Sponsored Projects Glossary
On this page: Commonly used Sponsored Projects Definitions, Sponsored Projects Acronyms and Sponsor Specific Acronyms. Also see the RSP Manual Definitions.
Sponsored Projects Definitions
A B C D E F G H I K L M N O P R S U
A
Acceptance
Before an offer can become a binding promise and result in a contract,
it must be accepted. Acceptance can be made in oral or written form or
by commencing performance on the contract.
The acceptance must be identical with the offer and unconditional. This
means that the acceptance must be positive and unambiguous and cannot
change, add to or qualify the terms of the offer. Any alterations or
conditions imposed on an offer create a counter-offer, which is
basically a rejection of the original offer.
Activity
Distribution Report (ADR)
Effort reporting and certification form required for compliance with
federal regulation.
Advantage
This centralized computer system processes on-line purchasing
documents, provides instant financial status updates and produces
monthly accounting reports. Advantage is maintained by the ASU Financial Services,
which reports to the Office of the Vice President for Administrative
Services.
Agency/Org
Also known as an account number, this code identifies each award within
the university financial system.
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:
- Reasonable
- Allocable to the project
- Given consistent treatment by use of generally accepted accounting principles
- Conform to any limitations or exclusions set forth by the sponsored agreement or OMB Circular A-21.
Contact the appropriate ORSPA site officer for advice on questions regarding the allowability of expenditures.
Amendment
See Modification
Assurances
See Certifications.
Award
Funds provided from an external sponsor for support of a project at
ASU. This term is used for both original award and supplements; it can
mean monies or equipment.
B
Broad Agency Announcement
An announcement that is general in nature and that identifies areas of
research interest, including criteria for selecting proposals, and
soliciting the participation of all offerers capable of satisfying the
government's needs.
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.
C
Capital Equipment
An article of property that is not permanently attached to buildings or
grounds and that has an acquisition cost of $5,000 or more (exclusive
of sales and/or use tax, freight, and installation) and a life
expectancy of one year or more.
Certifications
Conflict of Interest (Disclosure of Financial Interest) -
For NSF and PHS a certification requires an 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). Debarment and Suspension -
A certification assuring the federal agency that the research personnel
and the institution are not presently declared ineligible for receiving
federal support, have not been convicted of fraud or a criminal offense
in the performance of a federal award, are not in violation of federal
or state statutes, are not presently indicted for criminal or civil
charges and have not within a three-year period preceding the
application had one or more federal, state or local transactions
terminated for cause or default. Delinquent Federal Debt - A
certification provided to the federal awarding agency that the
applicant organization is not delinquent on the repayment of any
federal debt. Drug-Free
Workplace-
A certification assuring the federal agency that the institution does
and will continue to provide a drug-free workplace as required by the
Drug-Free Workplace Act of 1988. Lobbying - A certification
assuring the federal agency that no federal appropriated funds or any
other non-federal funds have been paid or will be paid for influencing
any federal official or employee in connection with the awarding of any
contract, grant or agreement. Misconduct in
Science - A
certification that the institution has established administrative
policies dealing with and reporting possible misconduct in science, and
that it will comply with the policies and requirements as published in
the federal agency's regulations.
Classified
Information
Research sponsored by a federal government entity that involves
restrictions imposed by agreement or otherwise on the distribution or
publication of the research findings or results following completion,
for a specified period or for indefinite duration.
Coeus
A computer system maintained in a centralized database that allows
users to perform many aspects of the research administration process.
Coeus is used mainly by ORSPA staff to track all proposal, award,
sponsor, and recognition information, etc., but is being made available
to department administrators.
Cognizant
Audit Agency
The office or staff that is designated to perform audits on behalf of
the federal government for sponsored projects at a university. The
cognizant audit agency for ASU is the Department of Health and Human
Services (DHHS).
Collaborators
Individuals, external to ASU, whose expertise is required by the Principal Investigator to perform the sponsored project scope of work.
Collaborator Roles
- Consultant: Collaboration provided by independent contractors that provides professional services to the university as paid contributors.
- External Investigator: Collaboration provided by researchers from other organizations that provides expertise as unpaid contributors.
- Subrecipient: Collaboration provided by individuals of a legal entity to which a subaward is made and which is accountable to ASU for the use of the funds provided.
- Partner: Collaboration provided by others external to ASU through a formal partnership agreement that splits the shared responsibility of the project and cooperative effort with ASU.
- Joint Appointment with ASU: Collaboration provided through an appointment based on a formal Memorandum of Understanding that is agreed to between an external organization and one of their employees and ASU to establish a dual appointment of that individual as an ASU adjunct faculty member.
- Other: Collaboration provided through means not defined above.
Companion Account
Advantage uses specific local agency/organizations referred
to as companion accounts to account for university funded direct cost
project expenditures. The exclusive use of companion accounts for these
expenditures permits the University to meet federal accounting
requirements regarding sponsored project accounting.
Competent Parties
The parties to a contract must be legally able to commit to the
agreement. This means that each party to the contract must have the
authority to sign the contract (e.g., authorized to commit the agency
or organization that he/she represents), be eighteen years of age or
older, and be of sound mind at the time of the agreement.
For ASU, the Director of the Office for Research and Sponsored Projects
Administration and/or the Assistant Director, is legally authorized by
the Arizona Board of Regents to make offers and accept contracts on
behalf of the University.
Conflict
of Interest (Disclosure of Financial Interest) Certification
See Certifications.
Consideration
Consideration is anything of value that changes hands between the two
parties of contract. Although we usually think of consideration as an
exchange of money and goods (or services), consideration may take other
forms as well. For example, the waiver of a legal right has been found
to be adequate consideration.
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.
Consultant
An individual whose expertise is required by the Principal Investigator
to perform the research. (A consultant may be a paid or unpaid
contributor.)
Continuation Proposal/Renewal
Proposal
Additional funding increments for projects beyond the original grant
period. See specific sponsor guidelines for submission requirements.
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:
- Detailed financial and legal requirements must be included with a specific statement of work to be performed.
- A specific set of deliverables and/or reports to the sponsor is required.
- Separate accounting procedures are required.
- Legally binding contract clauses must be included.
- Benefits of the project accrue first to the sponsor, then to the university, then to the nation.
Contractor
One who enters into a binding agreement to perform a certain service or provide a certain product in exchange for money, goods, or services.
Contractor Purchasing Systems Review (CPSR)
A complete and in-depth review and evaluation by the U.S. government of
ASU's purchasing system. This evaluation includes the Purchasing Department's
system and ORSPA's system established for procurements issued under
sponsored projects.
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 the sponsor agrees to reimburse ASU based
on actual project expenditures incurred during the performance period.
Cooperative
Research and Development Agreement (CRADA):
A CRADA provides an opportunity for governmental investigators to join
with their colleagues from industry and academia in the joint pursuit
of common research goals. The purpose of a CRADA is to make government
facilities, intellectual property, and expertise available for
collaborative interactions to further the development of scientific and
technological knowledge into useful, marketable products.
Cost Sharing
The portion of project costs not borne by the sponsor. Cost sharing
should not be confused with other commitments of university resources
to the project director's program, staff, equipment or facilities that
are not specifically or solely related to a specific project.
Acceptable cost sharing contributions must meet the following criteria:
- The contributions to be cost shared are verifiable by ASU records.
- The contributions to be cost shared are allowable, allocable, reasonable, and necessary for proper and efficient accomplishment of specific project or program objectives.
- Federal funds, directly or indirectly, are not used for cost sharing on other federally funded projects, except where authorized by federal statute to be used for cost sharing or matching.
- The contributions to be cost shared are not included as contributions for any other project.
- The contributions to be cost shared are directly identifiable with the sponsored project as outlined in the proposal budget and/or budget justification, and thus incorporated in the award notice.
D
Debarment and Suspension Certification
See Certifications.
Delinquent Federal Debt Certification
See Certifications.
Direct Costs
Direct costs charged to sponsored agreements must be allowable,
allocable, and reasonable. Those costs that can be identified
specifically with a particular sponsored project, an instructional
activity, or any other institutional activity, or that can be directly
assigned to such activities relatively easily with a high degree of
accuracy. Examples: (1) compensation of employees for
performance of work under the sponsored agreement, including related
fringe benefit cost; (2) the costs of materials consumed or expended in
the performance of the work; (3) other items of expense incurred for
the sponsored agreement, provided such costs are consistently treated
in like circumstances.
Donated
Property
Property provided by an outside party for specific activities related
to sponsored project and/or research activities of the university;
title to the property passes to the university at essentially no cost.
Drug-Free
Workplace Certification
See Certifications.
E
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 Activity
Distribution Report (ADR) system.
Equipment
Generally, articles of non-expendable tangible personal property having
a useful life and an acquisition cost which meet or exceed the
established thresholds for defining equipment. Equipment is not a
replacement part or component returning a piece of equipment to its
original condition. If a component increases the capability of the
original equipment and has an acquisition cost that meets or exceeds
the established equipment cost thresholds, it is considered a capital
item.
Employee Related Expenses (ERE)
Employee related expenses (ERE), also known as fringe benefits, is a
normal and required direct cost category for most educational
institutions. These costs need to be estimated for all employees
proposed to work on a project. (Do not be confused by some agency
budget forms that call ERE/fringe benefits “overhead.”) ERE comprises
the ASU or employer-paid portion of FICA; health, dental, and life
insurance; unemployment and worker’s compensation; and retirement
costs. ERE represents costs paid by ASU (not the employee).
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.
Extramural Support
Funding for research, training or public service programs provided by
federal or private sources outside the university.
F
Fabrication
Equipment that is constructed by combining or assembling modular
components and/or materials into one identifiable unit. Procurement of
the components and/or materials may preclude open competition and will
require the cooperation of the project director, ORSPA, and Purchasing.
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. Negotiated, approved rates are to be
used for all agreements, as allowable. Information on current F&A
cost rates are available from the Office for Research and Sponsored
Projects Administration. See the Off-Campus
definition.
Faculty Member
An employee of the board in teaching, research, or service whose notice
of appointment is as lecturer, senior lecturer, instructor, assistant
professor, associate professor, professor, or Regents Professor, or
whose notice of appointment otherwise expressly designates a faculty
position. Graduate students who serve as assistants, associates, or
otherwise are academic appointees as well as graduate students but are
not faculty members.
Federal
Acquisition Regulations (FAR)
The Federal Acquisition Regulations System is established for the
codification and publication of uniform policies and procedures for
acquisition by all executive agencies. It consists of rules and
regulations governing business with Federal Government. These
regulations govern all aspects of federal procurement.
Firm Fixed-Price (FFP)
A type of agreement whereby payment is not based on actual costs
expended but upon a mutually agreed upon price.
Fixed Price (FP)
A type of agreement whereby payment is not based on actual costs
expended but upon a mutually agreed upon price.
Foreign
Travel
Foreign travel includes travel outside of the United States and its
territories and possessions (Guam, American Samoa, Puerto Rico, the
Virgin Islands, and the Canal Zone) and Canada. A trip is considered
foreign travel for all legs of the itinerary if the traveler does not
return to his or her post prior to departure for a foreign destination.
Fringe Benefits
See Employee Related Expenses
Full and Open Competition
The solicitation of bids from prospective suppliers which is used to
assure that all responsible bidders are permitted to compete for the
procurement.
G
General
Purpose Equipment
Equipment that is not limited to research, scientific, or other
technical activities. Examples of general purpose equipment include
office equipment and furnishing, air conditioning equipment,
reproduction and printing equipment, motor vehicles, and automatic data
processing equipment.
Gift
A unilateral transfer of money, property, or other assets from a donor
to the recipient, for the recipient’s ownership and use, without
restrictions on the recipient in connection with the gift.
Unrestrictive gifts and grants normally have the following
characteristics:
- The statement of work allows the project director significant freedom to manage the project and determine how the assets will be utilized.
- These awards do not require deliverables or detailed technical reports.
- These awards do not require separate accounting procedures or detailed financial reports.
- These awards do not include provisions for audit by or on behalf of the sponsor.
- These awards do not require regulatory oversight in areas such as animal care, human subjects, bio-safety, or financial conflict of interest.
- These awards do not utilize background intellectual
property nor stipulate the ownership rights for foreground intellectual
property.
Governmental
Donated Property
Property donated or transferred to the institution by a municipality,
county, state agency, or the federal government.
Government-Furnished Equipment (GFE)
Equipment provided to the university by the federal government or
government contractor; title may or may not remain with the government.
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:
- The statement of work allows the project director significant freedom to change emphasis within the general area of work as the project progresses.
- Deliverables are minimal, usually consisting of reports only.
- Separate accounting procedures are required.
Grant and
Contract Accounting (GCA)
The Grant and Contract Accounting (GCA) section of the Office for
Research & Sponsored Projects (ORSPA) provides oversight and
interpretation of agency and other federal regulations for determining
if adequate systems are in place for proper charging, documentation,
reporting and reimbursement of expenditures to sponsored accounts.
Grantee
A grantee is the recipient of a grant. When the university accepts a
grant award, on behalf of an individual, it becomes the grantee.
H
Human Subjects
A living individual about whom an investigator conducting research
obtains:
- Data through intervention or interaction with the individual.
- Identifiable private information.
I
Identifiable Information
Information from which the identity of the subject is or may be readily
ascertained or associated.
Indirect Costs
See Facilities and Administrative (FAC or F&A) Costs.
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.
Infrastructure Support
As a requirement for accepting federal funding for research, the
university must negotiate Facility and Administration Agreement with
the Department of Health and Human Services. Facility and
administration expenditures as defined by this agreement are referred
to as infrastructure support.
In-Kind
Contribution
A non-cash commitment (such as contributed effort, facilities use, or
supplies) to share the costs of a sponsored project.
In-State
Travel
Travel within the borders of Arizona.
Institutional
Authorized Officials
Individuals authorized by the Board of Regents to sign grants,
contracts, and agreements on behalf of ASU.
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.
Intergovernmental Agreement (IGA)
An agreement whereby two or more public agencies of the state may
contract with each other provided that such contracts are authorized by
the governing bodies of each agency and that the contracts are executed
in accordance with Arizona law (Arizona Revised Statutes 11-951).
Investigator
Incentive Award (IIA)
Investigator Incentive Awards (IIAs) are granted by the OVPREA on
awards containing indirect costs if ORSPA has been furnished the
proposal in a timely manner (some restrictions apply).
Invitation to Bid
Written documents soliciting pricing and/or technical proposals to
supply goods or services as specified in the requesting document.
Correct use of Invitations to Bid constitutes full and open
competition. See Request for Proposal (RFP).
K
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.
L
Legal Purpose
A contract must have a lawful purpose in order to be enforceable. For
example, a contract to manufacture or sell whiskey would not have been
enforceable during Prohibition.
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
Programs restricted by sponsors in terms of the number of proposals that may be submitted by a single institution.
Loaned
Equipment
Property provided by an outside party for use by the institution for
sponsored project or research related activities; title to the property
does not pass to the university.
Lobbying Certification
See Certifications.
M
Major Project
A large, complex project that entails assembling and managing teams of
investigators. They also require a significant amount of
administrative effort to complete specifically identified requirements
of the project. Examples per OMB Circular A-21 are:
- Large, complex programs such as General Clinical Research Centers, Primate Centers, Program Projects, environmental research centers, engineering research centers, and other grants and contracts that entail assembling and managing teams of investigators from a number of institutions.
- Projects which involve extensive data accumulation, analysis and entry, surveying, tabulation, cataloging, searching literature, and reporting (such as epidemiological studies, clinical trials, and retrospective clinical records studies).
- Projects that require making travel and meeting arrangements for large numbers of participants, such as conferences and seminars.
- Projects whose principal focus is the preparation and production of manuals and large reports, books and monographs (excluding routine progress and technical reports).
- Projects that are geographically inaccessible to normal departmental administrative services, such as research vessels, radio astronomy projects, and other research fields sites that are remote from campus.
- Individual projects requiring project-specific database management; individualized graphics or manuscript preparation; human or animal protocols; and multiple project-related investigator coordination and communications.
Matching
Funds
A cash commitment to share the costs of a sponsored project. See also
Cost Share.
Misconduct
in Science Certification
See Certifications.
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.
N
No-Cost Extension (NCE)
Provides for an additional period of performance to accomplish project
goals. May be handled internally via UPAS in certain circumstances or
sought externally from the sponsor.
O
Off-Campus Facilities &
Administrative Cost Rate
An off-campus rate is applicable to those projects conducted in
facilities not owned or operated by the university, which include
charges for facility rental as a direct expenditure, and for which more
than 50% of the project salaries and wages are for effort conducted in
the rental facility. See the Facilities &
Administrative Costs definition.
Also refer to the Facilities & Administrative
Rate Application Guidelines for On/Off Campus, Proposal
Budgeting Information Sheet and Facilities
and Administrative Costs procedure for more information.
Offer
An offer is a proposal, by one party to another, of intent to enter
into a contract on the terms specified in the offer. In Government
procurements, and Invitation for Bids (IFB), or Request for Proposals
(RFP) constitutes a request by the Government for offers of a certain
nature. The bid or proposal submitted in the response to the
solicitation is in fact an offer.
Office for
Research & Sponsored Projects Administration (ORSPA)
The Office for Research and Sponsored Projects Administration (ORSPA)
is the division of the Office of the Vice President for Research and
Economic Affairs (OVPREA) that provides oversight to ensure that the
University meets the terms of awards and all legal and regulatory
requirements and that all fiscal matters related to sponsored grants
and contracts are properly addressed (including the negotiation of the
University's facilities & administrative cost rates). The OVPREA
has designated ORSPA as the final institutional signature required for
proposal submission and award acceptance.
Office of the Vice
President for Research and Economic Affairs (OVPREA)
The Office of the Vice President for Research and Economic Affairs
(OVPREA) is responsible for the research programs and other sponsored
activities of the university. This office provides leadership in the
development of policies and procedures that will enhance the research
mission while protecting programs and interests of the university.
Overhead
See Facilities and Administrative (FAC or F&A) Costs.
P
Participant
A participant is an individual who receives services from a project or
program funded by an award. Participants perform no work or services
for the project or program other than for their own benefit. University
employees may not be participants.
Participant Costs
Program Participants are the recipients of service or training provided
at a workshop, conference, seminar, symposia or other short-term
instructional or information sharing activity funded by an external
grant or award or the training beneficiaries of the project or program
funded by an external grant or award. A participant is not involved in
providing any deliverable to the university or a third party, or would
not be terminated or replaced for failure to perform.
Participant Payments are costs used to pay program participant small
stipends and possibly reimbursement of travel costs or other
out-of-pocket costs incurred to support attendance at a workshop,
conference, seminar, symposia or other short-term training or
information sharing activity. For more information refer to the
Financial Services Site at
http://www.asu.edu/fs/advantage/ExpCodes2.html.
Personnel Action Form (PAF)
The document used to authorize effort for an individual to be charged
to a specific project.
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.
Program Income
Program income is gross income earned by the recipient that is directly generated by a supported activity or earned as a result of the award.
Program income includes, but is not limited to, income from fees for services performed, the use or rental of real or personal property acquired under federally funded projects, the sale of commodities or items fabricated under an award, license fees and royalties on patents and copyrights, and interest on loans made with award funds.
For federal awards, program income is to be identified by the recipient and handled in one of three ways:
- Additive Method: added to available funds and used for program objectives
- Cost Share Method: used to finance the cost shared portion of the project
- Deductive Method: deducted from the allowable federal costs of the program
Except for research awards, the Deductive Method applies unless the awarding agency specifies to the contrary in its regulations or in the award. The Additive Method applies to research awards by default unless the awarding agency specifies another alternative.
Interest earned on advances of federal funds is not program income. Except as otherwise provided in federal awarding agency regulations or the terms and conditions of the award, program income does not include the receipt of principal on loans, rebates, credits, discounts, etc., or interest earned on any of them.
For more details on program income, please refer to OMB Circular A-110.
For non-federal awards, stipulations around program income should be addressed in the sponsor's terms and conditions or by contacting the sponsor through your sponsored project officer.
Project Director
See Principal Investigator.
Proposal
Any written presentation/application to a potential source of external funds, referred to as a sponsor, for a research or other sponsored project that provides pricing or cost estimates is considered a proposal. All proposals submitted by a university employee to an outside entity that may directly lead to a sponsored project award, require initial review and coordination through the Office for Research & Sponsored Projects (ORSPA) prior to submission to a potential sponsor, utilizing a Proposal Routing & Approval Form. Proposals are generally grouped as formal or informal proposals:
- Formal proposals prepared and submitted to a sponsor outline the scope of activities to be undertaken in response to sponsors' Request for Proposal (RFP) or other requests from a potential sponsor (e.g. RFQ). Informal discussion may also result in the submission of a written formal proposal to be evaluated by the sponsor before a commitment is made to provide funds to support the program or project envisioned. All formal proposals require an institutional endorsement by an official authorized to commit university resources.
- Informal proposals, also referred to as pre-proposals, letter proposals, mini-proposals, preliminary proposals, pre-applications, concept papers, or white papers) are frequently requested by agencies in order to triage potential applicants. A Proposal Routing & Approval Form is also required for these preliminary submissions. Pre-proposals may take many forms, but typically the agencies request a brief summary (generally 2-5 pages) of the project, personnel, and cost estimate. These informal proposals do not involve a commitment of university resources or a signature on behalf of the university since they are not expected to result directly in an award. The purpose of these informal proposals is usually to inform and interest the potential sponsor reviewing these summaries so that they invite the applicant to submit a more detailed formal proposal application.
Proprietary
Information
Research sponsored by non-governmental entity or individual that
involves restrictions on the distribution or publication of the
research findings or results following completion, for a specified
period or for indefinite duration.
R
Rebudgeting
Process by which funds available for spending are reallocated between
budget categories to allow best use of funds to accomplish project
goals.
Research and Related Activities
All formal investigative efforts (whether funded or unfunded) by
faculty, students, and staff that are designed to develop or contribute
to generalized knowledge, including analyses of secondary data.
Research &
Sponsored Projects Policy Manual (RSP)
Provides policies and procedures relating to funded and unfunded
research for all ASU faculty and staff involved in research at ASU.
Research Incentive Distribution (RID)
A percentage of the Facilities & Administrative costs recovered from sponsors by ASU that is returned to the responsible college as research incentive funds.
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 specific instructions for technical and cost proposals,
and usually include a sample contract with terms and conditions that
need to be reviewed and approved prior to the submission of the
proposal. The institutional endorsement for this type of proposal is
considered an official offer; therefore, it must meet certain
requirements before if can be signed and submitted.
S
Single Source Acquisition
Issuing an award to a subcontractor
without full and open competition. This may be done if an award is the
result of a collaboration (where the ideas, concepts, and methodology
were developed by the two parties jointly). There are restrictions on
the use of this means of procurement and documentation must show
justification for using single source acquisition.
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.
Special
Purpose Equipment
Equipment which can be used only for research, scientific, or other
technical activities.
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.
Sponsored Project
A project supported by an external funding source under a mutually
binding agreement that restricts the use of funds to the approved
project and stipulates other conditions with which the university must
comply. Sponsored projects typically:
- are initiated by a formal proposal and award notice
- are restricted to a particular purpose as described in the proposal
- require technical and/or financial reports
- entail other administrative requirements.
The decision to classify a source of support as a sponsored project is coordinated among the Office for Research and Sponsored Projects Administration (ORSPA), the Development Office, and the Comptroller’s Office. See RSP 004, “Definitions” for a more complete definition.
Subaward
An award of financial assistance in the form of money, or property in
lieu of money, made under an award by a recipient to an eligible
subrecipient or by a subrecipient to a lower tier subrecipient. The
term includes financial assistance when provided by any legal
agreement, even if the agreement is called a contract, but does not
include procurement of goods and services nor does it include any form
of assistance which is excluded from the OMB Circular A-110 definition
of "award" in paragraph (e).
Subcontract
A contract issued under a prime contract, agreement,
purchase order, or grant for the procurement of services or
program-related tasks over $10,000. Purchase orders for the procurement
of goods and supplies do not qualify as subcontracts under policy RSP 503-05,
Subcontracts, and fall under the purview of the Purchasing Department.
Issuance of subcontracts under federal prime award are subject to
compliance with federal law and all subcontracts are subject to the
terms and conditions of the prime award and the normal purchasing
requirements of the State of Arizona.
Subcontractor
Any supplier, distributor, vendor, or firm that furnishes supplies or
services to or for a prime contractor or another subcontractor.
Subrecipient
The legal entity to which a subaward is made and which is accountable
to the recipient for the use of the funds provided. The term may
include foreign or international organizations (such as agencies of the
United Nations) at the discretion of the Federal awarding agency.
Supplemental Proposal
Additional support requested to assure adequate completion of the
original scope of work.
U
University Prior Approval System (UPAS)
The system is in place to allow university approval of administrative,
budgeting and spending actions as delegated by certain federal
sponsors; a UPAS
form documents the facts pertinent to a request for changes, including
the institutional prior approvals.
Unlike Circumstances
Unlike circumstances are associated with the consistent
treatment of direct costs and F&A costs on sponsored projects.
F&A costs cannot be charged directly to sponsored projects unless
“unlike circumstances” can be justified. Justification must meet the
following criteria:
Direct charging of administrative or clerical staff salaries may be appropriate under the following circumstances:
-
The project is large, complex, and entails assembling and managing teams of investigators, and
-
A significant amount of administrative effort is required to complete specifically identified requirements of the project:
- Projects that involve extensive data accumulation, analysis and entry, surveying, tabulation, cataloging, searching literature, and reporting, such as epidemiological studies, clinical trials, and retrospective clinical records studies
- Projects that require making travel and meeting arrangements for large numbers of participants, such as conferences and seminars
- Projects with a principal focus of the preparation and production of manuals, and large reports, books and monographs (excluding routine progress and technical reports)
- Projects that are geographically inaccessible to normal departmental administrative services, such as seagoing research vessels, radio astronomy projects, and other research field sites that are remote from the campus
- Individual projects requiring project-specific database management; individualized graphics or manuscripts preparation; human or animal protocol, IRB preparations and/or other project-specific regulatory protocols; and multiple project-related investigator coordination and communications.
Direct charging of office supplies, postage and/or telecommunications costs, substantially beyond that normally provided by academic departments, may be appropriate under the following circumstances:
-
The cost is required by the project scope:
- local telephone services would be allowable under a program requiring telephone survey,
- postage would be allowable for a program requiring surveys by mail;
and,
-
the cost is identified and properly justified in the sponsored agreement budget and narrative; and,
-
the sponsoring agency accepts the cost as part of the project direct cost budget.
Sponsored Projects Acronyms
AAALAC
Association for the Assessment and Accreditation of Laboratory Animal
Care
AAU
American Association of Universities
ACO
Administrative Contracting Officer
ACUC
See IACUC.
ADCRC
Arizona Disease Control Research Commission
ADPE
Automatic Data Processing Equipment
ADR
Activity Distribution Report
AICPA
American Institute of Certified Public Accountants
APHIS
Animal and Plant Health Inspection Service
ARPA
Advanced Research Projects Agency
A.R.S.
Arizona Revised Statutes
ASPM
Armed Services Pricing Manual
ASPR
Armed Services Procurement Regulations
AUTM
Association of University Technology Managers
BAA
Broad Agency Announcement
BAFO
Best and Final Offer
BOA
Basic Ordering Agreement
CAS
Cost Accounting Standards
COI
Conflict of Interest
Co-PI
Co-Principal Investigator
CR
Cost Reimbursement
CRADA
Cooperative Research and Development Agreement
CTR
Cost Transfer Request (Non-Payroll)
ERE
Employee Related Expenses
F&A
Facilities and Administrative Costs (formerly "indirect costs")
FAR
Federal Acquisition Regulations
FP
Fixed Price
GCA
Grant and Contract Accounting
GFE
Government-Furnished Equipment
IACUC
Institutional Animal Care & Use Committee
IDC
Indirect Costs (See F&A)
IGA
Intergovernmental Agreement
IIA
Investigator Incentive Award
IP
Intellectual Property
IRB
Institutional Review Board
MTDC
Modified Total Direct Costs
NCE
No Cost Extension
ORSPA
Office for Research & Sponsored Projects Administration
OVPREA
Office of the Vice President for Research and Economic Affairs
PA
Program Announcement
PAF
Personnel Action Form
PD
Project Director
PI
Principal Investigator
RFA
Request for Applications
RFP
Request for Proposal
RIA
Research Incentive Award
RID
Research Incentive Distribution
RSP
Research & Sponsored Projects Policies and Procedures Manual
SPA
Sponsored Projects Accountant
SPET
Sponsored Payroll Expense Transfer
SOW
Statement of Work
SPO
Sponsored Projects Officer
SPS
Sponsored Projects Services
TDC
Total Direct Costs
UPAS
University Prior Approval System
Sponsor Specific Acronyms
ADAMHA
Alcohol, Drug Abuse, and Mental Health Administration
ADEQ
Arizona Department of Environmental Quality
ADHS
Arizona Department of Health Services
ADOT
Arizona Department of Transportation
AFOSR
Air Force Office of Scientific Research (DOD)
AHA
American Heart Association
AID
See USAID.
AMA
American Medical Association
ANA
Administration for Native Americans
AOA
Administration on Aging
ARO
Army Research Office
BLM
Bureau of Land Management
USAID
United States Agency for International Development