Glossary of Terms
Grants.gov Grant Terminology
A-21 “Cost Principles for Educational Institutions,” a circular published by the federal Office of Management and Budget (OMB) that establishes the principles for determining the costs applicable to grants, contracts, and other government agreements with educational institutions (also known as Sponsored Projects). (See also Title 2 of the CFR).
A-110 “Uniform Administrative Requirements for Grants and Agreements With Institutions of Higher Education, Hospitals, and Other Non-Profit Organizations,” a circular published by the federal Office of Management and Budget (OMB) that sets forth standards for obtaining consistency and uniformity among federal agencies in the administration of grants to and agreements.
Abstract An abbreviated summary often submitted with a proposal.
AFOSRAir Force Office of Scientific Research (DOD)
Agency The sponsoring organization that provides funds to support research, training, or public service activities.
Allocable Costs Those allowable costs that are beneficial to the grant or contract to which they are being charged.
Allowable Costs Those categories of costs that can be charged to a grant, such as salaries and equipment. Certain types of costs, such as the cost of alcoholic beverages, are not allowable and may not be charged to a contract or grant.
Amendment A change to a contractual agreement that requires an authorized signature. Also called a “modification.”
AO Administrative Official
AOR Authorized Organization Representative. An AOR is the individual authorized to sign on behalf of the proposing organization and is authorized to act on behalf of the applicant and to assume the obligations imposed by laws, regulations, requirements, and conditions that apply to grant applications or grant awards.
AROArmy Research Office (DOD)
ARPA-eAdvanced Research Projects Agency - Energy (DOE)
Audit A formal examination of an organization’s or individual’s accounts or financial situation. An audit may also include examination of compliance with applicable terms, laws, and regulations.
Authorized Signature The signature of a university official who is designated to give assurances, make commitments, and execute documents on behalf of the Regents of the University of New Mexico.
Award Funds that have been obligated by a funding agency for a particular project.
Bayh-Dole Act The federal law that gives the university title to inventions developed with federal funding subject to certain conditions.
Broad Agency Announcement (BAA) An announcement of a federal agency’s general research interests that invites proposals and specifies the general terms and conditions under which an award may be made.
Budget Period The interval of time--typically twelve months--into which the project period is divided for budgetary and funding purposes.
Budget Adjustment The act of amending the budget by moving funds from one category or line item to another.
CAGE Commercial and Government Entity Code. See UNM Institutional Facts.
Carryforward Unexpected funds carried from one budget period to another.
CBD Commerce Business Daily. Obsolete: see Federal Business Opportunities instead.
CCR Central Contractor Registration. Replaced by System for Award Management (SAM).
Center for Scientific Review(CSR) (NIH)
Change Order A written order signed by the contracting officer, directing the contractor to make changes that the changes clause of the contract authorizes the contracting officer to order without the consent of the contractor.
Clinical Trial A clinical trial is a research study in which human volunteers answer specific health related questions designed to address specific research questions, ie. A clinical trial may be conducted to evaluate the effectiveness and safety of medications or medical devices.
Close Out The act of completing all internal procedures and sponsor requirements to terminate or complete a research project.
COLA Cost of Living Allowance granted to employees based in a foreign city, where cost of living is higher than in Washington, D.C.
Competing Proposals Proposals that are submitted for the first time or unfunded proposals that are resubmitted; either must compete for research funds. Ongoing projects must compete again if the term of the original award has expired.
Conflict of Interest A situation in which an investigator’s outside financial interest(s) or obligation(s) (real or perceived) have the potential to bias a research project or cause harm to human subjects participating in a research project. Investigators at UNM are subject to UNM’s system-wide policies, as well as specific State of New Mexico laws and federal regulations. See Conflict of Interest - Office of Research Compliance.
Consortium Agreement Group of collaborative investigators/institutions; arrangement can be formalized with specified terms and conditions.
Continuation Project (Non-Competing) Applicable to grants and cooperative agreements only. A project approved for multiple-year funding, although funds are typically committed on a year by year basis. At the end of the initial budget period, progress on the project is assessed. If satisfactory, an award is made for the next budget period, subject to the availability of funds. Continuation projects do not compete with new project proposals and are not subject to peer review beyond the initial project approval.
Contract A mechanism for procurement of a product or service with specific obligations for both sponsor and recipient. Typically, a research topic and the methods for conducting the research are specified in detail by the sponsor, although some sponsors award contracts in response to unsolicited proposals.
Contract/Grant Officer or Contracting Officer A sponsor’s designated individual who is officially responsible for the business management aspects of a particular grant, cooperative agreement, or contract. Serving as the counterpart to the business officer of the grantee/contractor organization, the grant/contract officer is responsible for all business management matters associated with the review, negotiation, award, and administration of a grant or contract and interprets the associated administration policies, regulations, and provisions.
Contractor The individual or organization performing the work under a contract.
Contracts and Grants Accounting (CGA)) The campus office responsible for financial oversight of extramural funds, for receiving actual contract and grant monies, for submitting invoices, and for submitting official financial reports.
Cooperative Agreement An award similar to a grant, but in which the sponsor’s staff may be actively involved in proposal preparation, and anticipates having substantial involvement in research activities once the award has been made.
Cost Accounting Standards (CAS) Federally mandated accounting standards intended to ensure uniformity in budgeting and spending funds. See Cost Principles for Sponsored Agreements.
Cost-Reimbursement Type Contract/Grant A contract or grant for which the sponsor pays for the full costs incurred in the conduct of the work up to an agreed-upon amount.
Cost Sharing A general term, used as a noun or adjective, that can describe virtually any type of arrangement in which more than one party supports research, equipment acquisition, demonstration projects, programs, institutions. Example: A university receives a grant for a project estimated to have a total cost of $100,000. The sponsor agrees to pay 75% ($75,000) and the university agrees to pay 25% ($25,000). The $25,000 is the cost-sharing component.
CRADA or CRDA Cooperative Research and Development Agreement
CSRCenter for Scientific Review (NIH)
DARPADefense Advanced Research Projects Agency (DOD)
Deficit Expenditures exceed available funds.
Deobligation The withdrawal of support under an award, in whole or in part, before the date of completion.
Direct Costs Clearly identifiable costs related to a specific project. General categories of direct costs include but are not limited to: salaries and wages, fringe benefits, supplies, contractual services, travel and communication, equipment, and computer use.
Donation Transfer of equipment, money, goods, services, and property with or without specifications as to its use. Sometimes the term donation is used to designate contributions that are made with more specific intent than is usually the case with a gift, but the two terms are often used interchangeably. Donations are administered by University of New Mexico Foundation. (Also see Gift)
DUNS Number The unique nine-digit identification number assigned by Dun & Bradstreet identifying a specific business or entity. The UNM DUNS Number is 868853094.
EIN Employer Identification Number. Also known as Federal Tax Identification Number. See Institutional Facts.
Electronic Research Administration (ERA) Conducting research administration by using electronic resources, often web-based, such as electronic submission systems, databases, and other tools.
Encumbrance Funds that have been set aside or “claimed” for projected expenses pending actual expenditure of the funds.
Endowment A fund usually in the form of an income-generating investment, established to provide long-term support for faculty/research positions (e.g., endowed chair).
EO Executive order
Equipment An article of nonexpendable tangible personal property with an acquisition cost of $5,000 or more having a useful life of one year or more. See UNM Inventory Control
eRA Commons The NIH eRA Commons is the National Institutes of Health system for interactive electronic transactions for the receipt, review, monitoring, and administration of NIH grants. See The NIH eRA Commons.
Expiration Date The date signifying the end of the performance period, as indicated on the Notice of Grant Award.
Extension An additional period of time given by the sponsor to an organization for the completion of work on an approved grant or contract. An extension allows previously allocated funds to be spent after the original expiration date.
Facilities and Administrative (F&A) Costs Costs that are incurred for common or joint objectives and, therefore, cannot be identified readily and specifically with a particular sponsored project, an instructional activity, or any other institutional activity. F&A costs are synonymous with Indirect Costs or overhead. See the UNM Facilities and Administrative (Indirect Cost) Rates.
FAR The Federal Acquisition Regulation is a comprehensive set of pre-written contract terms used by the federal government to draft federal contracts for procurement, including research and development contracts to educational institutions.
FastLane The National Science Foundation web site for transactions (e.g. proposal submission) between a research organization, its researchers, and NSF.
FDAFood and Drug Administration (DHHS)
FDP The Federal Demonstration Partnership is a cooperative initiative among 10 federal agencies and 155 institutional recipients; its purpose is to reduce the administrative burdens associated with research grants and contracts. The University of New Mexico is a member of FDP.
FDsys GPO Federal Digital System provides free online access to official publications, including the Federal Register and Code of Federal Regulations.
Federal Business Opportunities (FedBizOpps) An index for government buyers to publicize their business opportunities, including research opportunities.
FICFogarty International Center (NIH)
Final Report The final technical or financial report required by the sponsor to complete a research project.
Financial Disclosure A principal investigator must disclose direct or indirect financial interest in the sponsor of research funded by a non-governmental agency or by the National Foundation of Science or the Public Health Service.
Fiscal Year (FY) Any twelve-month period. The UNM fiscal year is July 1 through June 30; the federal fiscal year is October 1 through September 30.
Fixed-Price Contract/Grant A contract/grant for which one party pays the other party a predetermined price, regardless of actual costs, for services rendered. Quite often this is a fee-for-service agreement.
FOAFunding Opportunity Announcement: A publicly available document by which a federal agency makes known its intentions to award discretionary grants or cooperative agreements, usually as a result of competition for funds. FOAs may be referred to as program announcements, requests for applications, notices of funding availability, solicitations, or other names depending on the agency and type of program.
Fringe Benefits Employee benefits paid by the employer (e.g., FICA, Worker’s Compensation, Withholding Tax, Insurance, etc.). See UNM Finge Benefit Rates on Proposals.
FTE Full-time equivalent
Funding Cycle Range of time during which proposals are accepted, reviewed, and funded. If a sponsor has standing proposal review committees (or boards) that meet at specified times during the year, application deadlines are set to correspond with those meetings. For some sponsors, if proposals are received too late to be considered in the current funding cycle, they may be held over for the next review meeting (e.g., NSF’s Target Dates).
Gift Gifts and bequests are awards given with few or no conditions specified. Gifts may be provided to establish an endowment or to provide direct support for existing programs. Frequently, gifts are used to support developing programs for which other funding is not available. The unique flexibility, or lack of restrictions, makes gifts attractive sources of support.
Grant A type of financial assistance awarded to an organization for the conduct of research or other program as specified in an approved proposal. A grant, as opposed to a cooperative agreement, is used whenever the awarding office anticipates no substantial programmatic involvement with the recipient during the performance of the activities.
Grant/Contract Officer A sponsor’s designated individual who is officially responsible for the business management aspects of a particular grant, cooperative agreement, or contract. Serving as the counterpart to the business officer of the grantee/contractor organization, the grant/contract officer is responsible for all business management matters associated with the review, negotiation, award, and administration of a grant or contract and interprets the associated administration policies regulations, and provisions (For definition of scientific officer, see Program/Project Officer.).
Grants.gov The central portal that the federal government is implementing for grant submissions.
GSR Graduate Student Researcher
HHS (or DHHS) Department of Health and Human Services
HRSAHealth Resources and Services Administration (DHHS)
IACUC Institutional Animal Care and Use Committee. The UNM IACUC is the OACC.
IFB Invitation for Bid A solicitation issued to prospective bidders. An IFB describes what is required and how the bidders will be evaluated. Award is based on the lowest bid. Negotiations are not conducted.
In-Kind Contributions or assistance in a form other than money. For example: equipment, materials, or services of recognized value that are offered in lieu of cash.
Incremental Funding A method of funding contracts that provides specific spending limits below the total estimated costs. These limits may be exceeded only at the contractor’s own risk. Each increment is, in essence, a funding action.
Indirect Costs Costs related to expenses incurred in conducting or supporting research or other externally-funded activities but not directly attributable to a specific project. General categories of indirect costs include general administration (accounting, payroll, purchasing, etc.), sponsored project administration, plant operation and maintenance, library expenses, departmental administration expenses, depreciation or use allowance for buildings and equipment, and student administration and services. See Facilities and Administrative Costs.
Indirect Cost Rate The rate, expressed as a percentage of a base amount (see MTDC), established by negotiation with the cognizant federal agency on the basis of the institution’s projected costs for the year and distributed as prescribed in 2 CFR 200 Part E - Cost Principles. The indirect cost rate is charged on a set of direct costs known as an indirect cost base.
Invitation for Bid (IFB) A solicitation issued to prospective bidders. An IFB describes what is required and how the bidders will be evaluated. Award is based on the lowest bid. Negotiations are not conducted.
Investigator-Initiated Proposal A proposal submitted to a sponsor that is not in response to an RFP, RFA, or a specific program announcement.
IRB Institutional Review Board. At UNM, OIRB for is the IRB for human subjects research.
JIT Just in Time. NIH uses Just-In-Time procedures for certain programs and award mechanisms that call for limited information to be submitted with investigator-initiated applications and allow for a possible NIH request for additional information when the application is under consideration for funding. (NIH)
Key Personnel The personnel considered to be of primary importance to the successful conduct of a research project. The term usually applies to the senior members of the project staff; however, different sponsors may have different definitions of the term.
Limitation of Cost (LOC) A mandatory clause for cost-reimbursement type contracts. Under the clause, the sponsor is not obligated to reimburse the contractor for costs in excess of the stated amount. The contractor, however, is not obligated to continue performance once expenses reach the stated amount.
LOI Letter of intent
Matching Funds Funds raised from other sources to increase the level of support provided by the granting agency. Federal funds may not be used for matching on another federal project. Unlike cost sharing, neither personnel effort against the project nor reduction in indirect costs can be used for the matching component.
Matching Grant A grant that requires a specified portion of the cost of a supported item of equipment or project be obtained from other sources. The required match may be more or less than the amount of the grant. Some matching grants require that the additional funds be obtained from sources outside the recipient organization. Many matching grants are paid in installments, the payments coinciding with the attainment of pre-specified levels of additional funding.
Material Transfer Agreement (MTA) An MTA is a contract that governs the transfer of tangible research materials (usually biological) between two organizations.
Memorandum of Understanding (MOU) A contractual arrangement between the campus and another party that stipulates the terms and conditions under which specific work is performed.
Misconduct in Research Research misconduct means fabrication, falsification, or plagiarism, in proposing, performing, or reviewing research, or in reporting research results. See Office of Research Compliance.
MOA Memorandum of Agreement. See Memorandum of Understanding (MOU).
Modification An award document that modifies any aspect of an existing award other than those named above. Examples include: Carryover approvals, adding or deleting special terms and conditions, changes in funding levels, administrative changes initiated by the agency, extensions that include changes in terms, change of principal investigator, etc.
Modified Total Direct Costs (MTDC) At UNM, the basic indirect costs are calculated on a subset of direct costs, normally excluding among other costs, equipment, patient care, space rental, alterations and renovations, and subcontract costs in excess of the first $25,000.
NCINational Cancer Institute (NIH)
NDANondisclosure agreementAnagreement requiring the recipient of certain information to keep that information in confidence.
NEINational Eye Institute (NIH)
New Award An award not previously awarded or a renewal or continuation award treated as a new award by the sponsor and given a new agency number.
New and Competing ProposalsProposals that are submitted for the first time or ongoing projects that must re-compete for funding prior to expiration of the original award.
NHGRINational Human Genome Research Institute (NIH)
NHLBINational Heart, Lung, and Blood Institute (NIH)
NIANational Institute on Aging (NIH)
NIDANational Institute on Drug Abuse (NIH)
NIFANational Institute of Food and Agriculture (USDA)
NIMHNational Institute of Mental Health (NIH)
NINRNational Institute of Nursing Research (NIH)
NLMNational Library of Medicine (NIH)
NOANotice of Award
No-Cost Time Extension An extension of the period of performance beyond the expiration date to allow the principal investigator to finish a project. Usually, no additional funds are provided. Also called No-Cost Extension.
Notice of Grant Award The legally binding document that serves as a notification to the recipient and others that a grant or cooperative agreement award has been made; contains or references all terms and conditions of the award and may also contain documentation that includes information regarding the obligation of funds.
OEROffice of Extramural Research (NIH)
OSP Office of Sponsored Projects OSP provides support and assistance with proposal submission and management of successfully awarded projects. The OSP office works closely with faculty, department administrators and support staff across the Main and Branch campuses to ensure project success and compliance throughout the sponsored projects lifecycle[BL3] ..
OHRPOffice for Human Research Protections (DHHS)
OIG Office of the Inspector General
OMB Circulars Regulatory circulars issued by the Office of Management and Budget, for example, OMB Circulars A-21, A-110, and A-133. (Replaced by Uniform Guidance)
ONROffice of Naval Research (DOD)
OPOffice of President UNM Office of President
Replace with STC PAPPGProposal and Award Policies and Procedures Guide (NSF)
Peer Review A system using reviewers who are the professional equals of the principal investigator or program director who is to be responsible for directing or conducting the proposed project. It is a form of objective review. Peer review is legislatively mandated in some programs and in other programs is administratively required.
PHS Public Health Service
PHS 398Competing - Public Health Service Grant Application (NIH)
POP Period of Performance
PRDA Program Research and Development Announcement
Pre-Proposal A brief description of research plans and estimated budget that is sometimes submitted to determine the interest of a particular sponsor prior to submission of a formal proposal. Also referred to as a Preliminary Proposal.
Principal Investigator (PI) The individual responsible for the conduct of research or other activity described in a proposal for an award. See the UNM irb.unm.edu/sites/default/files/507.2%20Principal%20Investigator%20Eligibility.pdf policy on PI eligibility.[HC4]
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. Prior approval must be obtained before the performance of the act that requires such approval under the terms of the agreement.
Priority Score A score derived from the rating given a research proposal by each member on a review committee. It is used to help determine which approved proposals will be granted awards, based on funds available.
Program Announcement Describes existence of a research or other funding opportunity.
Program/Project Officer/Scientific Officer/Technical OfficerA sponsor’s designated individual officially responsible for the technical, scientific, or programmatic aspects of a particular grant, cooperative agreement, or contract. Serving as the counterpart to the principal investigator/project director of the grantee/contractor organization, the program/project officer deals with the grantee/contractor organization staff to assure programmatic progress. (For definition of business officer, see Grant/Contract Officer.)
Progress Report Periodic, scheduled reports required by the sponsor summarizing research progress to date. Technical, fiscal, and invention reports may be required.
Project Period The total time for which support of a project has been programmatically approved. A project period may consist of one or more budget periods.
Proposal An application for funding that contains all information necessary to describe project plans, staff capabilities, and funds requested. Formal proposals are officially approved and submitted by an organization in the name of a principal investigator.
R&D Research and Development
RCR Responsible Conduct of Research. See Required Responsible Conduct of Research (RCR) Training.
Rebudget The act of amending the budget by moving funds from one category or line item to another. (Also see Budget Adjustment.)
Regs Short for regulations.
Regulations The contractual rules and procedures governing sponsored research projects.
Renewal Applicable to grants and cooperative agreements only. A competitively reviewed proposal requesting additional funds extending the scope of work beyond the current project period.
Request for Applications (RFA) Announcements that indicate the availability of funds for a topic of specific interest to a sponsor. Proposals submitted in response to RFAs generally result in the award of a grant. (Also see Broad Agency Announcement.)
Request for Proposal (RFP) Announcements that specify a topic of research, methods to be used, product to be delivered, and appropriate applicants sought. Proposals submitted in response to RFPs generally result in the award of a contract.
Request for Quotations (RFQ) A formal request to vendors for a price quotation on equipment or supplies to be purchased.
Request to Spend Funds RTSF UNM form used when it is necessary to obtain an account/fund number for an extramurally funded project prior to receipt of the actual award from the sponsor.
Research Misconduct Fabrication, falsification, or plagiarism, in proposing, performing, or reviewing research, or in reporting research results. See Office of Research Compliance.
Revision A modified and resubmitted request for funding for a project that was previously not funded either because it was denied by the sponsor or withdrawn by the principal investigator.
RPPR Research Performance Progress Report. The RPPR will be used by federal agencies that support research and research-related activities for use in submission of interim progress reports.
Salaries and Wages (S&W) Payments made to employees of the institution for work performed.
SAM Federal System for Award Management
Scope of Work (Statement of Work) The description of the work to be performed and completed on a research project.
Senior Personnel Professional personnel who are responsible for the scientific or technical direction of project.
SF424 Standard form used for submission of pre-applications and applications and related information under federal grant programs.
Small Business Innovative Research (SBIR) Agency administered programs supported by ear-marked federal funds, making grants to small business entities.
Small Business Technology Transfer (STTR) Grant applications and/or programs to fund small business "teamed" with research institutions.
Small Grant A special type of award, often limited to a beginning researcher. Typically, such an award may be obtained for one year only.
SO Signing Official
SOWScope of Work (Statement of Work) The Scope of Work (SOW) is the area in an agreement where the work to be performed is described. The SOW should contain any milestones, reports, deliverables, and end products that are expected to be provided by the performing party. The SOW should also contain a time line for all deliverables.
Sponsor The organization or entity that funds a project. Also referred to as Agency.
SRF Subaward Request FormUNM form to request that payment be issued from the university to subawardees.
SRS Safety & Risk Services: https://srs.unm.edu/
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.
STTRSmall Business Technology Transfer Grant applications and/or programs to fund small business "teamed" with research institutions.
Subcontract, Subgrant, or Subagreement A document written under the authority of, and consistent with the terms and conditions of an award (a grant, contract or cooperative agreement), that transfers a portion of the research or substantive effort of the prime award to another institution or organization. See Working with Subrecipients.
Supplemental (Rebudgeting or Modification) Proposal A request to the sponsor for additional funds for an ongoing project during the previously approved performance period. A supplemental proposal may result from increased costs, modifications in design, or a desire to add a closely related component to the ongoing project.
T&C Terms and Conditions
Task Order Agreement (TOA) A legally binding document authorizing work and appropriating funds as a supplement to a basic contract.
Teaming Agreement An agreement between two or more parties to participate in a research project or teaching activity.
Technical Data Recorded information, regardless of form or characteristic, of a scientific or technical nature. Often referred to as the “science” of a proposal.
Templates Facsimiles of agency forms created with common software (MS Word, Excel, WordPerfect, etc.) that enable the user to fill out agency forms with their computer.
Terms of Award All legal requirements imposed on an agreement by the sponsor, whether by statute, regulation(s), or terms in the award document. The terms of an agreement may include both standard and special provisions that are considered necessary to protect the sponsor’s interests.
Total Direct Costs (TDC) The total of all direct costs of a project.
Total Project Costs The total allowable direct and indirect costs incurred by the institution to carry out an approved project or activity.
Uniform Guidance (UG) Office of Management and Budget Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards. (Final Guidance is located in Title 2 of the Code of Federal Regulations.)
Unilateral Award An award made by a sponsor to an organization without considering competitive proposals. Unilateral awards are most often made when unsolicited proposals receive favorable treatment.
Unrestricted Funds Monies with no requirements or restrictions as to how funds are to be used. Grants, contracts, and cooperative agreements are considered to be restricted funds, while gifts are usually considered unrestricted funds.
Unsolicited Proposal Proposal submitted to a sponsor that is not in response to an RFP, RFA, or program announcement. (See also Investigator-Initiated Proposal.)
USGS U.S. Geological Survey (DOI)
VPR http://research.unm.edu/ (UNM)