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Acronyms and Glossary

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08/21/2017 - 12:05pm

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A

Activity Distribution Report (ADR) See Effort Report (ER).  ADR's were used to document effort prior to the 2007 establishment of the current Effort Reporting System within PeopleSoft.

Advantage This centralized information system processes on-line purchasing / financial documents, provides instant financial status updates and is used to produce monthly accounting reports. Advantage is maintained by the ASU Financial Services, which reports to the Office of the Executive Vice President, Treasurer and Chief Financial Officer.

After the Fact If a proposal was submitted to a sponsor without using the internal routing process, then the subsequent routing of internal forms for approval is considered “after the fact.”

Agency/Org Short for Agency/Organization. Also known as an account number, this code uniquely identifies each award within the university financial system.

Allocable Cost A cost that is chargeable or assignable to a cost objective on the basis of relative benefits received or other equitable relationship.

Allowable Costs Determined by the Office of Management and Budget (OMB), the sponsor's requirements and/or university policy. Uniform Guidance (2 CFR 200) defines allowable costs as those that are: 1. Reasonable; 2. Allocable to the project; 3. Given consistent treatment by use of generally accepted accounting principles; 4. Conform to any limitations or exclusions set forth by the sponsored agreement or Uniform Guidance.

Amendment See Modification.

Arizona Board of Regents (ABOR) The governing body of Arizona's public university system, providing policy guidance to Arizona State UniversityNorthern Arizona University, the University of Arizona and their branch campuses.

Arizona State University Foundation (ASUF) The applicant for charitable grants and the receiver of unrestricted gifts to ASU.

Assurances See Certifications.

Audit Generally a verification of compliance.  Audits can be programmatic or financial and involve different types of testing and assessments, depending upon the audit purpose, source of funding and auditor affiliation.

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.

Award Management Team (AMT) The Award Management Team (AMT) of the Office for Research & Sponsored Projects Administration (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.

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B

Background Intellectual Property IP that was conceived, created, or developed prior to, or independent of, any research performed pursuant to the Agreement and necessary for or used in the performance of the project.

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 A detailed statement outlining estimated projects costs to support the sponsored project.

Budget Category A portion of the budget designated for certain kinds of expenditures.  A budget must be directly related to the research project.  Reviewers will look for a reasonable budget based on the needs of the sponsored project.  Typical budget categories include:  Personnel Costs (Salaries, Fringe Benefits), Travel, Equipment, Subcontractors, etc).

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C

Capital Equipment An article of property that is not permanently attached to buildings or grounds and that has an acquisition cost of at least $5,000 (exclusive of sales and/or use tax, freight, and installation) and a life expectancy of at least one year. To be considered equipment, computer software must be at least $5 million. Fabricated equipment (constructed from individual parts by ASU and identifiable as a discrete item) is also capitalized as long as the completed fabrication is at least $5,000 (See RSP 505-06).

Certifications Requirements from external entities where anyone that wishes to apply for awards must complete.  Requires entities to represent/certify to a a variety of statements ranging from environmental rules to entity size representation.

Charitable Grant As determined by the Internal Revenue Code, charitable organizations are tax-exempt; categorized as a 501(c)(3); and gifts/grants are provided to support activities for religious, charitable, scientific, literary, or educational purposes.

For ASU purposes, in order for a charitable grant proposal to be submitted by the ASU Foundation as the applicant and for the award to be administered by ORSPA, on behalf of Arizona State University, the following criteria must be met:

  1. Organization is categorized as a 501(c)(3) by the IRS
  2. Organization has been categorized by ASU as a Non-Profit - Charitable Organization
  3. Specific Statement of Work
  4. Budget
  5. Specific PI or PD named

Classified Information Per The Federal Acquisition Regulations System (FAR), means any knowledge that can be communicated or any documentary material, regardless of its physical form or characteristics, that:

  1. (i) Is owned by, is produced by or for, or is under the control of the United States Government; or (ii) Has been classified by the Department of Energy as privately generated restricted data following the procedures in 10 CFR 1045.21; and
  2. Must be protected against unauthorized disclosure according to Executive Order 12958, Classified National Security Information, April 17, 1995, or classified in accordance with the Atomic Energy Act of 1954.

Clinical Research Investigation or experiment that involves research with one or more human subject (or on material of human origin such as tissues or specimens) that is patient oriented. Not all research meeting this definition meets the criterial for a clinical trial.

Clinical Trial A prospective, biomedical or behavioral research study of human subjects that is designed to answer specific questions about biomedical or behavioral interventions (drugs, biologics, treatments, devices, or new ways of using known drugs, biologics, treatments, or devices). Behavioral interventions are intended to prevent or treat an acute or chronic disease or condition. Clinical trial research involves the evaluating effects of an intervention on biomedical or behavioral human health related to outcomes. This definition is not intended to be inclusive of all clinical research activity.

Coeus An information system that allows users to perform many aspects of the research administration process. Coeus is used to track all proposal, award, sponsor, and recognition information.

Cognizant Audit Agency The Federal agency designated with responsibility for performing audit-related activities on behalf of the federal government for federally-funded activity at the 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.

Commingling The act of mixing funds belonging to one party with those of another party, especially when a fiduciary has responsibility to keep the funds separated.

Companion Account Advantage uses specific agency/orgs 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.

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 defined as any project that will have multiple members that have come together to jointly fund research projects through pooled membership fees.

Consultant An individual or business whose expertise is required to perform the project.  Services are temporary, special, or highly technical.  A consultant may not serve as senior personnel (e.g., Co-Investigator, Principal Investigator).

Continuation Proposal/Renewal Proposal Additional funding increments for projects beyond the original grant period. See specific sponsor guidelines for submission requirements.

Contract A mechanism for the procurement of a product or service with specific obligations for both sponsor and recipient. Typically, the sponsor specifies a research topic and the methods for conducting the research in detail, although some sponsors award contracts in response to unsolicited proposals.

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 is not paid for by the sponsor; a form of cost sharing.

Cooperative Agreement A form of Federal Assistance.  This mechanism is 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 contract or grant whereby the sponsor agrees to reimburse ASU based on actual project expenditures incurred during the performance period, up to an agreed amount.

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 principal investigator’s program, staff, equipment or facilities that are not specifically or solely related to a specific project.   For further information about cost sharing, see the Cost Sharing Sitelet.

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D

Danger Pay An allowance for ASU employees who work temporarily in a foreign area designated as a danger pay post by the US Department of State.  Danger Pay is based on the employee's institutional base salary stated in PeopleSoft and the Department of State Allowance Rat (https://aoprals.state.gov/Web920/danger_pay_all.asp). This allowance is calcualted using US Department of Labor standards (eight hour work day, five day work week).  ASU follows Federal agencies' policies that maximize the danger pay allowance to a 40-hour work week.  Eligible days are weekdays (Monday - Friday, including university observed holidays) on which the ASU traveler spends 4 hours or more in a Danger Pay location.

Travel time to and from the Danger Pay location does not qualify for Danger Pay.  Danger Pay begins when the employee's plane initially lands in the danger pay location. 

Debarment and Suspension Certification See Certifications.

Define Opportunity (DO) The process which describes the search for opportunities, institutional and PI eligibility criteria and the requirement for seeking approval where submissions are limited by the sponsor.

Delinquent Federal Debt Certification See Certifications.

Deliverable A deliverable is a quantifiable good or service that will be provided as a result of a project. Examples include, but are not limited to, technical reports, software, devices.

Develop Proposal (DP) The process of completing a proposal which adheres to sponsor specifications, complying with ASU requirements, including obtaining campus approvals and forwarding the final proposal to PNT for review and submission.

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 A certification where ASU is asked to certify that they will provide a drug-free workplace by notifying employees that unlawful drug use is prohibited and specifying what actions will be taken against employees for violations. Establish an on-going drug-free awareness program that includes employee notification and, as appropriate, rehabilitation. Comply with agency-specific regulations as applicable.

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E

Effort The amount of time, usually expressed as a percentage of total effort, that an ASU employee spends on activities. Effort on sponsored projects is certified and documented through the Effort Reporting System in PeopleSoft.

Effort Report (ER) Effort reporting and certification form required for compliance with federal regulation.

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).

Enterprise Research Administration (ERA) An integrated system that ASU uses to develop proposals, ensure research integrity and assurance as well as the negotiation and management of awards.

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.

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 external to the university.

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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 (F&A) Costs Overhead, administrative allowance, or occasionally, institutional allowance – these are costs incurred in support of sponsored programs, in general, but not identifiable with any single project. Including requests for facilities and administrative costs (F&A) allows ASU to recover some of its real costs.  For additional information, see the Facilities and Administrative Costs Sitelet.

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.

Federal Identifier Number When a grant is awarded by a federal agency, it is assigned a unique federal award identifier number specific to that grant. This identifier is required in order to apply for a supplemental, competing continuation or noncompeting continuation application.

Fixed-Price Contract An award whereby payment is for a set lump sum payment upon satisfactory performance of the terms of the agreement.

Foreign National Means a person residing in the U.S. who is not a lawful permanent resident. This term also includes any foreign corporation, business association, partnership, trust, society or any other group not incorporated or organized to do business in the United States, and any international organization, foreign government or diplomatic entity.

Foreign Travel Travel outside of the United States (i.e., the 50 states, the District of Columbia, and U.S. territories and possessions). 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.

Funding Opportunity Announcement (FOA) Describes a program and available funds as well as requirements for proposal preparation and submission.

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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 Charitable gifts that are unrestricted or in support of a general purpose (versus a project with a scope of work, budget, and PI) will be reviewed, accepted, and administered solely by the ASU Foundation.

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 Financial assistance mechanism providing funds to carry out a sponsored project.

Grant and Contract Officer (GCO) An individual who reviews and submits proposals, and/or provides oversight to ensure that ASU meets the terms of awards and all legal and regulatory requirements and/or ensures that all sponsored project fiscal matters are properly addressed.

Grantee Organization or individual awarded a grant or cooperative agreement.  When the university accepts a grant award, on behalf of an individual, it becomes the grantee.

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H

Human Subjects A living individual about whom an investigator conducting research obtains: 1. Data through intervention or interaction with the individual. 2. Identifiable private information.

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I

Identifiable Information Information from which the identity of the subject is or may be readily ascertained or associated.

Informed Consent A person’s voluntary agreement, based upon adequate knowledge and understanding, to participate in human subjects research or to undergo a diagnostic, therapeutic, or preventive procedure. In giving informed consent, subjects may not waive or appear to waive any of their legal rights, or release or appear to release the investigator, the sponsor, the institution or agents thereof from liability for negligence.

Infrastructure Support Resources available to conduct research, in general, but which are not specifically committed in quantifiable terms to individual sponsored projects.

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 state of Arizona that may, at the discretion of the university, include travel to adjoining states within 100 miles from the Arizona border, excluding travel to Mexico (see FIN 504: In-State Travel).

Institutional Authorized Officials Individuals authorized by the Board of Regents to sign grants, contracts, and agreements on behalf of ASU.

Institutional Eligibility The criteria which an institution must meet in order to apply for a funding opportunity.   See the topical guide, Institutional Eligibility, for additional information.

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) Two or more public agencies, by direct contract or agreement, may contract for services or jointly exercise any powers common to the contracting parties and may enter into agreements with one another for joint or cooperative action, so long as each agency has been authorized by their legislative or other governing body. (A.R.S. § 11-952)

Interrelated Projects Projects supported by multiple Federal awards whose interrelationship is demonstrable on the basis of the following criteria: Either (a) the theoretical approaches are interrelated; (b) studies of the same phenomena are conducted by the same or different techniques; or (c) studies of different phenomena are conducted by the same technique.

Intervention Physical procedure used to gather research data such as a blood test. The term can also refer to manipulating a participant or their surroundings for the purpose of research.

Intra-University Consulting Pay Per Uniform Guidance (2 CFR 200), since intra-university consulting is assumed to be undertaken as a university obligation requiring no compensation in addition to full-time base salary, the principle also applies to faculty members who function as consultants or otherwise contribute to a sponsored agreement conducted by another faculty member of the same institution. However, in unusual cases where consultation is across departmental lines or involves a separate or remote operation, and the work performed by the consultant is in addition to his[/her] regular departmental load, any charges for such work representing extra compensation above the base salary are allowable provided that such consulting arrangements are specifically provided for in the agreement or approved in writing by the sponsoring agency. See ASU Policy ACD-510-04.

Investigator Incentive Award (IIA) Investigator Incentive Awards (IIAs) are granted by the OKED on awards containing F&A 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).

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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.

Knowledge Management System (KMS) A system for managing knowledge in organizations for supporting creation, capture, storage and dissemination of information.  The researchadmin website functions as the KMS for Research Operations.

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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 Sometimes referred to as a Letter of Intent, a pre-proposal, or a concept paper, the letter of inquiry is sometimes the first step in working with a sponsor.   It allows a sponsor to easily determine whether there is a good match between the sponsor’s interest and the proposer’s project.

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 Occurs when there is a restriction on the number or proposals that an institution may submit to the sponsor for a particular funding opportunity.

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 Applicants for both Federal contracts and Federal grants over $100,000 must certify that no Federal funds were used to pay for lobbying activities. Any non-Federal funds so used, with certain exceptions, must be reported on Standard Form LLL, Disclosure of Lobbying Activities, along with the application. OMB A-21 mandates that the costs of lobbying activities cannot be charged directly or indirectly to Federally-sponsored projects.

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M

Matching Funds See Cost Sharing. Additional information may also be found on the Cost Sharing Sitelet.

Material Transfer Agreement An MTA is an agreement between two parties which describes the transfer of materials (i.e. biological and research), how they will be used and responsibilities of each party.  There are two types of MTAs:  Incoming and Outgoing.  Incoming MTAs are agreements for materials transferring from an outside entity to ASU.  Outgoing MTAs are agreements for materials transferring out of ASU.

Misconduct in Science Certification See Certifications.

Modification Any change made to an existing sponsored agreement.

Modified Total Direct Costs (MTDC) F&A is applied to all of the direct costs minus the following: equipment with a unit cost greater than or equal to $5,000, tuition/fees, participant support, in/out patient care costs, rental of outside facilities, amounts over the first $25,000 of each subcontract, and alterations/renovations. Alterations/Renovations are defined as having a cost of $15,000 or more per alteration or renovation. Costs of less than $15,000 are considered a miscellaneous expense.

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N

NACUBO Code An expense classification that was established and defined by the National Association of College and University Business Officers (NACUBO) to improve comparability of data among institutions of higher education. The NACUBO codes classify the major functions of university activity.

No-Cost Extension (NCE) Provides for an additional period of performance to accomplish project goals. May be handled internally via Federal Standards Research Terms & Conditions in certain circumstances or sought externally from the sponsor.

Non-Disclosure Agreement  An NDA is an agreement between two or more parties which describes knowledge the parties would like to share with each other for a defined purpose and agree to not disclose information covered by the agreement. NDAs are also known as Proprietary Information Agreements (PIAs), Confidential Disclosure Agreements (CDAs).

NSF Survey Codes The National Science Foundation survey is the primary source of information on separately budgeted research and development expenditures by academic institutions in the United States and outlying areas. The survey collects information on R&D expenditures by academic field as well as by source of funds.

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O

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 Knowledge Enterprise Development (OKED) 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 OKED has designated ORSPA as the final institutional signature required for proposal submission and award acceptance.

Office of Knowledge Enterprise Development (OKED) The Office of Knowledge Enterprise Development (OKED) 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.

Out-of-State Travel Travel within the United States from a point of origin within the State of Arizona to a point of destination outside the State of Arizona and back.

ORSPA Action Form (OAF) The OAF is used for a) change requests; b) requests to establish at-risk accounts; or c) requests for approval of CAS exceptions. This system allows for university approval of administrative, budgeting and spending actions as delegated by certain federal sponsors, and documents the facts pertinent to a request for changes, including the institutional prior approvals.

Overhead See Facilities and Administrative (F&A) Costs.   Addition Information may also be found at the Facilities and Administrative Costs Sitelet.

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P

Participant An individual who is a recipient of a service or training session in a workshop, conference, seminar, symposium or other information sharing activity funded by an external grant or award.  A participant is not involved in providing deliverables to ASU or to a third party

Participant Support Costs Participant support costs are small incentive payments to individual to attend an educational conference, seminar, workshop, or other training event.

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.

Post-Term Expense A charge that posts to an account after the end date of the sponsored project.

Principal Investigator (PI) The individual responsible for the conduct of the sponsored project.
 
Prime Sponsor The external funding source from which funding originated. Example: If NIH funds the University of Washington, which then funds Banner Health, which then funds ASU, ASU’s prime sponsor is NIH.

Private Use The direct or indirect use of tax-exempt financed property or tax-exempt financed facilities to provide exclusive benefit to a non-qualified user. Qualified users include state and local government entities and, in some instances, charitable or non-profit organizations as described in the Internal Revenue Code Section 501(c)(3). The term “qualified user” does not include Federal Government or instrumentalities thereof.

Program Income The definition of program income, according to 2 CFR 200 (Uniform Guidance), is gross income earned by the University that is directly generated by a sponsored activity or earned as a result of an award during the period of performance.  If a product or service is developed during the course of a sponsored project and the development of that product or service was funded by a sponsoring agency, then the net income received is considered program income.

Project Director See Principal Investigator.

Project Personnel A sponsored project's personnel include the principal investigator, co-investigators, other key personnel, external collaborators and project staff/students. See Key Professional Personnel and Collaborators.

Proposal An application for funding.

Proposal and Negotiation Team (PNT) The team with authority to review and submit proposals, as well as to negotiate and execute awards and subawards.

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.

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R

Reasonable Cost A cost may be considered reasonable if the nature of the goods or services acquired or applied, and the amount involved, reflect the action that a prudent person would have taken under the circumstances prevailing at the time the decision to incur the cost was made.

Rebudgeting Process by which funds available for spending are reallocated between budget categories to allow best use of funds to accomplish project goals.

Research Advancement Administrator (RA) An individual who works with investigators to identify funding opportunities, develop proposals, and/or manage sponsored funds.

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 and Provost-approved ABOR Centers as research incentive funds.

Request for Applications (RFA) Announcement of funding opportunity for applications which address a defined research topic.  The resultant award is a grant or cooperative agreement.

Request for Proposals (RFP) Official solicitation that communicates what a sponsor needs to buy/acquire and formally invites the submission of proposals.   The resultant award is a contract.

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S

Salary Compensation on a regular basis for work and services accomplished.

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 review of a sponsored project at the University.

SmartForm ERA SmartForms are like wizards. They guide a user through the process of editing a project, such as a funding proposal (FP) or award (AW).

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 funds a project with an award. Sponsors include private businesses, corporations, foundations and other not-for-profit organizations, other universities, and federal, state and local governments.

Sponsored Project A sponsored project is any externally funded activity for which there is a: 1) specific statement of work that is expected to be completed within a defined period of time; 2) a budget; and 3) a designated principal investigator (PI) or program director (PD).  A sponsored project may support university activities including but not limited to research, training, travel, conferences, instruction, public service, and construction. Sponsored projects are funded by numerous funding sources, including charitable grants.

Stipend Payments made for periodic or fixed disbursements awarded to students.  To a research administrator, the term “stipend” typically refers to payment for an individual (student or non-university employee) who is attending a conference/workshop or to someone on a training grant or fellowship. Since stipends paid for services rendered are considered wages under IRS regulations, it’s really important to make sure that the investigators who tend to use the terms “salary” and “stipend” interchangeably understand the difference between the two. Per the March 1, 2007 Policies and Practices: Compensation, Effort Commitments, and Certification issued by the Council on Governmental Relations (COGR), “…if a graduate student is receiving compensation (salary) for services performed on a grant, this effort should be certified. If the student is receiving a stipend, the conventional wisdom is that this is educational assistance (i.e., student aid), and this activity need not be certified through an effort report.”  Per the NIH Grants Policy Statement (revised 10/2010), a stipend is defined as “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. A stipend is not considered compensation for the services expected of an employee.”

Subaward (Subcontract) An agreement issued under an award mechanism between Arizona State University and another organization to perform a substantive portion of an awarded grant’s (or contract’s) scope of work.

Subrecipient (Subawardee or Subcontractor) A third-party organization that receives funding support from Arizona State University to collaborate in carrying out the performance of an externally sponsored project. The subrecipient plays an integral role in the project and is responsible for programmatic decision-making.

Supplemental Proposal Additional support requested to assure adequate completion of the original scope of work.

System to System The ERA includes an SF424 component designed to automate submission to Grants.gov. This System to System (S2S) process includes:
  • search for and download funding opportunities from Grants.gov;
  • the complete set of SF424 Research and Related (R&R) forms available for submission;
  • PDF application generation, allowing the user to view a completed SF424 as the agency would;
  • submit application to Grants.gov and receive a tracking number;
  • manage and verify validation with the granting agency.

 

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T

Tuition Is typically considered the amount of money charged to students for instructional services. Tuition may be charged on a per-term, per course, or per-credit basis.

Tuition Remission What exactly does this mean and is it the same thing as “tuition?” The two are not interchangeable terms although they are often used that way. “Tuition Remission” usually refers to the process by which the institution foregoes collecting the full tuition for a graduate research assistant appointment. There is no intent to collect the value of the tuition charge from the student on tuition remissions. Per OMB Circular A-21, Section J.10.f.(2): “Fringe benefits in the form of employer contributions or expenses for social security, employee insurance, workmen's compensation insurance, tuition or remission of tuition for individual employees are allowable, provided such benefits are granted in accordance with established educational institutional policies, and are distributed to all institutional activities on an equitable basis.” Tuition remission is often treated as part of the compensation paid to a graduate student working on a sponsored project. On the other hand, “tuition” is typically considered the amount of money charged to students for instructional services. Tuition may be charged on a per-term, per course, or per-credit basis. Therefore, while they sound similar, they are usually budgeted differently on a proposal, expensed differently on a sponsored account, be subject to F&A costs if part of graduate student’s compensation (fringe benefits), yet not be subject to F&A if part of a training grant or fellowship. Knowing the difference between the two, and being able to describe that clearly to a PI is important so that, for example, you aren’t charging tuition on a research project (usually not allowed) vs. on a training grant (allowed).

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U

Uniform Guidance Common term used when referring to 2 CFR 200 implemented by Federal agencies on 12/26/2014 to govern the expenditure of Federal awards. 2 CFR 200 replaces OMB Circulars A-21, A-110 and A-133 in addition to five other OMB circulars.

Unlike Circumstances The ability to charge some costs which are normally considered Facilities and Administrative expenses as a direct cost when the expense will be greater or different in purposes than what is normally provided by departmental administration.  For examples of eligible costs and the criteria for when unlike circumstances may exist, consult the Cost Accounting Standards (CAS) Sitelet.

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V

Vendor An individual, business or other entity which supplies products or services to the University.

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W

Work Instruction (WI) Describes the steps to be taken to complete a task.

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AAALAC Association for the Assessment and Accreditation of Laboratory Animal Care

AAU American Association of Universities

ABOR Arizona Board of Regents

ACO Administrative Contracting Officer

ACUC See IACUC

ADCRC Arizona Disease Control Research Commission

ADPE Automatic Data Processing Equipment

AICPA American Institute of Certified Public Accountants

AMT Award Management Team

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)

ER Effort Report

ERA Enterprise Research Administration System

ERE Employee Related Expenses

F&A Facilities and Administrative Costs

FAR Federal Acquisition Regulations

FOA Funding Opportunity Announcement

FP Fixed Price

FP Funding Proposal (as referenced in the ERA system)

GCO Grant and Contract Officer

GFE Government-Furnished Equipment

IACUC Institutional Animal Care & Use Committee

IGA Intergovernmental Agreement

IIA Investigator Incentive Award

IP Intellectual Property

IRB Institutional Review Board

MTDC Modified Total Direct Costs

NCE No-Cost Extension

NCURA National Council of University Research Administrators

NORDP National Organization of Research Development Professionals

OAF ORSPA Action Form

OIRC Office of Industry and Research Collaboration

OKED Office of Knowledge Enterprise Development

ORIA Office of Research Integrity and Assurance

ORSPA Office for Research & Sponsored Projects Administration

PA Program Announcement

PAF Personnel Action Form

PD Project Director

PI Principal Investigator

PNT Proposal and Negotiation Team

RA Research Advancement

RAS Research Advancement Services

RD Payroll Redistributions (payroll cost transfers)

RFA Request for Applications

RFP Request for Proposal

RIA Research Incentive Award

RID Research Incentive Distribution

RSP Research & Sponsored Projects Policies and Procedures Manual

SOW Statement of Work

SRA Society of Research Administrators International

TDC Total Direct Costs

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