the university by the federal government or a government
contractor; title may or may not remain with the government.
Equipment, special purpose. Equipment that
can be utilized only for research, medical, scientific, or technical
Expanded authorities. A policy of some
federal granting agencies, which delegate prior approval authorities to
Expiration date. The end of the performance
period for a sponsored award.
Extension. A delay of the expiration date by
the sponsor to the awardee in order to complete the scope of
work. These generally are no-cost (no additional funds provided
by the sponsor).
Facilities and Administrative (F&A)
costs. Also referred to as indirect costs, overhead, or
administrative costs. These are incurred to conduct normal business
activities of the organization receiving support that cannot be readily
identified or directly charged to a particular project or activity
(e.g., library, depreciation of facilities, heat).
Federal Acquisition Regulations (FAR). The
policies and procedures for acquisition by federal executive
FDA. Food and Drug Administration
FDP. A cooperative effort among several 10
federal agencies to reduce the administrative burdens associated with
research grants and contracts.
Federal Commons. An on-line grants management
system offering grants processing to awardees. Includes funding
opportunities, proposal submission, and award management modules.
Fellowship. An award directly to an
individual rather than an institution.
FIC. Fogarty International Center (NIH)
Final report. The technical or financial
report required by the sponsor to complete a research project.
Fiscal Year (FY). The period for which annual
accounts are kept (UVA: July 1 through June 30; federal
government: October 1 through September 30).
Fixed-price contract/grant. A contract or
grant for which payment is based on a predetermined price, regardless
of actual costs.
FOIA. Freedom of Information Act
Fringe benefits. Employee benefits paid by
the employer. (e.g., FICA, workers' compensation, medical
insurance). UVA has a negotiated fringe benefits rate with the
Funding cycle. Periodic deadlines and review
and award dates, which may occur either cyclically or throughout the
GCP. Good Clinical Practices.
Gift. Awards given with no restrictions
specified. Gifts allow the recipient can manage their use, are not
associated with deliverables, and are not overseen by the donor.
GLP. Good Laboratory Practices.
GMP. Good Manufacturing Practices.
Goldenrod. UVA's internal proposal routing
form documenting PI assurances and institutional approval.
Governing law. UVA, as a Virginia state
agency, cannot accept a contract governed by the laws of another state
or other jurisdiction: contracts must be governed by the laws of
the Commonwealth of Virginia or silent on the governing law.
Grant. A type of financial assistance awarded
to an organization for the conduct of research or other program as
specified in an approved proposal. A grant, as opposed to a cooperative
agreement, is used whenever the agency anticipates no substantial
programmatic involvement during the performance of the activities.
Grant/Contract Officer. A sponsor's designee
who is responsible for the business management aspects of an
award. In general, this individual works with the project
Grantee. The recipient of a grant.
GSA. General Services Administration
IACUC (Animal Care and Use Committee). An
institutional committee that reviews and approves the use of
animal subjects in all research projects. It also oversees
institutional animal facilities.
IBC. Institutional Biosafety Committee
IDC. Indirect Costs (= F&A costs)
Incremental funding. A method of funding
contracts that by the agency provides specific spending limits below
the total estimated cost of the project. These interim limits may be
exceeded at the contractor's own risk.
Indemnification. An agreement to hold
harmless the other party in a contract, from legal actions or claims
for damages. State agencies such as UVA cannot indemnify other parties,
but can offer insurance clauses.
Indirect cost rate. The rate established by
negotiation with the cognizant federal agency (DHHS for UVA) on the
basis of the institution's projected costs for the year and distributed
as prescribed in OMB Circular A-21. Various rates exist for
sponsored research, service, other projects, and on- vs. off-site
Indirect costs. Also referred to as
facilities and administrative costs, overhead, or administrative costs.
These are incurred to conduct normal business activities of the
organization receiving support that cannot be readily identified or
directly charged to a particular project or activity (e.g., library,
depreciation of facilities, heating).
In-kind. Contributions other than money, such
as equipment, materials, or services of recognized value.
Institutional Authorized Official. An
individuals authorized by the Board of Regents to sign grants,
contracts, and agreements on behalf of The University of Virginia.
Intellectual property (IP). Creations of the
mind that include inventions, know-how, copyrightable works, or
creative or artistic works. Intellectual property may be protected
legally via patents, copyrights, and so on, or protected as trade
Invention. A process, machine, manufacture,
composition of matter, or design, or any new or useful improvement
thereof, and any variety of plant which is or may be patentable under
the laws of the United States or any other country.
Investigator-initiated proposal. A submitted
proposal that is not in response to an RFP or RFA.
Intergovernmental Personnel Agreement (IPA).
A mechanism by which state employees may be assigned to work for a
federal agency, or vice-versa, while remaining on the payroll of the
"home" agency. Often used for a temporary assignment of a faculty
member to a federal agency, with the faculty retaining his/her
IRB. Institutional Review Board (charged with
ethical review and oversight of human subjects research).
Key personnel. The personnel considered to be
of primary importance to the successful conduct of a research project.
The term usually refers to doctoral-level contributors, but may also
include other individuals with specialized expertise. In
contracts, replacement of key personnel may require approval of the
Letter of intent. A document advising a
funding agency that an application will be submitted in response to a
specific solicitation. These letters often are used to guide the
creation of a peer review committee.
Limitation of cost (LOC). A mandatory clause
for cost-reimbursement type contracts stating that the sponsor is not
obligated to reimburse the contractor for costs in excess of the stated
amount. Similarly, the contractor is not obligated to continue
performance once expenses reach the stated amount.
Line item budget. A budget that lists the
cost of individual project personnel and itemizes the costs for all
other budgeted categories such as travel, supplies, equipment, etc.
Also known as a detailed budget.
Lobbying certification. An assurance that no
federal funds have been used to influence federal officials in the
award of a grant or contract.
Matching funds. Funds obligated by the
institution that are required by the granting or contracting
Matching grant. A grant requiring that a
portion of the cost be obtained from other sources.
Materials transfer agreement. A legally
binding document in which one party releases a proprietary reagent,
organism, or other item to another party for the purposes of research.
It defines the field of use by the recipient and describes the
intellectual property rights of sending and receiving parties.
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.
Modification. A document changing an existing
award, such as approvals to carry over funds among project periods,
changes in funding levels or in key personnel, etc.
Modified Total Direct Costs (MTDC). For
federal awards, these are a subset of direct costs, normally excluding
equipment, patient care, space rental, alterations and renovations, and
subcontract costs in excess of the first $25,000. These are the
base on which F&A (indirect) costs are calculated.
NACUBO. National Association of College and
University Business Officers
NASA. National Aeronautics and Space
NCI. National Cancer Institute (NIH)
NCRR. National Center for
Research Resources (NIH)
NCURA. National Council of University
NEI. National Eye Institute (NIH)
New award. A grant, cooperative agreement, or
contract that had not previously been awarded.
New proposal. Proposals that are submitted to
a particular sponsor for the first time.
NHGRI. National Human Genome Research
NHLBI. National Heart, Lung, and Blood
NIA. National Institute on Aging (NIH)
NIAAA. National Institute on Alcohol Abuse
and Alcoholism (NIH)
NIAID. National Institute of Allergy and
Infectious Diseases (NIH)
NIAMS. National Institute of Arthritis and
Musculoskeletal and Skin Diseases (NIH)
NICHD. National Institute of Child Health and
Human Development (NIH)
NIDA. National Institute on Drug Abuse
NIDCD. National Institute on Deafness and
other Communication Disorders (NIH)
NIDDK. National Institute of Diabetes and
Digestive and Kidney Diseases (NIH)
NIDR. National Institute of Dental Research
NIEHS. National Institute of Environmental
Health Sciences (NIH)
NIGMS. National Institute of General Medical
NIH. National Institutes of Health
NIMH. National Institute of Mental Health
NINDS. National Institute of Neurological
Disorders and Stroke (NIH)
NINR. National Institute for Nursing Research
NLM. National Library of Medicine
No-cost extension. An extension of the period
of performance beyond the expiration data to accomplish the scope of
work. By definition, no additional costs are provided.
Non-competing continuation. A report on
project progress that requests continuation funding for the next
portion of the project period.
Non-compliance. Failure to adhere to
applicable regulations, policies, procedures or special conditions
related to the conduct of research. These might include unapproved
changes in project work scope, use of animals without IACUC approval,
and breaches of clinical protocol methodology.
Nondisclosure agreement. A legal agreement
preventing one or both party from disclosing confidential information
belonging to the other party. Also called a confidentiality
Notice of grant award. Also called "Notice of
award." The legally binding document that serves as a
notification to the recipient that a grant or cooperative agreement has
been made. The document lists or references the terms of the
award and obligates sponsor funds.
NSF. National Science Foundation
Off-campus. Sponsored activities, less than
50% of which are conducted on university property or which charge rent
to the project as a direct cost.
OHRP. Office for Human Research Protections
(DHHS). This unit oversees DHHS Regulations for the Protection of
Human Subjects (45 CFR 46), and offers guidance on ethical issues in
biomedical and behavioral research.
OMB. Office of Management and Budget.
OMB establishes government grants management policies and guidelines
through circulars and common rules.
OMB circulars. See A-21, A-110, and A-133
On-campus (also on-site). Sponsored
activities conducted on university property. In general, when
over 50% of such activity takes place within the University, the
on-campus F&A rate will be applied to the project.
ONR. Office of Naval Research
ORI. Office of Research Integrity (in
DHHS). This office promotes research integrity in projects
supported by the PHS, monitors institutional investigations of research
misconduct, and facilitates the responsible conduct of research (RCR)
through educational, preventive, and regulatory activities.
Patent. A government grant of the right to
stop others from making, using, offering for sale, or selling an
Patent infringement. Violation of the rights
covered by a patent.
Patent prosecution. Filing
of a patent application and the subsequent actions required in order to
obtain a granted patent and the maintenance thereof after the
Peer review. A process by which committees of
researchers from several institutions review and recommend applications
to the funding agency.
Per diem. A daily allowance paid to personnel
working on a sponsored project to cover meals and lodging while
PHS. Public Health Service
PHS 2590. Application for Continuation of a
PHS Grant (National Institutes of Health )
PHS 398. Application Form for a PHS Grant
(NIH, in the process of being replaced by the SF 424).
PRDA. Program Research and Development
Announcement: a competitive solicitation for research,
development, and related projects in a specified area of interest.
Pre-proposal. A preliminary proposal of a
research project and its estimated budget. Successful PIs are
asked by the sponsor to submit full proposals.
Principal Investigator (PI). The individual
responsible for the conduct of research or other activity described in
a proposal for an award. The PI has primary responsibility for
technical compliance, completion of programmatic work, and fiscal
stewardship of sponsor funds.
Prior approval. The requirement for written
sponsor permission for changes in the scope of work, key personnel, use
of funds for a project, etc., beyond the original
Priority score. A numerical value
representing the rating given a proposal by a review committee. Grants
are ordered on the basis of their priority scores in order for funding
decisions to be made.
Program Announcement. Notification of a
research opportunity that will be available for several years.
Renewed in 3 years at NIH.
Program income. Gross income earned by the
recipient for activities supported by an award.
Program/Project Officer. A sponsor's
technical officially overseeing an award. This person works with
the Principal Investigator of the awardee and with the sponsor's
grant/contract officer in overseeing the project.
Progress report. A periodic summary of
research progress required by the sponsor.
Project period. The total time for which
support of a project has been approved by the sponsor.
Proposal. An application for funding
including the technical description of the project, personnel,
available resources, and funds requested.
Proprietary research. Sponsored research
involving restrictions placed by the sponsor on the distribution or
publication of the research findings.
Rebudget. The movement of funds from one
budget category to another. May require approval of the sponsor's
Regulations. The contractual rules and
procedures governing sponsored research projects.
Renewal. A competitively reviewed grant and
cooperative agreement proposal requesting additional funds extending
the scope of work and project period.
Representations and certifications (Reps &
Certs). Statements of policies, practices, and
commitments (e.g., conflict of interest, misconduct in science,
debarment/suspension, delinquent federal debt, drug-free workplace,
assurances on lobbying) which must be signed as part of some proposals,
and especially for federal contract proposals.
Request for Applications (RFA). Focused
programmatic announcement of a grant opportunity, for a topic of
specific interest to a sponsor. Usually a one-time solicitation,
as opposed to a program announcement.
Request for Proposal (RFP). Announcement of a
contract opportunity that specifies the anticipated area of research,
methods to be used, deliverables, and characteristics of allowable
applicants (e.g., small business concerns).
Research. Systematic investigation aimed at
the discovery, interpretation, or revision of facts or accepted
theories or to make practical applications with the help of such
Research, applied. The systemic, intensive
study directed toward producing results that are applicable to a
Research, basic. A systemic, intensive study
designed to increase the body of knowledge in a particular field,
rather than to develop specific, practical applications.
Responsible conduct of research. As described
by the DHHS Office of Research Integrity, this is comprised of the
following components: honest in conveying information and keeping
commitments; accuracy and precision in reporting findings; using
resources wisely; avoiding improper bias.
Revised proposal. A modified request for
funding for a project that previously was not funded by the
SBIR. Small Business Innovative Research
Scope of work. The description of the work to
be performed on a research project.
SF 424. Standard Form
Site visit. An agency-initiated review of a
proposed project conducted at the applicant's institution.
Small Business Innovative Research (SBIR). A
program under which a federal agency provides funds to small
Small Business Technology Transfer (STTR). A
federal program providing funds to small businesses that are "teamed"
with research institutions.
Sole source acquisition. A procurement that
does not provide full and open competition, but rather because one
source is available.
Sponsor. The organization or agency funding
Sponsored project. A research, training, or
service activity supported by an external agency by means of a grant or
Sponsored research. Research supported by
outside sources that is conducted by University employees using any
University space or facilities.
SRA. Society of Research Administrators
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. Such individuals are not University employees
but are covered by University policies and regulations.
Subcontract, subgrant, or subagreement. A
contract issued under a prime contract, agreement, purchase order, or
grant for the procurement of services or program-related tasks over
$10,000. Subcontracts must be consistent with the terms and
conditions of the master award, transferring a portion of the research
or substantive effort of the prime award to another institution or
Supplemental proposal. A request to the
sponsor for additional funds for an existing project: may result,
for example, from increased costs or changes in project design.
Task order. A contractual document
authorizing work and appropriating funds in a supplement to an existing
contract or master agreement.
Teaming agreement. An agreement between two
or more parties to participate in a research teaching activity.
Terms of award. Requirements imposed by the
sponsor on the recipient by policy, statute, or regulations.
Total Direct Costs (TDC). The total of all
direct costs of a project.
Total project costs. Also known as total
costs. The allowable direct and indirect costs to carry out an
Unallowable costs. Specific expenditures that
cannot be charged, directly or indirectly, to federally sponsored
Unrestricted funds. Monies with no
requirements as to their use or disposition. Gifts represent such
Unsolicited proposal. Proposals submitted to
a sponsor that are not in response to an RFP or RFA. (See also