Glossary
This Glossary contains short concise definitions of common terms used in proposal development and research administration. They should not be considered as complete or all encompassing.
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A-122 “Cost Principles for Non-Profit Organizations” – Office of Management and Budget (OMB) circular that establishes principles for determining costs of grants, contracts, and other agreements with non-profit organizations.
A-110 “Grants and Agreements with Institutions of Higher Education, Hospitals and Other Non Profit Organizations” – OMB circular that establishes obtaining consistency and uniformity among Federal agencies in the administration of grants to and agreements with institutions of higher education, hospitals, and other non-profit organizations.
A-133 “Audits of States, Local Governments, and Non-Profit Organizations” - This OMB circular sets forth standards for obtaining consistency and uniformity among Federal agencies for the audit of States, local governments, and non-profit organizations expending Federal awards.
Administrative Costs – See “Indirect Costs”
Agency – See “Sponsor”
Agency Guidelines – General guidelines and instructions published by an agency/sponsor on how to prepare and submit proposals to that agency/sponsor.
Allocable Cost – Allowable costs that benefit the grant or contract to which they are being charged.
Allowable Cost – A cost incurred by a recipient that is: reasonable for the performance of the award; allocable; in conformance with any limitations or exclusions set forth in the federal cost principles applicable to the organization incurring the cost; consistent with internal regulations, policies and procedures that apply uniformly to both federally-funded and other activities of the organization; accorded consistent treatment; determined in accordance with generally accepted accounting principles; and not included as a cost in any other federally-funded award (unless specifically authorized).
Authorized Organizational Representative (AOR) – An individual who is legally authorized to sign agreements on behalf of the proposing organization. At UCAR, the AOR is the Manager of Sponsored Agreements.
Award – A sponsoring agency’s agreement to contribute funding to an organization’s activity or specific project, based on an approved proposal and budget.
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Broad Agency Announcement (BAA) – An announcement of a federal agency's general research interests that invites proposals and specifies the general terms and conditions under which an award may be made.
Budget – An estimate of expected costs for conducting the work on a proposed project, including direct and indirect costs. Budgets are arranged by line items and divided by year or task; often specified by the sponsoring agency. The NCAR Budget and Planning office has developed a budget template, which is updated on an annual basis with new rates. Please refer to the Budget Development tab.
Budget Justification – A clarification of the budget that explains how dollar amounts were determined for budgeted line items. Can include explanation for salaries, benefit rate, description of materials & supplies, purchased services, publications, travel, and call out any non-standard budgeted items. A budget justification may also include attachments of the UCAR rate agreement and Standard Information page.
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Cage Code – A Commercial and Government Entity (CAGE) Code is a five character code created by the Central Contractor Registry (CCR) and used by organizations applying for DOD and NASA awards. Organizations must have a separate CAGE Code for each physical location or separate division at the same physical location.
Cognizant Agency – The Federal agency responsible for negotiating and approving indirect cost rates for a non-profit organization on behalf of all Federal agencies. UCAR’s cognizant agency is the National Science Foundation (NSF).
Co-Investigator (Co-I, Co-PI) - A Co-Investigator or Co-Principal Investigator is a member of the proposal’s team who is a critical “partner” for the conduct of the investigation through the contribution of unique expertise and/or capabilities. A Co-I must have a well-defined, and generally sustained, continuing role in the proposed investigation, serve under the direction of the PI, and may or may not receive funding through the award. The Co-I may be employed by, or be affiliated with the grantee organization, or another organization participating in the project. The term Co-PI or Co-I may be used interchangeably among different funding agencies.
Collaborator – 1) An individual who is committed to provide a focused but usually unfunded contribution to the scientific development or execution of a project. 2) Collaborator can also be used as a general term when referring to collaborations with university partners, whether they are funded or unfunded.
Collaboration – A process where two or more organizations work together on a unified research project – for example, an intellectual project that is creative in nature, by sharing knowledge, learning and building consensus.
Computing Service Center (CSC) – A rate charged per work-time hour required to cover the operating costs of the laboratory/division’s computing service center, based on estimated number of hours worked in the laboratory/division.
Consultant – Also referred to as an Independent Contractor. A consultant is a professional who provides advice/services in a particular area of expertise and is to be paid a fee, including any other travel or associated costs, under the relevant contract. A consultant is usually an expert or a professional in a specific field and has a wide knowledge of the subject matter. Consultants may not be employees or officers of the performing organization.
Contract – A legal document (award) that specifies the scope of work, budget, and time of performance; usually resulting in a tangible product. A contract is typically more restrictive than a grant and often requires defined deliverables based on specific schedules.
Cooperative Agreement – A type of financial assistance award used when substantial agency involvement is anticipated during the project performance period. Substantial agency involvement may be necessary when an activity is technically and/or managerially complex and requires extensive or close coordination between the sponsor and the awardee. Examples of projects which might be suitable for cooperative agreements if there will be substantial agency involvement are: research centers, large curriculum projects, multi-user facilities, projects which involve complex subcontracting, construction or operations of major in-house university facilities and major instrumentation development.
Cosponsorship - NSF Cosponsorship is defined as the value of resources funded by NSF to the National Center for Atmospheric Research (NCAR) through the University Corporation of Atmospheric Research (UCAR) cooperative agreement that contribute to the performance of research sponsored by another organization. NSF Cosponsorship should not be viewed as cost sharing, as defined in OMB Circular A-110, as it is borne by the Federal Government.
Cost Reimbursable - Cost-reimbursement types of awards provide for payment of allowable incurred costs up to the total amount specified in the award. These awards establish an estimate of total cost for the purpose of obligating funds and establishing a ceiling that the division/program may not exceed (except at its own risk) without the approval of the sponsor. If an award is cost-reimbursable, the division/program can legally stop work when all award funds are spent. Thus, the risk is essentially shifted to the sponsor.
Cost Share – Refers to the non-federal share of project costs not paid by the sponsoring agency. These project costs are paid by the division / lab’s non-federal sources or through contributions by third parties. Allowable forms of cost share are: 1) STORM Funds; 2) Donated equipment by an external non-federal source; and 3) Third-party non-federally funded in-kind contributions.
Current and Pending Support (C&P) – A form used to assess the PI and Co-I’s current (current awards) and potential (pending proposals) commitments to other sponsored projects.
Curriculum Vitae (BioSketch) - A document that provides a summary of an individuals’ academic and professional accomplishments. A curriculum vitae includes information about professional publications, presentations, committee work, grants received, and other details based on each person's experience.
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Direct Agreement - Any award in the form of a grant, contract, cooperative agreement, subcontract, purchase order, memorandum of understanding (MOU), or other form of agreement that is received to support a proposed statement of work. Direct awards may be between UCAR and another party that includes government agencies, both federal and local, universities, other educational institutions, private corporations, and foreign governments and corporations.
Direct Cost – A cost that can be identified specifically with a particular final cost objective, i.e., a particular award, project, service, or other direct activity of the organization. Included, but not limited to, salaries and fringe benefits, travel, equipment, supplies, etc.
Dunn & Bradstreet Universal Numbering System (DUNS) - A 9 digit number created for an organization by Dunn & Bradstreet. A different DUNS number shall be assigned for each physical location / different address of an organization as well as each legal division that may be co-located. Please refer to the “Organization Information” tab for UCAR’s DUNS number.
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Encumbrance – The setting aside, earmarking, and, in some cases, actual obligation of funds as the result of submitting a "Purchase Requisition," an offer letter of employment, or a "Travel Authorization" (TA). Funds remain encumbered under these documents until the goods or services are received and paid for, at which time the encumbrance is converted into an expenditure. Funds are also encumbered equivalent to the salaries and benefits of all regular and part-time employees for the remainder of the fiscal year, or until scheduled termination dates, as appropriate. Employment encumbrances decrease during the fiscal year as salaries are paid. TA encumbrances remain until a trip is completed and a "Travel Voucher" is filed.
Equipment – An article of nonexpendable, tangible property having a useful life of more than one year and an acquisition cost which equals or exceeds $5,000. Capital equipment is exempt from indirect costs.
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FastLane – NSF’s interactive, real-time system used to conduct
NSF business over the Internet. Fastlane allows users to:
Federally Funded Research and Development Centers (FFRDC) – Unique, independent, nonprofit entities sponsored and funded by the U.S. government to meet specific long-term technical needs that cannot be met by any other single organization. FFRDCs typically assist government agencies with scientific research and analysis, systems development, and systems acquisition. They bring together the expertise and outlook of government, industry, and academia to solve complex technical problems. FFRDCs work in the public interest and operate as strategic partners with their sponsoring government agencies to ensure the highest levels of objectivity and technical excellence. They are typically managed by a university or nonprofit parent organization in accordance with statutory and regulatory rules. NCAR is NSF’s FFRDC.
Financial Conflict of Interest – A conflict of interest involving something of monetary value, such as salary or other payment for services (e.g. consulting fees or honoraria), equity interests (e.g. stocks, stock options), or intellectual property rights (e.g. patents, copyrights and royalties), and gifts over $1,000. Investigators are required to disclose to UCAR all Significant Financial Interests that would reasonably appear to be affected by the funded research or educational activities. This regulation further requires that disclosures be filed prior to the submission of grant and contract proposals for review by NSF.
Fiscal Year (FY) - Any twelve-month period for which annual financial accounts are kept. At NCAR, the fiscal year is October 1 – September 30.
Fixed Price Contract - A firm-fixed price contract provides for a total price that is not subject to any upward or downward adjustment of funds based on the contractor’s cost experience in performing the contract. This contract type places upon the contractor maximum risk and full responsibility for all costs resulting in profit or loss. It provides maximum incentive for the contractor to control costs and perform effectively and imposes a minimum administrative burden upon the contracting parties (reference FAR 16.202).
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GAU (General Accounting Unit) – The unit/measure of common currency that is charged to users for computing time on the supercomputers maintained by CISL. GAUs are charged for both external and internal users to allocate costs for the use of CISL computer time.
Graduate and/or Undergraduate Student - Students enrolled in a degree program who will be paid through the proposal’s budget to help carry out the proposed research under direction of the PI or one of the designated Co-Is.
Grant – A type of financial assistance award to an organization for the conduct of research or other program as specified in an approved proposal. A grant is used whenever the sponsor anticipates no substantial programmatic involvement with the recipient during the performance of activities.
Grantee – The organization or entity that receives a grant and assumes legal and financial responsibility and accountability both for the awarded funds and for the performance of the grant-support activity. Grants are normally made to organizations rather than individual PIs.
Grants Online – NOAA’s electronic solution for full life-cycle grants management processing. Grants Online allows users to:
Grants.gov – A website that allows organizations to electronically find and apply for competitive grant opportunities from all federal grant-making agencies. Grants.gov was established as a governmental resource named the E-Grants Initiative, part of the President's 2002 Fiscal Year Management Agenda to improve government services to the public. All discretionary grants offered by the 26 federal grant-making agencies (DOD, DOE, NASA, NOAA, NSF, etc) can be found on Grants.gov.
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Incremental Funding - Funding that is received on an award that was proposed as part of the original budget and was intended to be funded on a multi-year agreement. For instance, NASA may issue an award for four (4) years. The budget proposed incorporates all four (4) years. The receipt of funds for years two through four would be considered incremental funding.
Indirect Costs - Costs that are incurred for common or joint objectives, cannot be readily identified with a particular final cost objective, and are treated consistently with other costs incurred for the same purpose in like circumstances. They are costs that benefit more than one final cost objective, and must be allocated equitably to each benefiting cost objective. Indirect costs are reimbursed based on an organization’s approved indirect cost rates.
Interagency Agreement (IA) - Funding from various federal agencies issued to the National Science Foundation (NSF) and passed through a cooperative agreement to support scientific and programmatic activities within UCAR.
Intellectual Property (IP) – Any product of the human intellect that is unique, novel, and has some value in the marketplace. Examples include: an idea, invention, expression or literary creation, unique name, business method, industrial process, chemical formula, computer program process, or presentation. The product is potentially legally protectable, often resulting from performance of a sponsored activity.
International Traffic in Arms Regulations (ITAR) – U.S. Department of State regulations that govern the export and import of defense articles and defense services.
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Letter of Intent (LOI) – A brief letter or statement indicating interest and/or intention to submit a formal proposal to a sponsor.
Letter of Support (LOS) – A letter from a collaborator or other interested party that states their support of the project.
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Memorandum of Understanding (MOU) – A written agreement between two or more parties, which delineates what tasks, jurisdiction, standard operating procedures or other matters which the agencies or units are duly authorized and directed to conduct.
Misconduct in Science - Fabrication, plagiarism, falsification, fraud, or other practices that seriously deviate from those that are commonly accepted within the scientific community for proposing, conducting, or reporting research. It does not include honest error or honest differences in interpretations or judgments of data.
Modified Total Direct Cost (MTDC) - MTDC is total direct costs less the cost of equipment, less participant support costs, less interagency personnel agreements, less the amount in excess of $25,000 per fiscal year expenditures on each purchase order or subcontract, and less facility use and GAU chargebacks. MTDC includes salaries and wages, fringe benefits, materials and supplies, services, travel, and grants and subcontracts up to the first $25,000 of each subaward or subcontract per year (regardless of the period covered by the subaward or subcontract).
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No-Cost Extension (NCE) – An extension of an award’s period of performance which allows the principal investigator to complete a project’s original scope of work. No additional costs are requested from the sponsor.
Non-Profit Organization – Any corporation, trust, association, cooperative, or other organization which: (1) is operated primarily for scientific, educational, service, charitable, or similar purposes in the public interest; (2) is not organized primarily for profit; and (3) uses its net proceeds to maintain, improve, and/or expand its operations.
NSF Administrative Fee – A fee collected by NSF to recover costs for the management, administration and oversight for funded activities awarded through an interagency agreement. The fee rate is determined by NSF on an annual basis.
NSPIRES - NSPIRES is the NASA Solicitation and Proposal Integrated Review and Evaluation System. This web-based system supports then entire lifecycle of NASA research solicitation and awards, from the release of solicitation announcements through the peer review and selection process, to awards management and publication of research results. The system is intended to facilitate conducting of research business with NASA for the science and technology research community.
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Other Professional - This category used to define UCAR personnel who support a proposal in a critical manner but who are not identified as a PI, Co-I or Postdoctoral Associate. Examples include professional technicians, system experts, computer programmers, educational designers, project managers, and engineers.
Overspending - The condition that exists when expenditures and encumbrances (legal and binding obligations) exceed awarded funding for an existing/on-going agreement. For purposes of these guidelines, salary and benefit encumbrances (and related overhead) are not considered legal and binding obligations. Thus, overspending will be determined as follows: The total funds received, less expenditures, less other encumbrances (equipment, supplies, travel, etc), equals negative funds available to spend. Approval to overspend must be obtained from the Vice President (VP) for Finance and Administration (F&A), Treasury Office, entity B&P Office, lab/division/program directors and administrators. In addition to the approvals stated, the UCAR President approves requests over $100,000.
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Participant Support Costs (PSC) – Participant support costs are direct costs for items such as stipends or subsistence allowances, travel allowances, and registration fees paid to or on behalf of participants, trainees, or speakers (but not employees), in connection with meetings, conferences, symposia, or training projects. These costs are allowable as direct costs with prior approval of the awarding agency. Participant support costs shall be generally excluded from the MTDC base.
Peer Reviewer - Expert in a scientific discipline, and, as such, may be asked to review one or more proposals and submit an evaluation. The reviewer may additionally be asked to meet with other reviewers in a panel to discuss evaluations of each proposal and make recommendations as to which proposal(s) should be selected for award.
Percentage Work-Time – The percentage each employee is expected to work throughout the year, represents a percent of total hours of the year that an employee is not on holiday, personal time off, or sick time. By default this amount is 85%, but it can be adjusted for employees who rarely take vacation or sick leave.
Period of Performance – The length of time required to complete the proposed task, usually the duration of an award.
Postdoctoral Fellow (Post Doc) -
A person who holds a Ph.D. or equivalent degree and is engaged in a temporary and defined period of mentored advanced training at the proposing organization. This person is identified as a major participant for the execution of the proposed research, and is appropriately compensated for that effort through the proposal's budget. Post docs cannot be designated as the Principal Investigator (PI).
Preliminary Proposal (Pre-proposal) – A brief description of research plans, sometimes including an estimated budget, submitted to an agency to determine the interest of a particular sponsor prior to submission of a formal proposal.
President’s Advisory Committee on University Relations (PACUR) - The PACUR helps maintain good communication and relationships between the Corporation and members. The PACUR acts as an advisory committee to the President, proposing agenda items for members' meetings and proposing activities and programs for UCAR to undertake. The PACUR also reviews NCAR's non-NSF funding and considers any charges of unfair competition by NCAR from the university community.
Prespending - The condition that exists when a lab/division needs to begin incurring costs in order to remain timely on the accomplishment of its mission. The lab/division obtains approval to make expenditures in advance of receiving a final contract, grant, purchase order or cooperative agreement for the proposed work. Such approval must be obtained from the Vice President (VP) for Finance & Administration (F&A), Treasury Office, entity B&P Office, lab/division/program directors and administrators in order to have a new account opened for the purpose of charging costs. In addition to the approvals stated, the UCAR President approves requests over $100,000.
Principal Investigator (PI) - The individual designated by the grantee and approved by the sponsor who will be responsible for the direction of the project, including the proper conduct of the work, appropriate use of funds and administrative requirements such as the submission of project reports to the agency.
Proposal - An application for funding that contains all information necessary to describe project plans, staff capabilities, and funds requested. Formal proposals are officially approved and submitted by an organization in the name of a principal investigator.
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Request for Proposal (RFP) - A solicitation, often through a bidding process, that requests a proposal from offerors on a specific commodity or service.
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Sponsor – The organization that funds a research project. Also referred to as “Agency”.
Sponsored Research – All research and development activities funded by Federal and non-Federal agencies and organizations, either through a grant, contract, or cooperative agreement.
Statement of Work (SOW) – A description of the work to be performed and completed on a research project.
Subawardee – Recipient of a subaward for items other than goods or services, i.e. research support. Typical subaward situations include arrangements in which two or more qualifying legal entities / institutions are working collaboratively on a sponsored project. Each institution has its own principal investigator; however, one of the collaborating institutions takes on the role of the prime awardee with the sponsoring agency. A subaward does not include the provision of goods and services.
Subcontractor – Recipient of a subcontract for deliverable goods and services (supplies, materials, equipment, etc) issued under a prime contract. Typical subcontract situations include a procurement contract under an award for deliverable goods or services to be used to accomplish project goals. A subcontract is used for complex and risky acquisitions requiring tailored terms and conditions that mitigate UCAR’s exposure, where standard purchase order terms and conditions are not sufficient. Dollar amount, complexity, and risk are all determining factors.
Supplemental Funding - Funding that is proposed on an existing award, over and above the original proposed amount, to assure adequate completion of the original scope of work.
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Technology Transfer (TT) – The process of transferring scientific findings from research laboratories to the commercial sector.
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Unauthorized Submission – When a proposal is submitted to a sponsor without NCAR Budget and Planning review and approval.
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