Policies & Compliance
- Research Conduct
- Research Security
- Research Handbook
- 1. Roles & Responsibilities
- 2. Standards for Conduct of Research
- 3. Overview of Sponsored Projects Administration
- 4. Funding Sources & Opportunities
- 5. Proposal Development
- 6. Budget Development
- 7. Procedures for the Submission of Proposals
- 8. Award Acceptance
- 9. Award Management
- 10. Research Related Regulations, Policies & Procedures
- 11. Other Conduct of Research Issues
- 12. Acronyms & Definitions
- 13. Glossary
- Procedure Library
- Regulations Library
Glossary
This Glossary contains short concise definitions of common terms in Research Administration. They should not be taken as complete or all encompassing. The terms may have a link to the Research Handbook or other areas with more detailed definitions and concepts.
A-21 Functional Categories
A-21 codes are three-digit values assigned as attributes to Activities which reflect
the function or purpose of the expense. These codes are often reported in the Activity
Description, and they are required for all University expense transactions.
Administrative Salaries
Salaries for non-technical supporting services that generally benefit departmental,
institute, or center activities or objectives, including functions such as clerical
support, financial management, procurement of materials and services, budget and planning,
and personnel management. Administrative salaries should be included as direct cost
on federal awards only when they meet the following criteria: Administrative or clerical
services are integral to a project or activity; An individual or specific role can
be specifically identified with the project or activity; and Such costs are explicitly
included in the budget or have the prior written approval of the federal awarding
agency. See Policy on Administrative and Clerical Salaries on Federal Awards for more
information.
Allocable Costs
Those allowable costs that actually benefit the grant or contract to which they are
being charged.
Allowability
One of the four basic cost principles that must be met in deciding whether a particular
expenditure is appropriate as a direct or indirect cost to a federal award, as defined
in 2 CFR §200, Uniform Guidance. In order to determine if a charge is allowable, both
federal regulations and the terms of a specific award must allow for the purchase
of such an item or service. Allowable direct charges to sponsored (federal and non-federal)
awards must comply with both UofU policies and the terms/conditions of the award.
Application
A request for financial support of a project/activity submitted to a sponsoring agency.
Appropriation
The amount of funds authorized by Congress allowing federal agencies to make awards.
Assistance Agreement (see Grant)
Assurances
Statements concerning institution or organization compliance with Civil Rights, Title
IX, Human Subjects, etc.
Audit
A formal examination of an organization's or individual's accounts or financial situation.
An audit may also include examination of compliance with applicable terms, laws, and
regulations.
Authorization
Congressional legislation establishing a specific program.
Authorized Signature
Signature of person legally responsible for making agreements on behalf of an organization;
must appear on an application before it can be considered an official request; implies
that if an award is accepted, the responsibility for its proper administration is
assured.
Award
The provision of funds, based on an approved application or proposal and budget, to
an organizational entity or an individual to carry out an activity or project.
Bayh-Dole Act
United States legislation which gives U.S. universities, non-profit research institutions,
and small businesses intellectual property control of their inventions and other intellectual
property resulting from federally-funded research programs.
Block Grant
Lump sum of money given to a state or local governing agency based on a formula to
be spent in generally eligible areas. Purposes are broadly defined and few restrictions
are mandated from the funding source. Restrictions can be imposed by the re-granting
agency.
Budget
Estimated cost of conducting the proposed project, consisting of direct/indirect costs,
matching contribution (cost sharing), and justification.
Budget Justification (Budget Explanation)
A clarification of the budget; explains how dollar amounts were determined; not a
rationale for the amounts requested.
Budget Negotiation
Discussion between submitting organization and funding source prior to the time an
award is made; often involves modification of a budget request; initiated by the funding
source; often results in a budget reduction.
Budget Period
The interval of time - usually twelve months - into which the project period is divided
for budgetary and funding purposes.
Carry-over or Carry-forward
Unexpended award funds on grants and contracts that are moved to the next funding
period (usually a year) where the agency (sponsor) allows the carryover of unexpended
funds.
Catalog of Federal Domestic Assistance (CFDA)
The unique number assigned to each funding opportunity in the Catalog of Federal Domestic
Assistance Programs (CFDA). The number is comprised of a two-digit prefix that identifies
the federal agency followed by a period, and a three-digit number that identifies
the specific program (e.g., 84.011). Some programs are subdivided into smaller, free-standing
programs by affixing an alphabetic letter to the end of the standard CFDA Number.
The CFDA Number is required to be included on all subawards, and on some federal grant
application packages and can be found on sponsor notices or funding announcements.
CFDA Numbers are needed to properly report funding on the institution’s SEFA (Schedule
of Federal Expenditures).
Categorical Grant
Usually awarded to state or local governments for broad expenditures; somewhat more
restricted than for a block grant.
Clinical Investigations (also known as Clinical Study or Clinical Trial)
A scientific treatment plan or study outline for using an experimental procedure or
a new treatment to see how it works in people.
Close Out
The act of completing all internal procedures and sponsor requirements to terminate
or complete a research project.
Cognizant Agency for Audit
A non-Federal entity expending more than $50 million a year in Federal awards must
have a cognizant agency for audit. The designated cognizant agency for audit must
be the Federal awarding agency that provides the predominant amount of direct funding
to a non-Federal entity unless Office of Management and Budget (OMB) designates a
specific cognizant agency for audit (2 CFR §200.513). Because UofU’s primary source
of federal support comes from the National Institutes of Health (“NIH”), the cognizant
agency is the Department of Health and Human Services (“DHHS”).
Competing-Continuation
The extension of an actively funded project; based on an application made in the same
manner as a new application; competes with new requests.
Conflict of Interest
A conflict of interest occurs when an individual's relationships and/or activities
outside the University -- such as outside appointments, consulting engagements, or
financial investments -- could compromise their judgment on work within the University
or call their judgment into question because of real or perceived personal gain. UofU
requires all outside activities and interests related to an individual’s research
to be disclosed.
Consultant
A participant, usually external to the University, whose participation does not require
a sub-award or subcontract, and who is paid via a personal service agreement.
Contract
A legal document specifying work, scope, budget and time of performance; usually results
in a tangible product.
Contract/Grant Officer
A sponsor's designated individual who is officially responsible for the business management
aspects of a particular grant, cooperative agreement, or contract. Serving as the
counterpart to the business officer of the grantee/contractor organization, the grant/contract
officer is responsible for all business management matters associated with the review,
negotiation, award, and administration of a grant or contract and interprets the associated
administration policies, regulations, and provisions. (For definition of scientific
officer, see Program/Project Officer.)
Contractor (Vendor)
Contractor means an entity that receives a contract. A contract is a legal instrument
by which a non-federal entity purchases property or services needed to carry out the
project or program under a federal award. (Uniform Guidance §200.1 Definitions)
Contracting Officers' Technical Representatives (COTR's)
Sponsors contracting officers appoint individuals selected by program offices to act
as authorized representatives in the monitoring and administration of a contract.
Also see Program Officer.
Consistency
One of the four basic cost principles that must be met in deciding whether a particular
expenditure is appropriate as a direct cost to a federal award, as defined in 2 CFR
§200, Uniform Guidance. Costs incurred for the same purpose and in like circumstances
must be treated uniformly either as direct costs or as indirect (facilities and administrative
or F&A) costs. For example, since certain costs, such as administrative salaries and
office supplies, are normally treated as F&A costs, these costs cannot be charged
directly to federal awards unless the circumstances of an award are clearly different
from the normal operations of department/unit.
Cooperative Agreement
An award similar to a grant, but in which the sponsor's staff may be actively involved
in proposal preparation, and anticipates having substantial involvement in research
activities once the award has been made.
Copyright
A form of protection provided by the laws of the United States (title 17, U.S. Code)
to the authors of "original works of authorship," including literary, dramatic, musical,
artistic, and certain other intellectual works.
Cost Accounting Standards (CAS)
Federally mandated accounting standards intended to ensure uniformity in budgeting
and spending funds.
Cost-Reimbursement Type Contract/Grant
A contract/grant for which the sponsor pays for the full costs incurred in the conduct
of the work up to an agreed-upon amount.
Cost Sharing
Financial contribution by the grantee; typically less than one third of the total
cost; more common to research grants; a form of matching.
Data (see Research Data)
Data Rights
Maintaining ownership and stewardship of the scientific data and records for research
projects. In the case of federal contracts/grants, refer to FAR Clause Subpart 27.4-Rights
in Data and Copyrights, in which it prescribes policies, procedures, and contract
clauses pertaining to patents and directs agencies to develop coverage for Rights
in Data and Copyrights.
Debarment
An action taken by a debarring official in accordance with the regulations to exclude
a person from participating in covered transactions. A person so excluded is debarred.
Demonstration Grant
An award that allows a grantee to create a working model; usually meant to be reproduced
by others.
Direct Costs
Expenses directly associated with carrying out the sponsored project. Included, but
not limited to, salaries and fringe benefits, travel, equipment, supplies, printing
costs, etc.
Disallowance or Disallowed Costs
Charges to a Federal award that the Federal awarding agency or pass-through entity
determines to be unallowable, in accordance with the applicable Federal statutes,
regulations, and/or the terms and conditions of the Federal award. (2 CFR §200.31).
Non-federal awards may have disallowed costs if the sponsored determines the costs
are unallowable based on sponsor policies or the terms and conditions of the award.
Charges may also be disallowed based on institutional policies.
Discretionary Grant
An award made in accordance with legislation allowing the funding source to exercise
reasonable freedom in selecting the project, the grantee, and determining the amount
of the award.
Document Summary Sheet (DSS)
An internal routing form for institutional approval for submitting proposals (U of
U).
Effective Date
Date award is made; allowable project costs may not be charged to the project until
this date.
Electronic Research Administration (ERA)
Conducting research administration by utilizing electronic resources such as the internet,
the world wide web, form templates, databases, and other electronic tools.
Electronic Data Interchange (EDI)
The computer-application-to-computer-application exchange of business information
in a standard electronic format. Translation software aids in the exchange by converting
data extracted from the application database into standard EDI format for transmission
to one or more trading partners.
Electronic Funds Transfer (EFT)
The transfer of funds from one account to another electronically usually through an
EFT software program run on a computer.
Encumbrances
Obligations in the form of purchase orders, contracts, or salary commitments which
are chargeable to an award and for which a part of the awarded amount is reserved.
They cease to be encumbrances when paid.
Equipment
Tangible assets over $5,000 acquired through donation, gift, purchase, capital lease,
or self construction with a life expectancy of more than one year.
Expanded Authorities
The operating authorities provided to grantees under certain research grant mechanisms
that waive the requirement for agency approval for specified actions.
Expiration Date (Termination Date)
Last date of a project; no charges may be made to a project after this date; see Duration
Dates and Grant Period.
Export Controls
Federal laws and regulations that restrict the unlicensed flow of certain materials,
devices, and technical information related to such devices outside the United States
or to foreign persons in the United States. These laws include, but are not limited
to: the International Traffic in Arms Regulations (ITAR), which are administered by
the U.S. Department of State control defense-related items; the Export Administration
Regulations (EAR), which are administered by the U.S. Department of Commerce and control
“dual-use” technologies; and regulations promulgated by the Office of Foreign Asset
Controls (OFAC), a division of the U.S. Department of Treasury that administers and
enforces economic embargoes and trade sanctions based on U.S. foreign policy and national
security goals against targeted foreign countries, terrorists, international narcotics
traffickers, and those engaged in activities related to the proliferation of weapons
of mass destruction. See Provost Export Controls Policies and Procedures.
Facility and Administration (F&A) Costs (also known as indirect costs)
The overhead expenses indirectly associated with the sponsored project. Included are
administrative expenses, utilities, physical plant maintenance, library facilities,
etc.
False Claims Act
Covers fraud involving any federally funded contract or program, with the exception
of tax fraud.
False Statement Act
Covers any false, fictitious or fraudulent statements or representations in any matter
within the jurisdiction of any department or agency of the United States.
Federal Acquisition Regulations (FAR)
A set of regulations and procedures governing the acquisition or contracting actions
of all federal agencies. All federal contracts are subject to the FAR, whereas federal
grants or cooperative agreements are subject to 2 CFR §200. To find out if your award
is subject to FAR, consult the funding opportunity announcement (FOA), notice of award
(NOA), or the Funding Instrument in the project's GMAS segment.
Federal Demonstration Partnership
A large consortium of universities, nonprofits, federal agencies, and affiliate organizations
that works with the OMB (Office of Management and Budget) to streamline the administration
of federal sponsored awards. Expanded Authority is an example of a simplification
that all institutions have been allowed to use after a successful demonstration by
an FDP pilot project.
Federal Flow Through Funds
When the initial source of funds for a project is directly attributable to the federal
government through a grant or contract to a non-federal sponsor and the funds are
received by the University from the non-federal sponsor. Federal flow through funds
gain the identity of federal funds upon receipt of an award to the University and
federal rules apply to the receipt, spending and accounting of the funds unless expressly
exempted by the federal agency initially making the award.
Federal wide Assurance (FWA)
The University’s agreement with the Department of Health and Human Services (DHHS)
regarding our obligations to review and approve the use of human subjects in research
in compliance with DHHS policies. See the Quick Reference.
Fellowship
An award made directly to an individual in support of specific educational pursuits;
recipients may be subject to service and/or payback requirements after the fellowship
terminates.
Fiscal Compliance
Assurance that funds are appropriately spent and that the work is completed and at
the highest standards.
Fixed-Price (FP) Type Contract/Grant
A contract/grant for which one party pays the other party a predetermined price, regardless
of actual costs, for services rendered. Quite often this is a fee-for-service agreement.
Foreign National
Any person who is a citizen of a foreign country (i.e., is not a U.S. citizen, U.S.
lawful permanent resident, or a person granted asylum or refugee status). This term
also includes any foreign corporation, business association, partnership, trust, society,
or any other group not incorporated or organized to do business in the United States,
and any international organization, foreign government, or diplomatic entity. Certain
sponsors, including the Department of Defense, Department of Energy, and NASA, may
require prior review of foreign nationals participating in the funded research.
Freedom of Information Act (FOIA)
A federal statute that allows any person the right to obtain federal agency records
unless the records (or part of the records) are protected from disclosure by any of
the nine exemptions contained in the law.
Fringe Benefits
Employee-associated costs such as health plan expenses, pension plan expenses and
workman's compensation expenses, among others, expressed as a rate by employee class.
Sponsors will reimburse us for fringe benefit costs, expressed as a percentage of
total salaries. As salaries and fringe benefits can represent the largest component
of cost on a given project, the University negotiates its fringe benefits rates with
the federal government on an annual basis.
Full Time Equivalent (FTE) (also see Percent of Effort)
The percentage of full-time employment. For hourly paid personnel, the FTE is used
in the generation of time reports to calculate the number of hours to assign on the
report. For salaried personnel, it is not used for hours calculation but rather just
to show a general distribution of time and effort that equates to the distribution
of cost.
Fundamental Research
Basic and applied research in science and engineering, the results of which ordinarily
are published and shared broadly within the scientific community, as distinguished
from proprietary research and from industrial development, design, production, and
product utilization; the results of which ordinarily are restricted for proprietary
or national security reasons. (National Security Decision Directive 189)
Gift
Gifts and bequests are awards given with few or no conditions specified. Gifts may
be provided to establish an endowment or to provide direct support for existing programs.
Frequently, gifts are used to support developing programs for which other funding
is not available. The unique flexibility, or lack of restrictions, makes gifts attractive
sources of support.
Goals
General statements of anticipated project outcomes; usually, more global in scope
than objectives and not expected to be measurable; if used, goals should be supported
by well-stated objectives.
Government Records Access and Management Act (GRAMA)
It sets forth guidelines for classifying information in (Utah) government records
based upon who has the right to access that information.
Grant
Award of financial or other assistance which does not hold the grantee to a rigid
work plan; more flexible than a contract; grantee or grantee's client is usually the
beneficiary.
Grant Period
The period between "effective date" and "expiration date", during which time items
may be charged against the grant or contract.
Grant/Contract Officer
A sponsor's designated individual who is officially responsible for the business management
aspects of a particular grant, cooperative agreement, or contract. Serving as the
counterpart to the business officer of the grantee/contractor organization, the grant/contract
officer is responsible for all business management matters associated with the review,
negotiation, award, and administration of a grant or contract and interprets the associated
administration policies regulations, and provisions (For definition of scientific
officer, see Program/Project Officer.)
Improper Payments
Any payment that should not have been made or that was made in an incorrect amount
(including overpayments and underpayments). (2 CFR §200.53)
Indirect Costs (see also F&A)
The overhead expenses indirectly associated with the sponsored project. Included are
administrative expenses, utilities, physical plant maintenance, library facilities,
etc.
In-Kind Contribution
A service or item donated in lieu of dollars to the operation of a funded project;
usually given by the grantee or a third party; (e.g., donated equipment or guest speaker's
time); should be referenced in budget as a real direct project cost but designated
as in-kind; must be auditable with letter of agreement as a minimum paper trail.
Institutional Animal Care and Use Committee (IACUC)
The committee responsible for reviewing, approving, and ensuring compliance with all
activities involving the use of animals in federally-funded research. At UofU, the
review requirement extends to all animal research, regardless of source of funding.
Intergovernmental Personnel Act (IPA)
Temporary assignments of personnel between governmental agencies and other qualified
institutions under the Intergovernmental Personnel Act (IPA) Mobility Program when
the assignment is for work of mutual concern and benefit.
Institutional Animal Care and Use Committee (IACUC)
Monitors care and use of animals in laboratory and research programs of a organization
to assure that animals are treated humanely in accordance with applicable laws and
regulations.
Institutional Review Board (IRB) for Research with Human Subjects
Reviews all proposed research projects that involve human subjects to assure that
the rights of such subjects are protected, that adequate and informed consent for
their participation is obtained, and that any possible benefits of the research are
commensurate with the risks involved.
Intellectual Property
Potentially legally protectable knowledge, technology, ideas, and information often
resulting from performance of sponsored activity.
International Traffic in Arms Regulations (ITAR)
The body of U.S. law governing export of articles, services, and related technical
data that are inherently military in nature (including technology related to space
and space exploration), as determined by the U.S. State Department.
International Travel
Travel outside of the U.S. for any purpose in support of Project aims, whether by
a member of the Project team or by another individual who is contributing to the completion
of the Project (paid or unpaid, UofU-affiliated or otherwise).
Matching (Funds)
Financial contribution by the grantee; common to capital and/or equipment grants when
grantee and/or grantee's clients are the primary beneficiary; typically one third
(1/3) or greater; a form of cost sharing.
Material Transfer Agreement (MTA)
An agreement that governs the transfer of tangible materials between organizations.
(Most frequently the materials are biological in nature, but MTAs may govern other
material types, such as devices.) MTAs specify the rights, obligations, and restrictions
of both the providing and receiving parties with respect to the materials, including
intellectual property ownership, publication, permitted uses, and liability.
Misconduct in Science
Fabrication, plagiarism, fraud, or other practices that seriously deviate from those
that are commonly accepted within the scientific community for proposing, conducting,
or reporting research. It does not include honest error or honest differences in interpretations
or judgments of data.
Mission Agency
An agency of the federal government that has a specific or special mission (i.e. ONR,
DOD, etc.)
Modified Total Direct Costs (MTDC)
Basic indirect costs are calculated on a subset of direct costs, normally excluding
among other costs, equipment, patient care, space rental, alterations and renovations,
and subcontract costs in excess of the first $25,000.
Modular Grants
Under the NIH Modular Grant Application and Award Initiative, applicants prepare simplified
proposals that provide limited budget information in a narrative format and do not
have to submit other research support information until just prior to award. Applications
are to request direct costs in $25,000 modules, up to a total direct costs request
of $250,000 per year for all unsolicited new, revised, and competing continuation
R01, R03, R15, R21, R41, and R43 grants and competing supplements, as well as applications
responding to RFAs for these mechanisms.
No Cost Time Extension
An extension of the period of performance beyond the expiration data to allow the
principal investigator to finish a project. Usually, no additional costs are provided.
Non-federal Entity
A state, local government, Indian tribe, institution of higher education (IHE), or
nonprofit organization that carries out a Federal award as a recipient or subrecipient.
(2 CFR §200.69)
Non-profit Organization
Any corporation, trust, association, cooperative, or other organization, not including
Institutes of Higher Education, that is organized and operated for a collective, public,
or social benefit pursuant to the applicable laws of its jurisdiction.
Notice of Grant Award
The legally binding document that notifies the grantee and others that an award has
been made, contains or references all terms and conditions of the award, and documents
the obligations of Federal funds. May be issued in letter or electronic format.
Office of Management and Budget (OMB)
Agency of the Executive Branch of the U.S. Government that assists the President in
overseeing the preparation of the Federal budget; monitoring of agency performance;
and establishing the government-wide grants management policies and guidelines through
circulars and common rules. These policies are adopted by each grant-making agency.
Other Transaction Agreements (OTA) also see Technology Investment Agreement (TIA)
These agreements are a variation of a contractual agreement. There are fewer bid restrictions
and the Bayh-Dole Act does not apply. This means that the sponsoring agency may retain
all rights to intellectual property.
Participant
A non-UU employee who is the recipient, not the provider, of a training associated
with a workshop, conference, seminar, symposium, or other short-term instructional
or information sharing activity. Participants are not required to provide any deliverable
to the University and they are not subject to UofU human resources policies (e.g.,
they cannot be terminated for failure to perform). Participants may include students,
scholars, and scientists from other institutions, representatives of private sector
companies, teachers, and state or local government agency personnel.
Participant Support Costs
Participant Support Costs, as defined by 2 CFR § 200.456, are direct costs for items
such as stipends or subsistence allowances, travel allowances, and registration fees
paid to or on behalf of participants or trainees (but not employees) in connection
with conferences or training projects (excluding training grants).
Pass-through Entity
Pass-through entity (PTE) means a non-Federal entity that provides a subaward to a
subrecipient to carry out part of a sponsored program.
Personnel Action Notification (PAN)
The vehicle or form used to communicate to the Human Resources Information System
data regarding each individual's employment at the University of Utah. When completed
the form provides job-related and personal information.
Personnel Activity Report (PAR)
To comply with government requirements, the University of Utah has established a Personnel
Activity Report (PAR) system which consists of after-the-fact effort reports for all
exempt employees who expend effort on sponsored projects for which reimbursement is
claimed from the grantor and, in addition, exempt employees in a department associated
with grants and contracts.
Principal Investigator
The individual responsible for the conduct of research or other activity described
in a proposal for an award.
Prior Approval
Written documentation of permission to alter any aspect of a funded project; includes
programmatic and financial changes; may be obtained within grantee organization or
from grantor depending upon the case in point and grantor policy.
Project Cost
The total allowable costs incurred under a Federal award and all required cost sharing
and voluntary committed cost sharing, including third-party contributions. (2 CFR
§200.83)
Project Director
The individual, project director or principal investigator, responsible for supervising
the sponsored program for the funded agency.
Program/Project Officer
A sponsor's designated individual officially responsible for the technical, scientific,
or programmatic aspects of a particular grant, cooperative agreement, or contract.
Serving as the counterpart to the principal investigator/project director of the grantee/contractor
organization, the program/project officer deals with the grantee/contractor organization
staff to assure programmatic progress. (For definition of business officer, see Grant/Contract
Officer.)
Program Income
Gross income earned by a grantee that is directly generated by the grant-supported
project or activity or earned as a result of the award.
Project Period
The total time for which support of a project has been programmatically approved.
The total project period is comprised of the initial competitive segment, and subsequent
competitive segment(s) resulting from a competing continuation award(s), and noncompeting
extensions.
Proposal
An application for funding that contains all information necessary to describe project
plans, staff capabilities, and funds requested. Formal proposals are officially approved
and submitted by an organization in the name of a principal investigator.
Real Property
Land, including land improvements, structures, and appurtenances, but not movable
machinery and equipment.
Research Records
Recorded research information, data, and materials, in whatever form or medium, that
are created or acquired in the process of performing research, whether supported by
University resources or by external sponsors or donors. Research Records also include
documents, materials, information, and written correspondence that relate to administration
and financial management of research, reporting of research results, or sponsored
award applications.
Reasonableness
One of the four basic cost principles that must be met in deciding whether a particular
expenditure is appropriate as a direct cost to a federal award, as defined in 2 CFR
§200, Uniform Guidance. The cost on the award reflects what a “prudent person” would
pay in a similar circumstance.
Recharge Centers
Operating centers established for the primary purpose of providing specialized services
to the university community (although services may be provided on an incidental basis
to external users).
Representations & Certifications (Reps & Certs)
Required statements which must accompany federal contracts and proposals, and which
are completed by the Office of Sponsored Projects.
Request For a Proposal (RFP)
Announcement distributed by a funding source to potential grantees defining in a general
way the type of project proposals desired; often pertains to applied research which,
in the interest of the grantor or contractor, or its clients, can result in either
a grant or contract; same as a Request For an Application (RFA).
Request For a Quotation (RFQ)
Announcement distributed by a source to potential respondents defining in a general
way the type of services/item in accordance with specifications, and within the price
or price limitation, if any, set forth for each service/item.
Research Data
Includes laboratory notebooks, as well as any other records that are necessary for
the reconstruction and evaluation of reported results of research and the events and
processes leading to those results, regardless of the form or the media on which they
may be recorded.
Research and Development (R&D)
All research activities, both basic and applied, and all development activities that
are performed by non-Federal entities. The term research also includes activities
involving the 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.
Severence
Compensation, in addition to regular salary and wages, which is paid by an institution
to employees whose services are being terminated. Costs of severance pay are allowable
only to the extent that such payments are required by law, by employer-employee agreement,
by established policy that constitutes in effect an implied agreement on the institution's
part, or by circumstances of the particular employment.
Small Business Innovation Research (SBIR) Program
Federal program to increase private sector commercialization of technology developed
through Federal R&D and increase small business participation in Federal R&D.
Small Business Technology Transfer (STTR) Program
Under this federal program, a percent of a Federal agency's extramural research or
research and development (R&D) budget is reserved for awards to small businesses for
cooperative R&D to be conducted jointly with a non-profit research institution.
Sponsor Requirements
The applicable regulations and administrative requirements of the organization funding
the Project. While the International Collaboration and Activities Approval is grounded
in disclosures required by U.S. federal agency sponsors, non-federal sponsors may
also require certain disclosures and prior approvals with respect to International
Components.
Sponsored Research
Research funded by an outside agency either through a grant or contract.
Stipend
Stipends are payments made to individuals for subsistence support or to defray expenses
during a period of academic appointment. Stipend payments are not compensation for
services rendered and, therefore, are not allowable on federal awards unless the purpose
of the agreement is to provide training to selected participants and the charge is
approved by the sponsoring agency (OMB Circular Uniform Guidance, Subpart E).
Subaward
An agreement with a third-party organization to perform a portion of a research project
or program using its own facilities and resources, which often requires sponsor approval.
Recipients of subawards – subrecipients – often perform substantive work that is integral
to the performance of the project and is differentiated from services performed by
vendors or consultants in terms of both responsibility and autonomy of the subrecipient
organization. The agreement terms for a subaward (also referred to as sub-grants or
subcontracts) are governed, in part, by the award agreement funding the overall project.
The University has both incoming subawards, for which UofU is the subrecipient, and
outgoing subawards, in which UofU contracts out a portion of a University-based project.
Subrecipient
An organization that receives funding from a pass-through entity to carry out part
of a sponsored program through a subaward mechanism. Subrecipients, alternately referred
to as subcontractors within UofU sponsored projects, perform work that is important
to the overall performance of the sponsored project and must adhere to applicable
program compliance responsibilities. Subrecipient organizations actively participate
in designing and/or conducting the research, as opposed to simply providing goods
and services. PIs perform subrecipient monitoring on all University subrecipients
for work performance, financial matters such as invoicing, and other issues.
Supplies
All tangible materials/consumables other than those described in §200.33 Equipment.
A computing device is considered a supply if the acquisition cost is less than the
lowest of the following thresholds: the capitalization level established by the non-Federal
entity for financial statement purposes, or $5,000, regardless of the length of its
useful life. See also §§200.20 Computing devices
Suspension
An action taken by a suspending official in accordance with regulations that immediately
excludes a person from participating in covered transactions for a temporary period,
pending completion of an investigation and such legal, debarment, or Program Fraud
Civil Remedies Act proceedings as may ensue. A person so excluded is suspended.
Technology Investment Agreement (TIA)
Used to carry out basic, applied, or advanced research projects when it is appropriate
to use assistance instruments and the research is to be performed at least in part
by for-profit firms, especially as members of consortia. TIAs allow DOD Components
to leverage for defense purposes financial investments made by for-profit firms in
research related to commercial products and processes.
Total Direct Costs (TDC)
The total of all direct costs of a project.
Trade Secret
All forms and types of financial, business, scientific, technical, economic, or engineering
information, whether tangible or intangible, and whether or how stored, compiled,
or memorialized physically, electronically, graphically, photographically, or in writing
if (A) the owner thereof has taken reasonable measures to keep such information secret;
and (B) the information derives independent economic value, actual or potential, from
not being generally known to, and not being readily ascertainable through proper means
by the public.
Tuition Remission
The portion of a salaried graduate student’s tuition and fees charged to sponsored
research awards as part of the compensation package for performing necessary work
on the research project. The allocation of tuition payments must be no more than salary
distribution of relevant work effort on the research award. Tuition remission is subject
to effort reporting.
Tuition Support
A scholarship payment made to an individual who has a stipendee status during a period
of academic appointment. The tuition support is not compensation for services rendered.
In general, it should only be charged to sponsored training grants and sponsored fellowship
awards when the primary purpose is to aid the individual in pursuit of personal studies
or research.
Unallowable Cost
A cost determined to be unallowable in accordance with the applicable cost principles
or other terms and conditions contained in a grant award.
Uniform Guidance (2 CFR §200)
OMB publication entitled “Uniform Administrative Requirements, Cost Principles, and
Audit Requirements for Federal Awards” (2 CFR §200).
Unlike Circumstances
The government requires that costs incurred for the same purposes be consistently
charged either as direct costs or as indirect costs. To allow a charge normally included
as indirect costs as a direct cost, there must be a purpose that is outside the normal
circumstances of that cost. Costs (such as administrative salaries) that are normally
charged indirectly must be incurred for reasons and in circumstances that are substantially
different from most sponsored awards in order to be charged directly to a grant and
should be documented. (CAS 502)
Unsolicited Proposal
Proposal for which the initiative for defining the project concept and submitting
the proposal rests solely with the applicant.