Research Development
Glossary of Research Terms
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Office of Sponsored Programs & Regulatory Compliance Services (SPARCS) |
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A-110
This Circular sets forth standards for obtaining consistency and uniformity among Federal agencies in the administration of grants to and agreements with institutions of higher education, hospitals, and other non-profit organizations. The standards set forth in this circular are applicable to all Federal agencies.
A-21
This Circular establishes principles for determining costs applicable to grants, contracts, and other agreements with educational institutions . The principles deal with the subject of cost determination. The circular applies to all Federal agencies that sponsor research and development, training, and other work at educational institutions shall apply the provisions of this circular in determining the costs incurred for such work. A-21 determines the terms of direct and indirect costs, allowable and unallowable expenditures, and now sets the terms of Cost Accounting Standards.
Agencies
(also known as sponsors)
Institutions (usually a state or federal body) that sponsor a research
endeavor, providing funds and other support. There are very many of these,
and most of them are referred to using acronyms. The National Council
of University Research Administrators (NCURA) offers and explanation of
these acronyms, with links to the relevant agency sites: http://www.ncura.edu/agencies/default.html.
Louisiana State University also publishes a comprehensive directory of
Federal Government agencies at its site which can be found at http://www.lib.lsu.edu/gov/fedgov.html.
Allowable
Costs
Determined by the Office of Management and Budget (OMB), the sponsor's
requirements and/or university policy. OMB circular A-21 defines allowable
costs as those that are: 1. Reasonable 2. Allocable to the project 3.
given consistent treatment by the use of generally accepted accounting
principles 4. conform to any limitations or exclusions set forth by the
sponsored agreement or OMB Circular A-21.
Award
Funds provided from an external sponsor for support of a project at the
NC State University. This term is used for both original award and supplements.
Budget
An estimate of expenditures proposed to be incurred in the performance
of a proposed statement of work.
Budget
Category
A portion of the budget designated for certain kinds of expenditures,
e.g., salaries, operations, travel, equipment.
Conflict
of Interest Certifications-(Disclosure of Financial Interest)
institutional representative to certify that the institution has implemented
and is enforcing a written policy on conflicts of interest consistent
with federal regulations, all financial disclosures required by the conflict
of interest policy were made; and that conflicts of interests, if any,
were, or prior to the institution's expenditure of any funds under the
award, will be satisfactorily managed, reduced or eliminated in accordance
with the institution's conflict of interest policy and/or disclosed to
the agency (as required by the agency).
Consortium
A consortium is two or more institutions working on the same research
project, either funded directly by the supporting agency or one prime
institution subcontracting out the funds to the other members of the consortium.
Contract
A contract is an agreement to acquire services that primarily benefit
the sponsor. For an award to be considered a contract, it normally must
contain all of the following elements: 1. Detailed financial and legal
requirements must be included with a specific statement of work to be
performed. 2.A specific set of deliverables and/or reports to the sponsor
is required. 3.Separate accounting procedures are required. 4.Legally
binding contract clauses must be included. 5. Benefits of the project
accrue first to the sponsor, then to the university, then to the nation.
Contributed
Effort
Effort expended on a sponsored project that the sponsor does not compensate
for; a form of cost sharing.
Cooperative
Agreement
A funding mechanism which can be used by federal agencies when a program
requires more agency involvement and restrictions than a grant but requires
less agency supervision than a contract.
Co-Principal Investigator
(Co-PI)
One investigator sharing equal responsibility for the direction of a research
program. (PHS/NIH does not recognize the concept of co-principal investigator.)
Cost Reimbursement
(CR)
A type of agreement whereby payments are based on actual allowable costs
incurred in performance of the work.
Cost Share
University and nonfederal sponsor resources provided in support of sponsored
programs; includes contributed effort and matching funds.
Direct Costs
Direct costs are all costs that can be directly attributed to the conduct
of the project and are specified in the proposal budget. These costs can
be readily identified and are itemized by name and amount.
Effort
The amount of time, usually expressed as a percentage of the total, that
a faculty member or other employee spends on a project. Effort is certified
and documented through the TEARS Effort Certification Reporting system.
Effort
Reporting
Effort reporting and certification form required for compliance with federal
regulations.
Equipment
means tangible nonexpendable personal property including exempt property
charged directly to the award having a useful life of more than one year
and an acquisition cost of $5000 or more per unit.
Expanded
Authorities
Policy implemented by some federal granting agencies which delegates certain
prior approval authorities to grantee institutions. This delegation allows
for internal university approval of administrative and spending actions,
thus avoiding delays in project progress.
Facilities
and Administrative (FAC or F&A) Cost Rates
The rates used to recover the facilities and administrative costs of a
sponsored project. Negotiated, approved rates are to be used for all agreements
with the federal government and for most non-federal projects, as allowable.
Facilities and Administrative
(FAC or F&A) Costs
Also referred to as indirect costs, overhead, overhead costs, or administrative
costs. Facilities and administrative costs are actual costs incurred to
conduct the normal business activities of an organization that cannot
be readily identified with or directly charged to a specific project or
activity. The normal activities of the university include instruction
and departmental research, organized research, public service, and other
institutional activities. F&A costs are real, auditable costs incurred
by the university each time it accepts an award for a sponsored project.
If the university does not collect full reimbursement for these costs,
other university resources must be used to subsidize them.
Firm Fixed-Price
(FFP)
A type of agreement whereby payment is not based on actual costs expended
but upon a mutually agreed upon price.
Formal Proposal
Any proposal submitted by a university employee to an outside entity that
may directly lead to an award. All formal proposals require an institutional
endorsement by an official authorized to commit university resources.
NOTE: ONLY ELECTED MEMBERS OF THE FACULTY MAY SUBMIT GRANT PROPOSALS.
ELECTED MEMBERS OF THE FACULTY INCLUDE: Professors, Associate and Assistant
Professors, Instructors and Lecturers.
Gift
A unilateral transfer of money, property, or other assets to the recipient
for the recipient's ownership and use by a donor who makes no claims on
the recipient in connection with the gift. Gifts normally have the following
characteristics: 1. The statement of work allows the project director
significant freedom to change emphases within the general area of work
as the project progresses. 2.No deliverables are involved. 3.Separate
accounting procedures are not required. 4.Benefits of the project are
to accrue to the nation and the world. 5.Sponsor has no audit rights.
6.No regulatory issues are involved, such as human subjects or animal
care.
Grant
An agreement to transfer money, property, services, or anything of value
to accomplish a purpose, such as support or assistance in an area of interest
to the grantor. For an award to be considered a grant, it normally will
contain the following elements: 1. The statement of work allows the project
director significant freedom to change emphasis within the general area
of work as the project progresses. 2.Deliverables are minimal, usually
consisting of reports only. 3.Separate accounting procedures are required.
Grantee
A grantee is the recipient of a grant. When the university accepts a grant
award, on be-half of an individual, it becomes the grantee.
Human Subjects
A living individual about whom an investigator conducting research obtains:
1.Data through intervention or interaction with the individual. 2.Identifiable
private information.
Indirect
Costs
See Facilities and Administrative (FAC or F&A) Costs.
Informal
Proposal
A short (generally 2-5 pages) description of the proposed project that
does not involve a commitment of university resources or a signature on
behalf of the university. An informal proposal may include a total cost
estimate but does not include a budget and is not expected to result directly
in an award. The purpose of an informal proposal is usually to inform
and interest the potential sponsor enough to request a more detailed formal
proposal. Also sometimes called a letter proposal, mini-proposal, preliminary
proposal, pre-application, or concept paper.
Informed
Consent
The voluntary agreement obtained from a subject (or the subject's legally
authorized representative) to participate in research or related activity,
before participating in that activity. The consent must permit the individual
(or legally authorized representative) to exercise free power of choice
without undue inducement or any element or deceit, fraud, force, duress,
or other form of coercion or constraint.
In-Kind
Contribution
A non-cash commitment (such as contributed effort, facilities use, or
supplies) to share the costs of a sponsored project.
Institutional
Authorized Officials
Individuals authorized by the Board of Regents to sign grants, contracts,
and agreements on behalf of NC State University.
Institutional
Review Board
A board or committee organized at the university to provide review at
the institutional level for ethical concerns in research, such as laboratory
animal care and the use of human subjects in research.
Intellectual
Property (IP)
Intellectual property is a broad term that encompasses the various intangible
products of the intellect of inventors. These include patents, trademarks,
copyrights, trade secrets, know-how, and other proprietary concepts, including
an invention, scientific or technological development, and even computer
software and genetically engineered microorganisms.
Key
Professional Personnel
Key professional personnel (or key personnel) are all individuals who
participate in the scientific development or execution of the project.
Typically, key personnel have a Ph.D. Ed.D., or M.D., but may also include
the master's or baccalaureate level, provided they contribute in a substantive
way to the research.
Letter
of Inquiry
A letter of inquiry is initiated by an applicant to determine if a proposed
project is within a private agency's fundable program areas and to request
agency policy and program information, as well as instructions and forms.
Letter
of Intent
A letter of intent advises a funding agency that an application will be
submitted in response to their solicitation. The letter may contain general
program information, unofficial cost estimates, and a request for specific
application guidelines, instructions and forms.
Limited
Submission
When a program limits the number or dollar value of proposals that each
institution may submit.
Matching
Funds
A cash commitment to share the costs of a sponsored project. See also
Cost Share.
Modification
Any change made to an existing sponsored agreement.
Modified
Total Direct Costs (MTDC)
The portion of direct costs on which the indirect costs are based, namely:
salaries and wages, fringe benefits, materials and supplies, services,
travel, and up to $25,000 on each subgrant and subcontract. Tuition,
scholarship and fellowship costs, participant support costs, equipment
(or fabricated equipment) greater than $5,000 are excluded from the basis
of computing indirect costs.
No-Cost
Extension (NCE)
Provides for an additional period of performance to accomplish project
goals. May be handled internally in certain circumstances or sought externally
from the sponsor.
Office
of Management and Budget (Federal)
OMB, working cooperatively with Federal agencies and non-Federal parties,
establishes governmentwide grants management policies and guidelines throughcirculars
and common rules. These policies are adopted by each grantmaking agency
and inserted into their Federal regulations. Their website is available
here: http://www.whitehouse.gov/OMB/grants/index.html
Sponsored
Programs & Regulatory Compliance Services (SPARCS)
Sponsored Programs & Regulatory Compliance Services (SPARCS) provides
services to facilitate the submission of proposals, negotiation of agreements,
and the administration of internally and externally funded projects. SPARCS
also provides services involving subagreements supported by funding provided
to North Carolina State University. All aspects of the externally sponsored
research and scholarship enterprise, including the pre-award management
and the non-fiscal post-award management, fall under the leadership of
SPARCS personnel.All administrative bodies at the university with responsibility to oversee
grants and contracts or matters of regulatory compliance are responsible
for seeking guidance from SPARCS to provide optimal stewardship of external
funds, regulated research subjects and other matters. To facilitate this
guidance, an Associate Vice Chancellor for Research Administration, who
also serves as the Director of the office, leads SPARCS. An Associate
and an Assistant Director and a team of EPA professionals provide additional
leadership. The directors and EPA professionals hold overall responsibility
to negotiate and accept legal terms and conditions for conducting externally
sponsored research, as well as for managing compliance with a myriad of
federal and state regulations.External sponsors include federal, state, local governments and private
enterprise. These sponsors provide funding via grants, cooperative agreements
or contracts wherein deliverables are identified and progress reporting
is expected. The office enjoys a robust and close relationship with the
development arm of the institution. Both entities foster excellent coordination
in determining the best fit between opportunities and sponsorship. Additionally,
SPARCS partners with the Office of Technology Transfer to ensure that
NC State University remains in the best possible position to execute licensing
agreements for intellectual property disclosed and ready for commercial
application by our federal, state and industrial partners.SPARCS also maintains primary regulatory compliance responsibilities,
including human and animal subjects, conflicts of interest and commitment
management, export controls, facility security matters, and research integrity.
Our goal is to provide stellar continuing education necessary to facilitate
the understanding of these critical areas of compliance as we endeavor
to reduce the overall regulatory burden on the institution's faculty and
staff. This goal extends throughout the SPARCS' organization and is illustrated
in its motto to Achieve.
Participant
Support Costs
Participant support costs refer to costs paid to or on
behalf of participants, trainees/fellows attending conferences, meetings,
symposia, training activities and workshops. A participant must be an
individual who is attending in the context of a "student." -Participant support costs may
include transportation, per diem, stipends, supplies, conference fees,
and other related costs (registration fees, books, instructional materials)
for participants only. Honoraria and travel for speakers and receptions
are not considered participant support costs.
-Employees of NC State, including Graduate Research Assistants (who are
considered employees), may be considered a participant under the definition
above, but should not be included under participant support cost in a
proposal budget because they are a NC State employee. Their costs should
be incorporated into other budget categories (i.e. travel).
-Participant support costs (non-employee participants) are exempt from
indirect costs.
Peer
Review
A process utilized by some federal and private agencies, whereby committees
of research investigators in the same area of research or with the necessary
expertise (from other institutions) review and recommend applications
to the funding agency.
Principal
Investigator (PI)
Typically, a faculty member who submitted a proposal that was accepted
and funded by an external sponsor, also referred to as the project director.
The PI has primary responsibility for technical compliance, completion
of programmatic work, and fiscal stewardship of sponsor funds.
Prior
Approval
The requirement for written documentation of permission
to use project funds for purposes not in the approved budget, or to change
aspects of the program from those originally planned and approved. Examples
of actions requiring prior approval are: rebudgets, no-cost extensions,
pre-award costs, subaward requests/modifications, change in scope/objective
of project, change in PI. Prior approval must be obtained before the performance
of the act that requires such approval under the terms of the agreement.
Rebudgeting
Process by which funds available for spending are reallocated between
budget categories to allow best use of funds to accomplish project goals.
Request
for Applications (RFA)
Any resulting awards would normally be funded by a grant. The RFA instructions
include the information necessary to complete the application and mailing
instructions.
Request for Proposals (RFP)
An RFP contains the detailed information that must be supplied in the proposal. The proposal procedure is often complex and must satisfy very specific requirements. Any resulting award(s) would normally be funded by a contract. See Invitation to Bid.
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Site
Visit
An agency-initiated review of a proposed project conducted at the applicant's
institution.
Sole
Source Acquisition
A procurement that does not provide full and open competition, but is
effected because only one source is available.
Sponsor
An external funding source which enters into an agreement with the university
to support research, instruction, public service or other sponsored activities.
Sponsors include private businesses, corporations, foundations and other
not-for-profit organizations, other universities, and federal, state and
local governments.
Subcontract
The subaward process is used when NC State passes through a portion of
the sponsored award to another entity for the purpose of programmatic
effort on the project or when NC State receives a portion of a sponsored
award from another organization. All the terms and conditions that are
part of the primary award must be included in the subaward document. Signature
of acceptance of these terms by the receiving entity is required. The following are not considered subawards.
Personal Services Contract: A Personal Services Contract (PSC) is with
an individual and that individual is usually considered a consultant.
They are paid a specific rate to deliver and we own what they deliver.
A budget that includes a subaward to another organization must
include the following:
a separate detailed budget signed by the sub-award's authorized official
a statement of work and/or letter of intent signed by the sub-award's
authorized official
a budget justification
When NC State is the organization receiving the subaward, we process:
a separate detailed budget and budget justification
a statement of work
a PINS record must be initiated and routed
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last updated
January 23, 2007
