UVA Research Administration Glossary

ABSTRACT –Typically a single page (or less) document (read sponsor guidelines for length) that succinctly describes the major aspects of the proposed project  Scientific terms are used, specific aims concisely stated.  Should be written to the level that does not require expertise in the field.

ACCOUNT CREATE – Part of UVA OSP’s postaward group that is responsible for setting up all sponsored program PTAOs in the Integrated System.

ADMINISTRATIVE REGULATIONS - Regulations that implement (1) guidance from the Office of Management and Budget (OMB) contained in circulars that apply to the administration of all federal grants and cooperative agreements, (2) Presidential Executive Orders (where regulation is necessary), and (3) legislation that affects all applicants or recipients of federal grants and cooperative agreements.

ALLOWABLE COST - For proposal/post-award purposes, costs that are permissible for charging to a sponsored project.

ASSURANCES - A listing of a variety of requirements, found in different federal laws, regulations, and executive orders that applicants agree in writing to observe as a condition of receiving federal assistance. The institution provides a written guarantee or pledge indicating we will operate in a certain way or comply with certain terms and conditions.

AT-RISK ACCOUNT (aka “ Advance Account”) – PTAO established in advance of the receipt of official notification/funds from a sponsor.  Departments are fully responsible for all expenses on the award should the sponsor not make the award or disallow any of the cost incurred. See Procedure 8-12 for detailed instructions.

AWARD– (1) The amount of funds provided by a sponsor in response to a successful proposal (see also “Notice of Award”). Often stated for the entire project period and current year increment(s).   (2) In UVA’s Integrated System, is the “A” Segment of PTAO.

AWARD LETTER - Written notification from the funding agency indicating that a project has been funded, for how long and in what amount (see “Notice of Award”).

AWARD NEGOTIATION – Scope of activities between proposal submission and acceptance of an award by the university.  Issues under negotiation can include sponsor budget revisions, changes to scope of work, terms and conditions,  etc.

BIBLIOGRAPHY – List of citations of an individual’s published work. Shows the importance and current state of the applicant’s research.  Sponsors have varying requirements on citations in the body of the proposal and format of bibliographies.  (Many do not allow URL’s, but require full citations). See sponsor proposal guidelines for which roles require inclusion of a bibliography.

BIOSKETCH - Also known as Curriculum Vitae (CV) – a résumé-type document that shows the track record and abilities of personnel on the project to complete the project aims. See the sponsor proposal guidelines for which individuals require inclusion of a biosketch.

BLOCK GRANT – Large sums of money issued by the federal government to states or local governments to address broad areas of need, for example, education or social service programs. Recipients have significant discretion over how the money is to be spent. Block grants are awarded based on a formula.

BROAD AGENCY ANNOUNCEMENT (BAA) – A type of sponsored project proposal solicitation;  notice from the government that request scientific/research proposals related to broadly defined areas of interest.; typically leads to a contract (often seen in Department of Defense agency solicitations).

BUDGET - In sponsored program proposals, a budget is a plan for financial operation consisting of a (typically detailed) estimate of costs of carrying out the project; the “financial expression” of the project.

BUDGET JUSTIFICATION/NARRATIVE – A detailed written description explaining calculations and determinations used to derive cost estimates. Typically in words, not dollars.  Cost items required in justification can vary by sponsor/program (e.g., personnel, equipment, consultants, subawards, travel, etc.).

BUDGET PERIOD– Intervals of time (usually 12 months each) into which a project period is divided for budgetary and funding purposes.

CATALOG OF DOMESTIC ASSISTANCE (CFDA) - Published by the U.S. Office of Management and Budget (OMB) and this catalog describes all federal programs that distribute funds to states, organizations, and individuals (example: 84.022 identifies Fulbright-Hays Doctoral Dissertation Research Abroad Program.).

CATEGORICAL GRANT – The main source of aid to federal and local governments, these grants may only be used for narrowly defined purposes. May be distributed either on a formula or project (competitive) basis.

CERTIFICATION - A statement, signed by an applicant or recipient as a prerequisite for receiving federal funds, that it meets or will adhere to certain conditions and/or will undertake or not undertake certain actions. Usually viewed as an attestation which if fault may make institution subject to criminal sanctions.

CERTIFIED RESEARCH ADMINISTRATOR (CRA) and CERTIFIED PREAWARD ADMINISTRATOR (CPRA)- designations awarded by the Research Administrators Certification Council (RACC) to individuals who have met eligibility requirements and demonstrated a level of knowledge necessary to be a professional research or sponsored program administrator. (UVA periodically offers a CRA review course). 

CIRCULARS (OMB) – Instructions/information issued by the Office of Management and Budget to Federal agencies. Different circulars apply to different organization types. The information used in these circulars is used by grantee institutions to develop policies related to their management of federal awards.  For institutions of higher education, Circular A21 (now codified in 2 CFR 220) is the costing circular; Circular A-110 (now codified in 2 CFR 215) is the Administrative Circular; and Circular A-133 is the Audit Circular.

CLINICAL TRIAL – research using human volunteers that receive interventions according to a research plan or protocol created by investigators. The interventions may be drugs, devices, procedures, behaviors, or medicines. (See http://clinicaltrials.gov/ct2/info/understand for additional information on what constitutes clinical trials.)  Clinical trials at UVA are often funded by pharmaceutical companies in the form of a contract; however, the federal government also funds clinical research through grants and contracts.

CODE OF FEDERAL REGULATIONS (CFR) - Compilation of all final regulations issued by federal agencies and published annually by the National Archives and Records Administration in the Federal Register; divided into numbered 'Titles'; (example: Title 34 contains the regulations of the Department of Education.). Available electronically.

COMPETITIVE/COMPETING PROPOSAL - Applications that undergo peer review and compete against other proposals for available funds.

COMPLIANCE – With regard to sponsored program proposals, it is the process of ensuring that all applications follow federal and state laws, regulations, UVA policy, and sponsor requirements. Compliance can be financial or non-financial in nature (e.g., human subjects, biohazards, etc.).

CONFLICT OF INTEREST (COI) – With regards to sponsored programs, a conflict of interest (or FCOI- financial conflict of interest) is a situation in which outside financial or other personal considerations may compromise (or appear to compromise) an employee’s actions or judgments in design, conduct or reporting of sponsored program activities (see UVA Policy VIII.B.1. Resolution of Conflicts of Interest as they Relate to Research Contracts and School of Medicine Policy on Conflict of Interest and Conflict of Commitment).

CONGRESSIONALLY DIRECTED MEDICAL RESEARCH PROGRAMS (CDMRP) – Part of the Department of Defense. Congress designates funds for specific research with near-term treatment applications.

CONSORTIUM - A group of organizations sharing in the finances and/or administration of a single grant to accomplish project objectives and outcomes for a broader range of constituents or a larger service area. In the case of subrecipients of sponsored funds, a written consortium agreement is created between both entities that spells out the rights and obligations of each party during the collaboration.

CONSULTANT - A person with expertise external to the organization that is brought in to lend insight into the solution of problems or supply technical assistance beyond the capacity of the organization.

CONTINUATION (NON-COMPETING RENEWAL)– While we often call these “proposals”, they are progress reports submitted to the sponsor to obtain a year’s continued support for a previously funded grant.  They do not undergo peer review but are administratively reviewed and receive an award based on prior commitments and budget availability.

CONTRACT - An award of money to carry out a specific task, often  for a government agency, as described in a request for proposal (RFP). Contracts are typically awarded to bidders submitting proposals that best meet the requirements of the announced work, within a competitive budget range. UVA also receives many contracts from non-federal industry sponsors for clinical research.

COOPERATIVE AGREEMENT: A mechanism of support that involves greater involvement by the federal government in the scientific/programmatic outcome of the award than in the provision of funds.

COST ACCOUNTING STANDARDS (CAS) – Standards on cost accounting practice; for universities, included in 2 CFR 220 (OMB Circular A-21). See CAS Guidelines page for applicability to all phases of the sponsored program life cycle.

COST REIMBURSEMENT AWARD - Issued on the basis of the estimated costs of performing specified tasks and involves payment to the awardee for actual costs incurred up to the ceiling amount.

COST SHARING – Any costs of a sponsored project that are borne by the University. Some sponsors require cost sharing as part of the proposal; others may actually prohibit it.

COST TRANSFER - A procedure by which costs originally charged to one PTAO are moved to another PTAO in order to allocate costs properly. See UVA Procedures 8-20 (Preparation of Cost Transfers Involving Sponsored Program Accounts), 8-21 (Retroactive Cost Transfers for Expenditures) and 8-22 (Retroactive Labor Distribution Adjustments).

COVER SHEET – see “Face Page.”

CURRENT/PENDING SUPPORT – in a proposal,  a list of other financial resources, typically including of Federal, non-Federal, commercial or institutional, that are currently available  to support the individual’s research endeavors.  Sponsor may require committed effort on each resource, amounts, and inclusive dates. Pending support includes proposals submitted.  Used to identify over-commitment and/or overlap (see “Just In Time”).

DATA MANAGEMENT PLAN – Sponsor-mandated proposal documents that describe how proposals will conform to sponsor policies on the dissemination and sharing of research results both during the project and after it is completed.

DATA UNIVERSAL NUMBERING SYSTEM (DUNS NUMBER) – A DUNS number is a unique nine-digit identification number provided by Dun & Bradstreet (D&B). The Federal government uses this number to identify related organizations that are receiving funding under grants and cooperative agreements, and to provide consistent name and address data for electronic grant application systems. This number is often required on sponsored program proposals, and can be found at the Important Information page at the Office of Sponsored Programs.

DEADLINES - Dates that applications for grants or contracts must be submitted. Pay close attention to whether the deadline is "to be received at the agency" by the deadline or "postmarked" by the deadline. UVA’s Office of Sponsored Programs and School of Medicine have deadlines and suggested due dates for proposals. Individual schools and departments may have deadlines that are even earlier.

DEFENSE ADVANCED RESEARCH PROJECTS AGENCY (DARPA) – An agency of the United States Department of Defense (DOD) – responsible for research and development of new technologies for use by the military. Proposals often solicited via Broad Agency Announcement.

DELIVERABLE – Tangible or intangible item or service produced as the result of the work funded by a sponsored award.

DIRECT COSTS - Costs that can be identified specifically with a particular project or program and that are typically itemized by categories with descriptive terms for utilization of funds (salaries, travel, etc.). (See CAS and UVA’s Guidance and Tools for Management of Cost Accounting Standards).

DISCRETIONARY GRANT - An award of financial assistance in the form of money, or property in lieu of money, by the federal government to an eligible recipient, usually made on the basis of a competitive review process. This term is especially prominent on the Department of Education website.

EDUCATION DEPARTMENT GENERAL ADMINISTRATIVE REGULATIONS (EDGAR): Administrative regulations governing Department of Education discretionary grant and cooperative agreement programs found in Parts 74, 75, 76, 77, 79, 80, 81, 82, 85, and 86 of Title 34 of the Code of Federal Regulations (CFR).

EFFORT- Committed time of individuals on the project, expressed in number of months or percentage (depending on sponsor requirement), regardless of whether salaries are requested. Committed effort will have to be tracked throughout the life of the project. (see "Effort@UVA").

EFFORT@UVA – The University of Virginia’s online effort tracking system. To access the system, visit https://er.admin.virginia.edu/effortreporting/ . For additional information on the Effort Reporting process, visit the Effort@UVA information pages on the OSP website.  Training in the concepts and Effort@UVA system navigation is available from OSP.

EFFORT REPORTING COORDINATOR – In the Effort@UVA System, these individuals act in support and administrative roles in regards to the time and effort certification practices of the institution. Their responsibilities include: understanding the principles and practices surrounding time and effort certification, establishing effective processes in their areas to assist with these practices; reviewing effort reports for completeness and accuracy based upon knowledge of budgets, commitments of effort and payroll scheduling; assisting and guiding Certifiers/Faculty in the process and coordinating necessary adjustments in payroll in support of the periodic effort certifications. Click here for more information on roles in the Effort@UVA system.  Note: All individuals designated as ERCs must complete mandatory training.

EMPLOYER IDENTIFICATION NUMBER (EIN) - The number the Internal Revenue Service assigns to every employer. This number is often required on sponsored program proposals, and can be found at the Important Information page at the Office of Sponsored Programs.

ERA – Electronic research administration.

eRA COMMONS - A web-based system for applicants and institutions to participate in the NIH electronic grant administration process.  This account ID is required for Principal Investigators and others on NIH proposals.  Research administrators working with the NIH should obtain access to eRA Commons through the School of Medicine Grants and Contracts Office.  It is important for PI’s and department research administrators to verify electronic submission in eRA commons of NIH proposals via grants.gov, once the SOM submits the proposal.

EVENT BASED AWARD – In these types of sponsored programs, sponsors are billed at certain predefined intervals, for example, lump sum payments, clinical trial case report form generation, equal payments, project milestones, and prepayments.

EXPANDED AUTHORITIES – Standard terms and conditions on certain Federal agency grants that delegate authority to grantees to make certain changes without prior approvals, for example, preaward costs and no-cost extensions.

EXPORT CONTROLS – Export Controls are federal laws and regulations that prohibit or restrict the export (shipment, transfer or provision to parties outside the US) of certain commodities, information or services for reasons of national security and foreign policy.  Export controls also apply to certain transfers to foreign persons located in the US. (see UVA’s Office of Export Controls for additional information).

FACLITIES AND ADMINISTRATIVE COST (F&A, aka “indirects” and “overhead”) – Costs that are incurred for common or joint objectives and, therefore, cannot easily be identified with a particular project with a high degree of accuracy.  They are actual costs to UVA for doing research. F&A reimbursement on sponsored projects is typically in the form of a single percentage of direct costs. (See UVA’s Financial Reporting and Analysis website for additional information and training on F&A at UVA).  Choosing the correct F&A rate is an important part of the budgeting process for proposals. UVA has several F&A rates that apply, depending on the location and type of work being done on the sponsored project.

FACE PAGE/COVER SHEET – The first page of a sponsored program proposal that often includes demographic information about the PI and institution, amount of funding requested, proposal period, and other information. On paper submissions, the face page or cover page will also have a space for the institutional representative’s signature.

FastLane – The National Science Foundation (NSF) online website through which the agency conducts their relationship to researchers, potential researchers, reviewers and research administrators and their organizations. Sponsored program proposals can be submitted electronically via FastLane.

FEDERAL ACQUISITION REGULATIONS (FAR) – Regulations issued by federal agencies to govern the process through which the government purchases (“procures”) goods and services via contracts.

FEDERAL BUSINESS OPPORTUNITIES (FedBizOpps) - The single government point-of-entry for Federal government-wide procurement opportunities over $25,000 (contracts).

FEDERAL DEMONSTRATION PROJECT (FDP) – An organization formed by Federal agencies and grantee organizations to develop and test more efficient ways to administer Federal grants and contracts. The FDP provides a set of terms and conditions meant to reduce administrative work for institutions managing Federal grants.

FEDERAL FLOW-THROUGH/FLOW-DOWN FUNDS - Federal flow-through funds are awards from other  entities and institutions (such as the Commonwealth of Virginia, certain foundations, and other universities) that are funded, in total or in part, by federal agencies.

FEDERAL REGISTER - A publication issued daily by the National Archives and Records Administration listing all federal regulations and legal notices, including announcements of all federal grant competitions.

FELLOWSHIP – Typically an award made to UVA on behalf of an individual fellow. Fellowships typically are intended to cover certain training-related expenses of the fellow.  Note that while the individual may be listed in a sponsor’s database as the PI, and typically another eligible Principal Investigator must be named as the PI in the Integrated System.  (Note: Fellowships that are sponsored awards should not be confused with other fellowships that come directly to individuals, or with clinical fellowships in the Health System).

FISCAL YEAR (FY) - The accounting year, as designated by the calendar year in which it ends, e.g., for UVA, FY 15 covers the period July 1, 2014 to June 30, 2015. The Federal Fiscal Year is Oct. 1 through Sept. 30.

FIXED PRICE AWARD - Sponsor promises a fixed sum of money to accomplish the project; If actual costs to complete are more than that fixed price, the institution bears those costs. Receipt of funds may be event/milestone based

FORMULA GRANT – A federal grant that is noncompetitive and based on a predetermined formula, for example, x dollars per public school student.  The purpose is to allocate funding based on quantifiable variables.

FOUNDATION – Non governmental entities that are typically established as nonprofit corporations or charitable trusts that support a common good. (Foundations can also be a source of federal flow-down money).

FOUNDATION CENTER - A non-profit entity that maintains comprehensive databases on grantmakers and their grant opportunities.

FRINGE BENEFITS - Benefits such as life and health insurance, retirement, unemployment compensation and workers compensation that are paid in addition to salary.  For proposals, fringe benefits are budgeted as a percentage of salary, depending on employee type. (See Fringe Benefit rates).

FUNDING OPPORTUNITY ANNOUNCEMENT(FOA) – A notice in Grants.gov of a federal grant funding opportunity.

GIFT - Activities supported by a donor that are generally not considered sponsored projects and can be processed as gifts may include certain characteristics – see UVA Policy FIN-001 for a list of those characteristics.

GOLDENROD – see “Proposal Approval Form.”

GRADUATE RESEARCH ASSISTANT (GRA) – per UVA Policy PROV-001, graduate research assistants (GRAs) “conduct academically significant research related to their academic program and their development as future researchers, with a minimum of supervision, under the guidance of a faculty member. Graduate students hired on an hourly basis to conduct short-term research, organize conferences, or provide other types of academic support are not graduate research assistants and are not eligible for tuition remission.”  All proposals with qualified GRAs should include tuition remission (if permitted by the sponsor; however, even if sponsors do not allow tuition remission, Policy PROV-001 requires departments must find other sources of funds to support it. See "Tuition Remission").

GRANT – Federal grants are awards of financial assistance by the federal government whereby money and/or direct assistance is provided to carry out approved activities. A grant is to be used whenever the agency anticipates no substantial programmatic involvement with the recipient during performance of the financially assisted activities. Research grants are awarded to institutions on behalf of a principal investigator to facilitate pursuit of a scientific focus or objective in the area of the investigator's interest and competence. Grants can be classified on the basis of type of activity or activities supported (research, training, service, etc.); degree of discretion allowed the awarding office (mandatory or discretionary); and/or method of determining amounts of award (negotiated basis or formula). Non-federal grants  - are assistance offered by non-federal entities. (Note that some non-federal sponsors can award federal “flow-down” funds.) The term “grants” should not be confused with the Grants module in the Integrated System; it is referred to as either Grants Management or Grants Accounting. Either name can be confusing, because the module is used for setting up Projects and Awards and for budgeting Award and Project combinations regardless of whether or not they are sponsored programs.

GRANTEE - The institution (public or private, nonprofit or for-profit, educational institution, hospital, corporation, organization, agency, or other legally accountable entity) that receives a grant or cooperative agreement and assumes legal, financial, and scientific responsibility and accountability both for the awarded funds and for the performance of the grant-supported activity.

GRANTOR - Entity that provides the funds to carry out sponsored projects.

GRANTS.GOV – A government web portal that centralizes electronic proposal solicitations and applications for 26 federal agencies. UVA submits numerous proposals through grants.gov..

INDIRECT COSTS -  See “F&A.”

INSTITUTIONAL ANIMAL CARE AND USE COMMITTEE (IACUC) – A federally mandated institutional committee that oversees and evaluates all aspects of the Institutional Animal Care and Use Program. No work can be done with animals, nor can funds be spent on animals if a current approved IACUC protocol is not on file. A copy of a current IACUC should be included with your proposal, unless the information is going to be provided “just in time” to the sponsor.  In many cases the IACUC approval will be listed as “pending’ in both the sponsor application and UVA Proposal Approval Form. Your PI will need to give you a copy of this document.

INSTITUTIONAL RESEARCH TRAINING GRANT - Grant awarded to eligible institutions to support predoctoral and postdoctoral research training to prepare scientists for careers in behavioral and biomedical research. Graduate students and postdoctoral trainees are appointed to the training grant by the training institution. (Click here for information on the NIH T32 institutional training grant mechanism).

INSTITUTIONAL REVIEW BOARD (IRB) -  An institutional oversight committee, required by the federal government, for institutions performing research designated as human subjects research. The purpose of the IRB is to foster ethical treatment of human research participants.  IRB’s review all proposed human subject research. As with IACUC approvals, no work or release of funds can be carried out without current IRB protocol approval.  In many cases the IRB approval will be listed as “pending’ in both the sponsor application and UVA Proposal Approval Form. Your PI will need to give you a copy of this document, or you can email the IRB directly and ask for access to a database of protocols.

JUST-IN-TIME INFORMATION – The NIH requests certain information for proposals that are within the fundable range (current and pending support, IACUC/IRB approval, certification of training on Human Subjects Protections).

K AWARD – NIH Career Development (K series) awards. Provides support and protected time for individuals to develop as research scientists at various points in their career. 

KEY PERSONNEL – Usually (but not always) an NIH term, key personnel refers to individuals whose effort is absolutely essential to the proposed activity, either because of their critical leadership positions within the proposal. In addition to the Principal Investigator/Program director, typically includes research scientists, principal scientists, and/or senior scientists. Replacement of these named individuals often requires sponsor permission, so only those individuals who are crucial to the program should be designated as key in the proposal.

LETTERS OF SUPPORT - Letters from partner organization, consultants, department chairs, mentors and the like that are included in the sponsored program proposal. Not all sponsors require or even allow letters of support. Some sponsors may require certain types of letters to be submitted directly to the sponsoring entity, separate from the proposal application.

LIFE CYCLE OF A SPONSORED PROJECT – The typical sponsored project involves four functional phases: Proposal Submission, Award Negotiation and Receipt, Award Management/Performance, and Closeout or Continuation. Each phase of the life cycle has different compliance and other requirements for departments, schools and OSP.

MATCHING FUNDS - Cash or "in-kind" support, contributed by the grantee to fulfill objectives of the project. Amount of needed matching funds varies with program. Matching funds are considered cost share.

METHODOLOGY – see “Research Plan."

MODIFED TOTAL DIRECT COSTS – The direct costs on which the F&A costs are budgeted/calculated. Typically, MTDC is all direct costs of the project EXCLUDING the following: Equipment with an estimated life of one or more years and purchase cost over $5,000; the portion of each total individual subaward in excess of $25,000; Patient Care Costs; Tuition Remission; Scholarships and Fellowships; and  Space Rental Costs.

MODULAR BUDGET -  A type of budget required by NIH for certain award instruments when applicants request up to $250,000 in direct costs.  The amount of budgetary detail required is limited and applicants request direct costs in $25,000 modules.

NATIONAL SCIENCE FOUNDATION (NSF) – An independent federal agency that promotes the progress of science by supporting basic research in fields such as math, science and social sciences. 

NATIONAL INSITUTES OF HEALTH (NIH) – A part of the U.S. Department of Health and Human Services and Public Health Service, it is the nation’s medical research agency.  It is made up of 27 institutes and centers, each with a specific research agenda, often focusing on particular diseases or body systems.

NEGOTIATION - Preaward discussions conducted by an authorized institutional official with a sponsor on such items as budgets, terms and conditions, contract provisions and clauses, etc.

NIH GRANTS POLICY STATEMENT (NIH GPS)– A single document that provides NIH grantees with the policy requirements that serve as the terms and conditions of NIH grant awards.  It includes information on application requirements for various types of grants.

NO-COST EXTENSION (NCE) - Occasionally extra time is needed beyond the stipulated end date for a PI to complete a project. A no-cost extension gives the PI extra time to complete the scope and objectives of the project without additional funds being provided by the sponsor. (Requests may not be made for the sole purpose of spending remaining funds).

NOTICE OF AWARD (NOA) – A legal document issued by a grantor to notify the grantee that an award, based on a submitted proposal, has been made. It often includes project and budget/funding dates, amount of funds, terms and conditions, and reporting requirements.  UVA’s OSP also issues Integrated System-generated “Project/Award Notices” presenting a summary of PTAO fields and other information.

OFFICE OF SPONSORED PROGRAMS (OSP) – The University’s central administrative office for oversight of sponsored programs.

OTHER SUPPORT – see “Current/Pending Support.”

OVERHEAD COSTS – see “F&A”

PARENT ANNOUNCEMENT– NIH-wide funding opportunity announcements enabling applicants to submit electronic investigator-initiated grant applications via grants.gov for individual grant mechanisms (e.g., Research Project Grand – R01).

PASS-THROUGH ENTITY -  As defined in OMB Circular A-133, a pass-through entity is a non-Federal entity that provides a Federal award to a subrecipient to carry out a Federal program. (The terms subawardee, subcontractor, and subrecipient agreement are often used interchangeably to describe a pass-through entity; however, from a federal perspective, a pass-through entity specifically applies to federal funds passed through a non-federal entity to a subrecipient).

PEER REVIEW -  A sponsor's system of review of sponsored program proposals that utilizes reviewers who are the professional equals of the principal investigator responsible for directing or conducting the proposed project.

POSTAWARD – Typically refers to grant activities that occur after sponsor awards funds to a recipient.

PREAWARD - Typically refers to grant activities up to the point that a sponsor awards funds to a recipient.

PRIME SPONSOR - An entity that has overall responsibility for conducting a program usually involving subawards to other entities/institutions.

PRINCIPAL INVESTIGATOR/PROGRAM DIRECTOR (PI/PD) – Typically a faculty member who submitted a proposal for research or other type of sponsored funding that was accepted and funded by an external sponsor. The following Policy/Procedures relate to eligibility of an individual to be the PI/PD:
Policy:
VIII.A.1. – Eligibility to be PI
Procedure:
8-8– Request for individual not meeting criteria to serve as PI/PD
8-10 – Multiple Principal Investigators on Federal Awards

PROFESSIONAL RESEARCH STAFF (PRS) – See UVA Policy HRM-033 for definitions, education requirements, and procedures.  PRS includes (1) Junior PRS– Research Assistants and Postdoctoral Research Associates and (2) Senior PRS – Research Scientists, Senior Scientists, and Principal Scientists. Postdoctoral Research Associates are considered employees of the University and are paid a salary from the institution. (Postdoctoral Fellows are externally funded -e.g., training grant, home country support - are not considered employees and receive a stipend.  (see Definition of Postdoc at U.Va.).

PROGRAM ANNOUNCEMENTS - Formal statements that describe and give notice to the grantee community of the existence of an extramural research activity or announce the initiation of a new or modified activity or mechanism of support and invite applications for grant or cooperative agreement support.

PROGRAM OFFICER - A sponsor representative who may do some or all of the following; (1) developing program regulations, application notices, and application packages, 2) overseeing the review and ranking of applications submitted under their programs, 3) providing detailed funding recommendations to the Grants Division for applications, 4) participating in negotiations, as necessary, 5) providing technical assistance to applicants and recipients, 6) monitoring technical aspects and oversight of awarded projects Note that federal Program Officers do NOT have authority to override our costing principles or to make determinations of cost allowability.

PROJECT PERIOD - The total amount of time (sometimes several years) during which an agency authorizes a recipient to complete the approved work of the project described in the application; project periods of more than one year are divided into budget periods.

PROPOSAL – Detailed request (can be electronic or paper) for funds submitted to a sponsor to underwrite costs of a research or other type of activity, prepared by an eligible principal investigator or project director, and endorsed/signed by the appropriate institutional representative. The proposal serves as the official record of commitments to the sponsor by the PI/PD and UVA.

PROPOSAL APPROVAL FORM (aka “Goldenrod) - The Proposal Approval Sheet, often referred to as the Goldenrod, is the internal form required whenever a new proposal, continuation, revision, or renewal is submitted for funding. The Goldenrod form provides a means for proposal routing as well as an agreement between the Principal Investigator and the University concerning policies and regulations governing sponsored funding.
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PROPOSAL CENTRAL - An electronic proposal submission and review website shared by many non-profit, and private grant-making organizations.

PROVISIONS AND ASSURANCES - Documents accompanying an application, which include stipulations and requirements from the funding and required guarantees by the applicant to conform to federal and state rules on such activities as lobbying, human subjects research and subcontracting. Provisions and assurances becomes, by reference, part of the official legal agreement for the project. Note: Provisions and Assurances are managed centrally by OSP. Departments are not typically responsible for this part of a proposal.

PTA(E)O- PTAEO stands for Project,,Task, Award, Expenditure Type and Organization. The portion excluding the expenditure type is the account number assigned to sponsored research awards by the Office of Sponsored Programs (OSP). An example of a PTAEO account is 123456.101.GA12345.30110  (see “At Risk” Accounts).

PUBLIC HEALTH SERVICE (PHS) – Term used for 8 Agencies and three human service agencies that administer programs for the US Department of Health and Human Services. Previously, there existed a PHS grants policy statement that now is found under the HHS Grant Policy Statement.

R01The Research Project Grant (R01) is the original and historically oldest grant mechanism used by NIH. The R01 provides support for health-related research and development based on the mission of the NIH.

REBUDGET – Reallocation of funds from one spending category to another after an award has been made.  Depending on terms and conditions, may require sponsor approval. (see "Expanded Authorities" and "Federal Demonstration Project").

RECON@UVA - System of record that provides an electronic solution for the documentation of reconciliations for all organizational units at the University of Virginia (including all academic schools and departments). Visit the Recon@ website for additional information.

RENEWAL PROPOSALS – A request for additional funding for a support period subsequent to that provided by an existing project. As opposed to continuations/non-competitive renewals, applicants compete for the additional funding and proposals typically undergo peer review.

REPRESENTATIONS – Statements of fact in a sponsored agreement concerning the institution’s capabilities and abilities to perform; misrepresentations may allow for injured party to collect damages, but not necessarily void the entire agreement.

REQUEST FOR APPLICATIONS: A formal announcement typically from a governmental sponsor that invites grant or cooperative agreement applications in a well-defined scientific area to support specific program initiatives, indicating the amount of funds set aside for the competition and the estimated number of awards to be made.

REQUEST FOR PROPOSALS (RFP) - An announcement by an agency that it is accepting proposals to accomplish a specific objective, using strict guidelines and technical components.

RESEARCH ADMINISTRATOR -  Term used to describe an individual who performs administrative functions for sponsored awards (not necessarily just research awards).  Functions include proposal development, post award management, compliance, project management, and many other responsibilities (e.g., space management, human resources, etc.).

RESEARCH PLAN – The main part of a grant application describing a PI’s proposed research, its importance, and how it will be conducted. 

RESOURCES – Part of a grant proposal (often mandatory) that allows PIs/PDs to describe existing resources, facilities and institutional support available to support the project.

RESPONSIBLE CONDUCT OF RESEARCH (RCR) – Ethical standards for the conduct of research. Training in these standards is mandated by both the NIH and NSF. See also UVA Policy RES-004, “Policy: Research Misconduct.”

REU – NSF-funded programs that support undergraduates for one to three-month often residential research opportunities in the laboratories of NSF-funded investigators. The intent of the REU program is primarily to recruit undergraduates to graduate programs in STEM.

REVISION/RESUBMISSION PROPOSALS – Revisions to proposals that were previously submitted to a sponsor but not funded or withdrawn. Sponsors vary in whether they allow resubmissions and/or the number of times a given proposal may be resubmitted.

SALARY CAP – Requires to a sponsor-mandated maximum amount used to calculate the maximum salary support that can be requested for an individual on a sponsored project.  Common examples include the NIH Salary caps and maximum salaries that can be used to calculate NIH “K” (Career Development) awards.  Note that individuals over a salary cap that are budgeted on a sponsored project proposal de facto have cost sharing on that project. (Note that UVA currently does NOT require submission of a Cost Share – Proposal Approval Form Part Four - form for this type of cost sharing).

SCIENCE, TECHNOLOGY, ENGINEERING AND MATHEMATICS (STEM) – STEM is a commonly-used acronym for these fields of study in the United States. It is often used in addressing education policy and curriculum development related to the nation’s future competitiveness in the area of technology development.

SF424 R&R  - The Standard Form 424 Research and Related form is a government-wide form used to submit proposals for federal assistance to grant-making agencies.  In partnership with federal grant-making agencies and the applicant community, Grants.gov established the Standard Forms 424 (SF-424) Form Families as the core government-wide standard data sets and forms for grant application packages.

SOLICITED PROPOSAL – A proposal submitted in response to a specific work statement from the sponsor. RFP’s and RFAs are sometimes used by sponsors to solicit proposals for specific research or training projects, or to provide specific services or goods.

SP23 – The SP23 Grant Change Form is a UVA-OSP form submitted by departments  to request certain changes to project attributes, request no-cost extensions, preaward costs, at-risk/advance accounts, internal subaward PTAOs, and other actions to their sponsored program projects.

SP30 – The SP30 Subcontract Request Form is a UVA-OSP form submitted by departments to request the issuance of/modify a subcontract/subaward to an external subrecipient.

SPONSOR - The organization that funds a proposed project via award of a contract, grant or cooperative agreement, or other agreement. Sponsors can be both external and internal to the institution requesting the funds.

SPONSOR GUIDELINES – documents, policies and procedures that provide information to current and potential awardees about sponsor proposal and award processes, guidelines for spending and managing funds, and other administrative requirements for sponsored projects.  Examples include the NIH Grants Policy Statement, NSF Proposal and Award Policies and Procedures Guide, and the American Heart Association Guide for Affiliate Research.  Sponsor guidelines are often updated, and the most recent version should always be used when preparing proposals.

SPONSORED ACTIVITY/SPONSORED PROJECT – externally funded programs under which UVA is legally obligated to perform a defined scope of work according to specific terms and conditions within budgetary limitations. See UVA Policy FIN-001 for characteristics that distinguish gifts from sponsored activity/ projects.

STATE FORMULA GRANTS -  These are entitlement grants made to states in accordance with a variety of formulas such as the number of children or students to be served. In state-administered grants, the state itself is the grantee and may award grants to subgrantees on either a discretionary or formula basis. State formula grant programs, provide grants to State education agencies that in turn send the funds to local school districts to serve students. State Education Agencies receive funds based on formulas specified in program regulations.

STATEMENT OF WORK – Information in a sponsored program proposal that describes the work to be performed and/or any deliverables to be provided.

STIPEND - A payment made to an individual under a fellowship or training grant in accordance with pre-established levels to provide for the individual's living expenses during the period of training. See Current Wage Authorizations at the UVA Provost’s website for information on student employment/rates, assistantships and rates, professional research staff, etc.

SUBAWARD – Legal agreement between UVA and another entity in which a significant portion of work on a sponsored project is assigned to that entity (see "Subrecipient") to fulfill.   Terms and conditions from the sponsor are typically  “flowed down” to the subrecipient. (The terms subaward, subcontract, subagreement, and subrecipient agreement are often used interchangeably; however a true subcontract is a subrecipient agreement that takes the form of an actual contract). Subawards can be “incoming” – where UVA is the subrecipient - or “outgoing” – where an external entity is the subrecipient.

SUBRECIPENT (aka Subawardee/Subcontractor): An entity that receives funds from a prime sponsor/contractor (or another subrecipient) to carry out a substantial part of the work on the prime’s sponsored project (see "Pass-Through Entity).  UVA can act as both a subrecipient and a prime, depending on the direction of the subaward (incoming or outgoing).

SUMMARY STATEMENT (aka “Pink Sheet) – A written evaluation of an NIH application that is provided confidentially to the PI (in eRA Commons) by the Scientific Review Officer that ran the application review meeting. It includes written critiques and recommendations prepared by the reviewers. PIs should address Summary Statement critiques if they prepare a resubmission of the application. (Note: Sponsors vary on whether and how much feedback they give on proposals that are not accepted for funding).

SUPPLMENTAL PROPOSALS – A formal request to a sponsor for additional funds on an existing project, outside of previously budgeted continuation funds.  Supplemental proposal increase the total award to the recipient. An example of a supplemental proposal would be a request to a sponsor to fund the replacement of a piece of equipment that was not previously budgeted.

TOTAL DIRECT COSTS – The circumstance under which F&A costs are budgeted/calculated using ALL direct costs of the project with no exclusions.

TRANSACTION CONTROLS – Expenditure controls “built in” to the accounting system to enhance compliance by blocking the charging of certain expenditure types to sponsored projects. Transaction controls are applied at the “P” (Project) level of the PTAO.  See UVA OSP Procedure 8-15 “Transaction Controls and Notice of Award Distribution”.  Also see Costing Principles and Guidelines

TUITION REMISSION – provides full payment of in-state tuition and fees during the academic year for graduate research assistants, and may be charged to sponsored programs if allowed by the sponsor.  UVA Policy PROV-001 requires that all graduate students in a qualified assistantship receive tuition remission, regardless of their source of funding.  If funds are not available from the same source of funds, departments will need to identify other sources of funds to make the payment.

UNSOLICITED PROPOSALS - initiated by the applicant and submitted according to the sponsor’s broad guidelines, as opposed to specific work solicitations under RFPs/RFAs.