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Glossary of Research Terms

  • A-21: see Office of Management and Budget (OMB) Circulars
  • A-110: see Office of Management and Budget (OMB) Circulars
  • A-133: see Office of Management and Budget (OMB) Circulars
  • Abstract: short summary which outlines the proposed scope of work, methods, and significance of the project
  • Academic Year: annual period established by an educational institution which defines its programmatic year: generally begins in August or September with the start of fall classes
  • Activity Code (NIH): code, consisting of a letter and a number, used to identify support mechanisms within NIH; general categories include research, grants, contracts, training, and fellowships; some familiar examples include R01 (investigator initiated research grant), PO1 (program project grant) and T32 (institutional training grant)
  • Allocability: the expense or service charged must directly benefit and be necessary for the performance of the project; when multiple projects are benefited reasonable proportions must be able to be assigned
  • Allowability: reasonable and necessary costs which are needed for the performance of the project; must be in compliance with the sponsor and institution's definitions of allowable or unallowable; costs incurred for the same purpose must be handled consistently for all projects within the institution's accounting system
  • Amendment: resubmission of an unfunded application that has been revised in response to a prior review
  • Appeal: procedure for contesting the peer review of the grant application (see also rebuttal)
  • Application: request for financial support of a project/activity; generally on specific forms and in accordance with sponsor instructions
  • Audit: formal examination of an organization's financial situation; may include examination of compliance with applicable terms, laws, and regulations
  • Authorized Organizational Official: individual, named by the applicant organization, authorized to act for the organization and to assume the obligations imposed by federal laws, regulations, requirements, and conditions that apply to grant applications or awards
  • Average Programmatic Reduction: dollar amount an award is reduced from the amount recommended by the study section
  • Award: provision o f funds b y a sponsor, based on an approved application and budget or progress report, to an organization or an individual to carry out a project or activity
  • AY: see Academic Year
  • Bayh-Dole Act: law which encourages universities and researchers to develop their inventions into marketable products; formal citation is Section 6 of the Patent and Trademark Amendment of 1980, Pub. L 96-517
  • Best and Final Offer (BAFO): see Final Proposal Revision
  • Bridge Awards: NIH support mechanism which provides one year of funding to allow investigators to continue research while reapplying or enables new investigators to gather preliminary data to improve their applications
  • Broad Program Announcement: announcement of a federal agency's general research interests which invites proposals and specifies the general terms and conditions for an award to be made
  • Budget: a detailed statement outlining estimated costs to support the work of a project
  • Budget Adjustment: an amendment to a budget which moves funds from one category or line item to another
  • Budget Appropriation: the annual amount given to a government agency by Congress
  • Budget Period: intervals of time (usually 12 months each) into which a project is divided for budgetary and funding purposes
  • Carryover: process for retaining funds that are unobligated at the end of a budget period to the next budget period; not all agencies allow carryover of funds and an unobligated balance greater than 25% of the current year's total budget requires explanation and a plan for use of funds if carried forward
  • CAS: see Cost Accounting Standards
  • Center Grants: grants awarded to institutions on behalf of program directors and groups of collaborating investigators; provide support for long-term, multi-disciplinary programs of research and development
  • CFR: see Code of Federal Regulations
  • Change Order: a written order directing the grantee to institute changes which were not included in the original notice of award
  • Clinical Research: patient-oriented research, including epidemiological and behavioral studies, outcomes research, and health services research
  • Clinical Trial: a biomedical or behavioral research study of human subjects designed to answer specific questions about biomedical or behavioral interventions (drugs, treatments, devices, or new ways of using known drugs, treatments, or devices); used to determine whether new biomedical or behavioral interventions are safe, efficacious, and effective; see also Phases of Clinical Trials
  • Close Out: procedure to officially conclude a grant by completing all internal procedures and sponsor requirements; this includes receipt by the funding agency of all necessary scientific, administrative, and financial reports
  • Co-Investigator (CO-PI): individual involved with the PI in the scientific development or execution of a project; co-investigator may be employed by the grantee organization or another organization participating in the project
  • Code of Federal Regulations (CFR): the annually revised codification of general and permanent federal rules published in the Federal Register
  • COI: see Conflict of Interest
  • Commitment Base: funding used by NlH for noncompeting awards; this is typically over 70% of the annual dollars spent for research grants
  • Competing Proposal: application submitted for the first time or unfunded applications that are resubmitted; applications compete for research funds through the peer-review process
  • Competing Continuation: application requiring competitive peer-review and Institute/Center action to extend the scope of work, and continue beyond the current project period; also known as a renewal application
  • Competitive Range: a contracting term which denotes a group of proposals considered to be acceptable by the initial peer review group; designates potential candidates for an award
  • Conflict of Interest: situation that occurs when an institutional employee or trainee has an outside interest (usually financial) that affects or appears to affect the individual's professional judgment in carrying out institutional responsibilities
  • Consistency: costs for the same purpose, in like circumstances, must be treated the same in the institution's accounting system for all projects; like costs must be defined as either direct or indirect cost for all projects
  • Consortium Agreement: an agreement which includes specific terms and conditions for two or more organizations to conduct a collaborating project which involves two or more investigators; similar to a subcontract
  • Constant Dollars: dollar amounts adjusted for inflation
  • Consultant: personnel outside of the grantee organization utilized to provide a professional service for a fixed period of time
  • Consumer Price Index (CPI): the measurement of changes in prices of a broad range of consumer items
  • Continuation Project (Non-Competing): a project which has already been approved for multiple-year funding; progress on the project is assessed annually and if there is satisfactory progress an award is made for the next budget, subject to the availability of funds; these projects do not compete with new proposals and are not subjected to peer review beyond the initial multi-year project approval
  • Contract: a funding mechanism for procuring specific services with the scope of work usually originating from and determined by the sponsor
  • Contract Officer: sponsor's designated individual authorized to execute agreements on behalf of the sponsor
  • Cooperative Agreement: funding mechanism utilized when substantial federal programmatic involvement with the recipient is anticipated during the performance of the award
  • Cost Accounting Standards (CAS): federally mandated accounting standards intended to ensure uniformity in budgeting and expenditure of funds; four standards (501, 502, 505, and 506) incorporated into A-2 1 in 1996
  • Cost Overrun: amount expended in excess of the sponsor's share of costs for the project period
  • Cost Reimbursement Contract/Grant: an agreement in which the sponsor pays for the full costs incurred in the conduct of the work up to an agreed-upon amount
  • Cost Sharing: the portion of the costs of a project or program not borne by the sponsor; these could be grantee contributions or third-party in-kind contributions; costs used to satisfy cost sharing requirements are subject to the same policies governing allowability as other costs of the project; (see also Matching)
  • Cost Transfer: movement of an expenditure from one account to another; transfers done to ensure that sponsor requirements and accepted accounting principles, which require that costs incurred are appropriate, for the direct benefit of the account charged, and that accounting records are maintained on a timely and accurate basis, are followed
  • CRISP (Computer Retrieval of Information on Scientific Programs): a searchable biomedical database of federally-supported proposed research conducted at universities, hospitals, and other research institutions
  • Current Dollars: actual dollars awarded without adjustment for inflation
  • DAR: see Division of Animal Resources (EU)
  • Deferred: delay in review of an application by a scientific review group, generally to the next review cycle, due to insufficient information
  • Deficit: expenditures exceed funds available
  • Direct Costs: costs clearly identifiable to a specific project(s) or activity; examples of these expenses include equipment, personnel (salaries, wages and fringe benefits), travel, supplies, subcontracts and other expenses necessary to carry out a research project
  • Disclosure Statement (052): report which describes an institution's business practices and systems; an outgrowth of the Cost Accounting Standards Board requirements of 1996; requirement for submission is based on volume of federal sponsored research
  • Division of Animal Resources (EU): unit within the institution responsible for providing animal purchase, care, and support for research, testing and education activities
  • Dual Assignments: applications to federal agencies simultaneously assigned to two institutes, centers, or divisions
  • Earmark: congressional mandate that a federal agency spend a specific amount of money for a stated purpose
  • Effort Certification: federal requirement that the time and effort spent by individuals on sponsored projects must be certified through an organizational reporting system
  • Electronic Research Administration (ERA): an electronic dialogue between a sponsor and its grantees generally covering the entire life cycle of a grant
  • Encumbrance: funds set aside or "obligated" for projected expenses pending actual expenditure of the funds
  • Endowment: fund established to provide long-term support for institutional activities; generally is an income-generating investment
  • Equipment: tangible, nonexpendable property with a useful life of more than 1 year and an acquisition cost of $5,000 or more
  • Expanded Authorities: authorization to grantees under certain research grant mechanisms which waives the requirement for prior agency approval for specified actions related to awards. Example: 90-day preaward spending authority, n o cost extensions for up to one additional year, and automatic carryover of unobligated funds from one budget period to the next.
  • Extension: additional period of time given the institution by a sponsor for completion of work on the award; allows previously allocated funds to be spent after the original budget expiration date
  • F&A: see Facilities and Administrative Costs
  • Facilities and Administrative Costs (F&A): costs necessary for the conduct of sponsored research incurred by a grantee for common or joint objectives that cannot be identified specifically with a particular project or program; previously known as "indirect costs" and generally referred to as "F&A" costs
  • FAR: see Federal Acquisition Regulations
  • Fastlane: NSF's interactive real-time system for conducting business over the internet
  • FAS: see Financial Accounting System (EU)
  • FDP: see Federal Demonstration Partnership
  • Federal Acquisition Regulations: laws regulating government contracting; Web address: http:/Awww.arnet.gov/far/
  • Federal Demonstration Partnership: cooperative initiative among some federal agencies, selected organizations receiving federal research funding, and certain professional associations; efforts include projects intended to simplify and/or standardize federal requirements in order to increase research productivity and reduce administrative costs (Previously known as Federal Demonstration Project and Florida Demonstration Project)
  • Federal Register: an official daily publication that communicates proposed and final regulations and legal notices issued by federal agencies; Web address: http://www.access.gpo.goz/su_docs/aces/as140html
  • Fellowship: a training program award where the sponsor specifies the individual to receive the award
  • Final Proposal Revision: a final proposed revision, submitted at the completion of negotiations, which documents all cost and technical agreements reached during the negotiations
  • Final Report: final technical or financial report required by the sponsor for completion of a research project
  • Financial Accounting System (EU): the University's accounting system was originally designed by Information Associates, Inc. and has been in use since the mid 80's; university accounting is done under the principles of fund accounting which requires activity to be grouped by classifications (unrestricted, restricted, loan, endowment, plant and agency); the categories are kept separate, in ledgers 1 through 9, and are reported by category in financial statements
  • Financial Status Report (FSR): mandatory reporting for continued funding of a grant; financial report due to the federal agency 90 days after the end of each budget period which indicates the status of awarded funds for the period covered
  • Fiscal Year: annual period established for accounting purposes; Emory's FY begins September 1 and ends August 3 1. Federal FY begins October 1 and ends September 30.
  • Fixed Price: award where the sponsor pays the grantee a predetermined price, regardless of actual costs, for services rendered; also known as a fee-for-service agreement
  • For-Profit Organization: organization, institution, corporation, or other legal entity organized or operated for the profit or financial benefit of its shareholders or other owners; also referred to as commercial organizations
  • Foreign Institution: organization located in a country other then the United States and its territories that is subject to the laws of that country
  • FP: see Fixed Price
  • Freedom of Information Act (FOIA): act which requires wider dissemination, on request, of government documents, while monitoring proprietary information; the act is codified 5 USC 552
  • Fringe Benefits: benefits paid by the employer (e.g., FICA, medical and dental insurance, life insurance, and other miscellaneous benefits) and calculated as a percentage of salary
  • FSR: see Financial Status Report
  • Full Time Appointment: number of days per week and/or months per year which represents full-time effort at the grantee organization, as specified in organizational policy; organization's policy must be applied consistently regardless of the source of support
  • Funding Cycle: period of time during which applications are accepted, reviewed, and funds are awarded; application receipt deadlines are set to correspond with the cycle
  • FY: see Fiscal Year
  • GAAP: see General Accepted Accounting Principles
  • General Accepted Accounting Principles: guidelines established and maintained by the Accounting Standards Board for use in the classification, summary and reporting of an institution's financial transactions; purpose of the guidelines is to provide relevant and comparable financial information about institutions
  • General Accounting Office (GAO): an oversight organization reporting to Congress
  • GL: general ledger of an accounting system
  • GMO: see Grants Management Officer
  • Grant: financial assistance to an eligible entity to carry out an approved project or activity with the scope of work originating from the principal investigator
  • Grant Closeout: procedure to officially conclude a grant; see also Close Out
  • Grantee: see Recipient
  • Grants Management Officer: official responsible for the business management aspects of grants and cooperative agreements; duties include review, negotiation, award and administration, and interpretation of grants administration policies and provisions
  • Grants Management Specialist: individual who works with a grants management officer and is assigned responsibility for the day-to-day management of a portfolio of grants; overseas the business and other non-programmatic aspects of grants and cooperative agreements
  • Health Insurance Portability and Accountability Act: 1996 act which directs health care providers, payers, and other health care entities to develop policies and procedures to ensure the security, integrity, privacy and authenticity of health information, and to safeguard access to and disclosure of health information
  • High Risk/High Impact: category of NIH applications identified by a scientific review group as having a high degree of uncertainty in approach but also a high potential for impact
  • HIPAA: see Health Insurance Portability and Accountability Act
  • HR/HI: see High Risk/High Impact
  • Human Subject: a living individual about whom an investigator conducting research obtains data through intervention or interaction or obtains identifiable private information; classification extends to the use of human organs, tissues, and body fluids from identifiable individuals as well as graphic, written, or recorded information derived from such individuals
  • iEdison: NIH's interagency electronic invention reporting system
  • IACUC: see Institutional Animal Care and Use Committee
  • IDC: Indirect costs; see Facilities and Administration Costs or F&A
  • In-Kind Contribution: contributions or assistance in a form other than money; materials, equipment, or services of recognized value offered in lieu of cash
  • IMPAC (Information for Management, Planning, Analysis, and Coordination): database system developed and maintained by the Office of Extramural Research for information concerning PHS extramural programs.
  • Incremental Funding: method of funding which provides specific spending limits that are below the total estimated cost; each increment is a funding action; spending limits are exceeded at the institution's own risk as no additional funding is guaranteed
  • Indirect Costs: now called Facilities and Administration Costs or F&A
  • Indirect Cost Rate (federal): ratio established by negotiation with the institution's cognizant federal agency on the basis of the costs in a base year; calculation based on OMB Circular A- 21 which includes the institution's expense in support of research as the numerator and the sponsored research base of the institution as the denominator; a percentage charged on an award's Modified Total Direct Cost expenditures
  • Indirect Cost Rate (non federal): a payment to the institution to reimburse institutional expense in support of research; calculated as a percent of direct costs and included in the application budget; also known as overhead
  • Initial Review Group (IRG): see Scientific Review Group
  • Initiative: request for applications, request for proposals, or program announcement which states the sponsor's interest in receiving research applications in a given area; at federal institutes this is because of a programmatic need or scientific opportunity
  • Institutional Base Salary: annual compensation paid by an organization for an employee's appointment; includes individual's time spent on research, teaching, patient care, or other activities; the institutional base salary may not be increased as a result of replacing organizational salary funds with sponsor's funds
  • Interactive Research Project Grant (IRPG): federal 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
  • Institutional Animal Care and Use Committee: has broad responsibilities to oversee and evaluate the institution's animal programs, procedures, and facilities; established at institutions in accordance with the PHs Policy on Humane Care and Use of Laboratory Animals
  • Institutional Review Board: federally mandated committee which insures the protection of rights and welfare of human research subjects participating in research conducted at an institution; makes independent determinations of approval or disapproval on research protocols based on whether human subjects are adequately protected; also known as the Human Investigation Committee (HIC)
  • Interim Funding: authorization to expend funds to a specified limit before the notice of award has been received
  • Intergovernmental Personnel Act Mobility Program (PA): a contract for a grantee's employee to serve or cross train for limited defined periods of time at a federal agency; while some or all salary and benefits are paid by the federal agency; the individual is still considered a grantee employee
  • Invitation to Bid: solicitation issued by a sponsor describing what is required and how bids will be evaluated; negotiations are not conducted and an award is based on the lowest bid
  • Investigator Initiated Proposal: research funded as a result of an investigator submitting a research application on his or her own; also known as unsolicited research
  • IPA: see Intergovernmental Personnel Act Mobility Program
  • IRB: see Institutional Review Board (Human Subjects)
  • ITB: see Invitation to Bid
  • Just in Time: a streamlining initiative in the application process; in this process applicants send some information to NIH only if an award is likely
  • 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
  • Limitation of Cost (LOC): a clause in contracts under which the sponsor is not obligated to reimburse the grantee for costs in excess of the stated amount; the grantee is not obligated to continue performance once expenses reach the stated amount
  • Matching: a portion of the costs of a sponsored project or program not funded by the sponsor; some sponsors have mandatory matching contributions; also known as cost sharing
  • Matching Grant: a grant which requires that funds awarded be matched proportionately by other sponsors or the grantee organization
  • Material Transfer Agreement: legal document defining the conditions under which research or other materials can be transferred and used among research laboratories
  • Memorandum of Understanding: document required by NIH when a federal employee (institution's faculty investigator) requests funding through the institution to do NIH research; agreement specifies total professional commitment in specific categories at both institutions and must be updated annually; document required for PI and all other faculty participants with VA appointments
  • Misconduct in Science: see Research Misconduct
  • Mission: sponsors stated purpose designed to address a specified set of problems; most federal research agencies are designated mission agencies
  • Modification: a document that modifies any aspect of an existing award
  • Modified Total Direct Costs (MTDC): a subset of direct costs; the base on which F&A is applied on most proposals; primarily used in federal budgeting where MTDC is total costs less tuition and fees, capital equipment, lease or rent of facilities or equipment, patient care expense, and subcontract expenditures in excess of $25,000
  • Modular Application: a type of federal grant application in which support of up to $250,000 in direct costs is requested in specified increments ($25,000); application is submitted without much of the detailed supporting information required in other federal applications
  • Monitoring: processes in which the programmatic and business management performance aspects of grants are reviewed by assessing information gathered from various reports; there is both internal and external monitoring of sponsored research; external monitoring includes audits, site visits, and mandatory reporting
  • MOU: see Memorandum of Understanding
  • MTA: see Material Transfer Agreement
  • MTDC: see Modified Total Direct Costs
  • National Research Service Award (NRSA): awards to both individuals and institutions to provide research training in specified health-related areas
  • NCE: see No Cost Extension
  • New Award: an application which has not been previously proposed or one that has not received prior funding
  • New Proposal: application submitted for the first time or ongoing projects that must recompete for funding since the original award has expired
  • NOA: see Notice of Award; also known as NGA (Notice of Grant Award)
  • No Cost Extension: the extension of a project's budget period, for up to 12 months beyond the original end date of the budget, to allow additional time to assure successf'ul completion of the project; no additional funds are awarded
  • Non-Compliance: failure to adhere to sponsor regulations and/or institutional policies and procedures.
  • Notice of Award (NOA): a legally binding document notifying 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 sponsor funds
  • Object Code (EU): four-digit identifier used in general ledger transactions in the accounting system (FAS) to allocate transactions to a specific category
  • OER: see Office of Extramural Research (NIH)
  • Office of Extramural Research (NIH): serves as the focal point for policies and guidelines for extramural grants administration; web site: http://grants.nih.gov/grants/oer.htm
  • Office of Management and Budget: government office serving as the Resident's principal arm for exercising managerial functions including the preparation of the annual budget
  • Office of Management and Budget Circulars: policy guidelines issued to Federal agencies to promote efficiency and uniformity in government activities web address: http://www.whitehouse.gov/omb/circulars/
  • OMB Circular A-21: "Cost Principles for Educational Institutions," establishes the principles for determining the costs applicable to grants, contracts and other government agreements with educational institutions
  • OMB Circular A-1 10: "Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals, and Other Non-Profit Organizations" establishes the standards for obtaining consistency and uniformity among Federal agencies in the administration of grants and agreements
  • OMB Circular A-133: "Audits of States, Local Governments, and Non Profit Organizations" outlines the requirements for the annual audit of sponsored research received by an institution
  • OGCA (EU): Office of Grant and Contract Accounting; responsible for post. Award management of sponsored research
  • OMB: see Office of Management and Budget
  • OSP (EU): Office of Sponsored Programs; responsible for pre-award management of sponsored research
  • Other Support: includes all financial resources (whether federal, nonfederal, commercial or organizational) available in direct support of an individual's research endeavors; does not include training awards, prizes or gifts
  • PA: see Program Announcement
  • PAN: see Provisional Account Number (EU)
  • Payline: a percentile-based funding cutoff point determined at the beginning of the fiscal year for each NIH Institute; balances the projected number of applications coming to NIH with the amount of funds available
  • Peer Review: a system for evaluating research applications that uses reviewers who are the professional equals of the applicant
  • Percentile Rank: ranking representing 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
  • Phases of Clinical Trials:
  • Phase I Testing in a small group of people (20-80) to determine efficacy and evaluate safety; determine a safe dosage range and identify side effects
  • Phase II Study in a larger group of people (several hundred) to determine efficacy and further evaluate safety
  • Phase III Study to determine efficacy in large groups of people (several hundred to several thousand) by comparing the intervention to other standard or experimental interventions, to monitor adverse effects, and to collect information to allow safe use
  • Phase IV          Studies done after the intervention has been marketed; designed to monitor the effectiveness of the approved intervention in the general population and to collect information about any adverse effects associated with widespread use
  • PHs Kits: a combination of instructions and forms for federal research applications; specific forms must be used for applications and are specified in program announcements and requests for applications; two widely used kits are the PHs 398 and PHs 2590
  • PHS 398:         standard application form for most PHs grants
  • PHS 2590:       standard application form for continuation of a PHs Grant
  • PI: See Principal Investigator
  • Post Award: period of time in the life of the project beginning with the receipt of a notice of award (NOA) and concluding with closeout procedures; issues related to a research project should be directed to the Office of Grants and Contracts Accounting during this time
  • PP: see Project Period
  • Pre-Award: period of time in the life of project until an application becomes an award; the institutional office responsible for research activities during this time is the Office of Sponsored Programs
  • Pre-Proposal: brief description of research plans and estimated budget submitted to determine the interest of a particular sponsor prior to submission of a formal application; also known as preliminary proposal
  • President's Budget: the annual budget request submitted to Congress by the US President
  • Principal Investigator: individual designated by the grantee (recipient) to direct the project or activity being supported by the grant; individual responsible for the scientific and technical direction of the project, the day-to-day management of the project or program, and accountable to the grantee for the proper conduct of the project or activity
  • Prior Approval: written approval from the sponsor for specified post-award changes in the approved project or budget; approval must be obtained before undertaking the proposed activity or spending sponsor funds
  • Priority Score: numerical rating of an application that reflects the scientific merit of the proposed research relative to stated evaluation criteria; derived from the rating given an application by each member of the review committee
  • Privacy Act: law protecting against needless collection or release of personal data; this 1974 act was an outgrowth of "Watergate" type abuses
  • Program Announcement: announcement by a sponsor of a research opportunity which requests applications in stated scientific areas; may describe new or expanded interest in a particular program or be a reminder of continuing interest in a research area
  • 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
  • Programmatic Reduction: dollar amounts reduced on awards so that institutes can maintain a sufficient number of grants in their portfolio and to enable institutes to combat inflation of grant costs; the dollar amount a grant award is reduced from the amount recommended by the study section (SRG)
  • Progress Report: periodic reports submitted by the grantee and used by the sponsor to assess progress and determine whether to provide funding for the subsequent budget period
  • Project Period: the total time for which support of a project has been recommended; consists of one or more budget periods
  • Project/Program Officer: an Institute's designated staff member who coordinates the substantive aspects of a grant, cooperative agreement, or contract from planning the request for proposal (RFP) to oversight
  • Proposal: an application for funding containing all information necessary to describe project plans, staff capabilities, and funds requested; officially approved applications submitted by the institution in the name of a principal investigator
  • Provisional Account Number (EU): account established prior to receipt of the notice of award; all expenditures must follow sponsor guidelines and regulations; normally established for a maximum of 90 days
  • R01: Activity code designation for a traditional NIH research grant
  • Reasonableness: a subjective measure that requires application of the "prudent person" test; the nature of the good or service and the amount paid reflect the action of a prudent person
  • Rebudgeting: moving money from one budget category to another; with the advent of modular grants, institutions no longer have to request NIH permission for rebudgeting; with nonmodular grants, permission is still needed for some items
  • Rebuttal: procedure for contesting the peer review of a grant application
  • Recipient: organization or individual awarded a grant or agreement by a sponsor; responsible and accountable for the use of the funds provided and for the performance of the grant-supported project or activity; legally responsible and accountable to the sponsor for the performance of financial aspects of the grant-supported project or activity
  • Recommended: designation given by a study section advising that an application be funded; roughlythe top half of applications reviewed are recommended for funding
  • Recompeting: a grant whose term is over and for which the applicant is again seeking sponsor support
  • Regulations: contractual rules and procedures governing sponsored research projects
  • Renewal: see Competing Continuation
  • Request for Applications: official statement inviting grant or cooperative agreement applications to accomplish a specific program purpose; generally indicates the amount of funds set aside for the competition and identifies a single application receipt date
  • Request for Proposal: announcement that a sponsor would like to award a contract to meet a specific need; specifies topic of research, methods to be used, product to be delivered, and appropriate applicants; generally results in the award of a contract and has a single application receipt date
  • Research: the federal definition of research is: a systematic, intensive study intended to increase knowledge or understanding of the subject studied, specifically directed toward applying new knowledge to meet a recognized need, or a systematic application of knowledge to the production of useful materials, devices, and systems or methods, including design, development, and improvement of prototypes and new processes to meet specific requirements
  • Research Misconduct: fabrication, falsification, plagiarism, or other practices that seriously deviate from those that are commonly accepted within the scientific community in proposing, performing, or reporting research, or in reporting research results; does not include honest error or honest differences in interpretations or judgments of data
  • Research Project Award: support for discrete, specified, circumscribed projects to be performed by named investigators in areas representing their specific interest and competencies
  • Restricted Funds: institutional funds with specific requirements or restrictions as to their use or disposition; all sponsored research funds are restricted funds within the institution
  • Residual Balance (EU): funds remaining in a fee-for-service project account after all appropriate expenditures have been paid from the sponsor's funds; these funds should be of limited nature and may be transferred into an unrestricted account
  • Resubmission: an application for initial peer review after a project has been reviewed by a study section and revised by the applicant; NIH limits investigators to two resubmissions
  • Review Cycle: the Center for Scientific Review's thrice yearly initial peer review cycle, from receipt of applications to the date of review
  • Revision: a resubmitted request for funding for a project previously not funded either by sponsor denial or due to withdrawal of the application; generally either the project scope, methods to be used, or funds requested have been modified
  • RFA: see Request for Applications
  • RFP: see Request for Proposal
  • RPG: see Research Project Grant/Award
  • S&W: see Salaries and Wages
  • Salaries and Wages: payments made to institution employees for work performed; base on which some sponsors allocate overhead recovery
  • SBIR: see Small Business Innovation Research
  • Scientific Review Administrator: federal scientist who presides over a scientific review group and is responsible for coordinating and reporting the review of each application assigned to the group; prepares summary statements for all applications reviewed
  • Scientific Review Group (formerly IRG): legislatively mandated panels o f subject matter experts established according to scientific discipline or medical specialty with the primary function to review and rate research grant applications for scientific and technical merit; the first level of the two-stage peer-review system at NIH; also known as a study section
  • Scope of Work: description of the work to be performed and completed on a research projectScored: in the peer review process applications judged by a study section to be competitive (generally in the upper half of the applications reviewed) are assigned a priority score and forwarded to the appropriate Institute/Center for the second level of review
  • Service Center: a unit performing specific technical or administrative services primarily for the internal operations of the institution which charges users for its services through charge-out rates
  • Set Aside: money taken out of the budget for a specific purpose, for example, to fund a congressionally mandated program
  • SF: see Standard Form
  • Significant Financial Interest: anything of monetary value owned or controlled by an individual; base line criteria for evaluating conflict of interest
  • Significant Rebudgeting: defined as a certain percent of either a specific category, line item or the total budget; generally a request for rebudget must exceed 25% of the category, line item or total funds to be classified as significant
  • SL: see Subsidiary Ledger
  • Small Business Innovation Research: award designed to support projects from small businesses that may ultimately have commercial viability
  • Small Business Technology Transfer: program designed to foster technological innovations through cooperative efforts between small business and research institutions; grants awarded for projects that have potential for commercialization
  • SPAF: see Sponsored Programs Approval Form (EU)
  • Sponsor: organization that funds a research project
  • Sponsored Programs Approval Form (EU): an internal institutional document containing data elements related to a specific research project which is used to route the application at the institution
  • SRA: see Scientific Review Administrator
  • SRG: see Scientific Review Group (formerly IRG)
  • Standard Form: federal form coding, often shown as SF with a multi-digit number; examples of common standard forms include: 1040, 1099, PHs Kit 398.
  • Statement of Work (SOW): the detailed description of the work to be performed under the grant or contract
  • Stipend: payment made to an individual under a fellowship or training grant to provide for the individual's living expenses during the period of training; federal stipends are not considered compensation for services expected of an employee
  • Streamlined Review: applications judged by a study section to be in the lower half of the applications evaluated in a given review round are generally not reviewed during the study section meeting, but returned to the applicant with the assigned reviewers comments
  • STTR: see Small Business Technology Transfer
  • Study Section: sees scientific review group
  • Subcode (EU): four-digit identifier used throughout the accounting system to allocate a cost to a specific category
  • Subcontract: an agreement with a separate organizational unit to perform a significant portion of the proposed work; characteristics of a subcontract include performance that meets the objectives of the program and responsibility for programmatic decision making; also known as subaward
  • Subsidiary Ledger: accounting term for a combination of accounts related to a specific category or activity; subsidiary accounts are used for day-to-day fiscal transactions
  • Success Rate: indicates the percentage of reviewed applications that receive funding computed on a fiscal year basis; 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 carryovers
  • Supplemental Proposal: request for additional funds either for the current operating period or for any future year previously recommended
  • Suspension: temporary withdrawal of the grantee's authority to obligate grant funds pending either corrective action or a decision to terminate the award
  • Targeted Research: research funded as a result of an Institute's set-aside of dollars for a specific scientific area; applications are reviewed by chartered peer review committees within institutes
  • Task Order Agreement (TOA): a legal document authorizing work and appropriating funds as a supplement to a basic contract
  • TDC: see Total Direct Costs
  • Technical Data: recorded information, regardless of form or characteristic, of a scientific or technical nature; sometimes referred to as the science of an application
  • Termination: permanent withdrawal of the grantee's authority to obligate previously awarded grant funds before that authority would otherwise expire; includes the voluntary relinquishment of authority by the grantee
  • Terms and Conditions of Award: all legal requirements imposed on a grant by the sponsor; may include both standard and special conditions considered necessary to attain the grants objectives, facilitate administration, conserve grant funds, or otherwise protect the sponsor's interests
  • Total Direct Costs: the total of all clearly identifiable costs related to a specific project; base on which some sponsors allocate overhead recovery
  • Total Project Costs: total allowable costs (both direct and F&A) incurred by the grantee to carry out a grant-supported project or activity; includes costs charged to the grant and costs to satisfy a matching or cost sharing requirement
  • Training Awards: affords designed to support the research training of scientists for careers in the biomedical and behavioral sciences; also awards to help professional schools establish, expand, or improve programs of continuing professional education
  • UBIT: see Unrelated Business Income Tax
  • Unallowable Costs: expense which may not be assigned to a sponsored project account; generally specific cost categories defined by the sponsor or the institution (i.e., alcohol, lobbying or entertainment); may also be restricted by the terms of an award
  • Unilateral Award: award made by a sponsor without considering competitive applications; most often made when unsolicited proposals received favorable treatment
  • United States Code: the codification by subject matter of the general and permanent laws of the United States; divided by broad subjects into 50 titles and published every six years by the Office of the Law Revision Counsel of the US House of Representatives
  • Unrelated Business Income Tax: federal tax applicable to all organizations exempt from tax under section 501(a); a tax on income from a trade or business which is regularly carried on but is not substantially related to the performance of the organization's exempt purpose or function
  • Unrestricted Funds: institutional funds with no requirements or restrictions on use or disposition
  • Unsolicited Proposals: see Investigator Initiated Proposal
  • USC: see United States Code
  • VAH: Veterans Administration Hospital