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TABLE OF CONTENTS Message from the President ............................................................ 4 Message from the Vice President of Research, and Dean of Graduate Studies ...................................................... 5 Introduction ........................................................................................... 6 Life Cycle of a Sponsored Program Sponsored Program Activity Flow
Types of Funding Opportunities ................................................... 10 Grants Contract Cooperative Agreement
10 10 11
Proposal Development Funding Source Identification Proposal Development Workshops
11 12 12
Pre-Award Administration ............................................................... 13 Proposal Routing, Review, Approval, and Submission Components of a Proposal Budget Preparation Direct Costs Allowable Costs Unallowable Costs Consortium Proposals with Other Institutions Cost Sharing Research Compliance
14 16 18 18 18 18 22 22 24
Post-Award Administration-Financial .......................................... 27
Notice of Award (NOA) Establishing an Account Regular Monitoring of Expenditures Cost Transfer Time and Effort Reporting
27 27 28 28 29
Post-Award Administration- Non Financial ............................... 31 Change in Principal Investigator Transfer to Another Institution No-Cost Extension Reporting Requirements Closeout Record Retention
31 31 31 31 32 32
Helpful Information........................................................................... 34 Funding Agencies and Foundations ......................................... 35 Active Funding Opportunities ....................................................... 37 Glossary of Terms ............................................................................... 38 Acknowledgements .......................................................................... 43
Message from the President The Office of Research and Graduate Studies aims to uphold the Universityâ€™s mission of research, teaching, and service. Their commitment to promoting social change, development, and entrepreneurship is the cornerstone of our academic prowess. Quite notable are the nearly one hundred and twenty-five active research, scholarly, and creative projects our students and faculty are conducting to improve lives and communities across the globe. At Prairie View A&M University passion is ignited. We are in the business of creating productive learning environments that produce extraordinary individuals. Our students and faculty consistently receive recognition for research awards at the state and national levels. Their achievements speak volumes of the programs successes and caliber of students matriculating through our programs. The possibilities of what we can achieve together are limitless, and I truly believe â€œThe Best Is Yet to Come.â€?
George C. Wright President
Message from the Vice President of Research, and Dean of Graduate Studies In the Office of Research and Graduate Studies we continuously strive to enhance the culture for research at Prairie View A&M University (PVAMU). Our goals include expanding the research capacity of the university, holding ourselves to high standards with regard to compliance, increasing the research expenditure and working towards becoming an emerging research institution. Critical to achieving the research goals is providing opportunities, guidance and support for our Principal Investigators as they use research to explore, magnify and impact our global society. We encourage you to use this manual as a resource as you navigate the process of writing a proposal to secure funding through grants, contracts or cooperative agreements. It provides you with easily accessible information on PVAMU policies and procedures. Our staff in the Office of Sponsored Programs is available to assist with your individual needs as a Principal Investigator. I wish you success as you endeavor to expand your research initiatives through sponsored funding. I look forward to learning about how your innovative research will influence our future.
Prof. Cajetan M. Akujuobi, M.B.A., Ph.D.E.E.
Introduction This Research Manual provides general guidelines for
Principal Investigators (PIs) in the preparation of proposals and the administration of awards from external sponsors so that they are better informed and able to operate and maintain productive sponsored programs in compliance with federal, state, and institutional regulations and policies. The manual is intended to provide an overview of the policies and procedures employed by the Office of Sponsored Programs (OSP) in support of the pursuit and management of sponsored programs at Prairie View A&M University. The OSP is the primary source of information regarding sponsored programs. If further guidance is required, contact the Office of Sponsored Programs.
RESULTS & REPORTING
LIFE CYCLE OF A SPONSORED PROGRAM
PROJECT PROPOSAL AWARD
RESEARCH AND GRADUATE STUDIES George C. Wright President Cajetan M. Akujuobi Vice President for Research and Dean of Graduate Studies Blynthia Wilson Business Manager
Gloria Perez Executive Assistant
Karen Cotton Program Specialist III
Loretha Leaks Administrative Assistant II
Yushenng Liu Associate Vice President for Research
Donna Pulkrabek Director, Research Compliance
Ramaswamy Krishnamoorthi Director, Research Services
Four Compliance Committees IACUC, IBC, IRB, UCOR
Crysta Mendes Associate Director Research Compliance/ Export Control Officer
Roslyn Holloway Administrative Assistant I
Karen Bostwick Program Coordinator II
Donna Elmore-Cole Sr. Contract Negotiator II
Vacant Coordinator, Undergraduate Research
Alyson Walker Proposal Administrator I
Rene Sauer Gehring Grant Writer
Vanessa Wright Business Manager
Lois Burg Program Specialist III
Millisa Mosley Project Administrator II
LaToria Johnson Proposal Administrator I
Andrea Wilkins Project Administrator I Kathy Richardson Program Coordinator I
For the Office of Sponsored Programs (OSP) contacts, go to www.pvamu.edu/research.
SPONSORED PROGRAM ACTIVITY FLOW
PI identifies funding source and solicitation, and completes online Intent to Submit form
PI plans proposal with OSP support and Department Chair approval
PI writes and reviews proposal using sponsorâ€™s format
PI aquires required signatures and information for write-up
PI submits proposal to OSP for review and corrections
OSP notifies PI of necessary corrections in proposal
PI returns copy of corrected proposal to OSP
Proposal is submitted to Funding Agency
Types of Funding Opportunities There are three fundamental types of sponsored programs that are available to research investigators: grants, contracts and cooperative agreements. Processing of requests for any of these sponsored programs by research investigators must pass through PVAMU OSP prior to submission to the sponsor, and the guidelines of this manual should be followed.
GRANTS The purpose of a grant is to transfer money, property, services, or anything of value to recipient in order to accomplish a public purpose. The idea originates with “performer” and no substantial involvement is anticipated between sponsor and recipient during performance of activity. The following are some of the common types of grants. Research Grant: This is a funding grant that focuses on fundamental research. Training Grant: This is a grant that is awarded by sponsors to train and broaden the scientific background and research skills of individuals specializing in a specific area. Fellowship Grant: This is a funding grant awarded for the training of pre and postdoctoral fellows to broaden their background in a specific area. Conference Workshop Meetings Support Grant: This funding is awarded to support meetings, workshops and conferences. Equipment Grant: This grant provides support to pay for the cost of research equipment.
CONTRACT This is often called a “procurement mechanism”. Here the sponsor determines that procurement contract is appropriate. The principal purpose is to acquire property or service for direct benefit or use of the sponsor and the idea originates with the “sponsor”. In “Contract” the funding support could come from industry for research aimed at finding solutions to problems that arise in the industry.
COOPERATIVE AGREEMENT The principal purpose in Cooperative Agreement is to transfer funds to recipient to accomplish a public purpose and here again the idea may originate with the “performer” with substantial involvement occurring between sponsor and recipient during performance of activity. Cooperative Agreement could be funding from government and industry for conducting strategic research.
PROPOSAL DEVELOPMENT All research grants, contracts, and cooperative agreements are administered by the OSP and upon identifying a funding opportunity, PIs should seek the assistance of OSP in preparation of their proposals.
FUNDING SOURCE IDENTIFICATION PVAMU Office of Research and Graduate Studies receives announcements of funding opportunities from federal agencies, corporations and private foundations. The Office of Sponsored Programs (OSP) will assist potential PIs in identifying potential sponsors for a project. A primary resource for funding sources is the website pivot.cos.com. This website contains information about grant proposal solicitations in many disciplines, including Social Sciences and Humanities as well as physical and natural sciences and engineering. PIs should identify funding sources through appropriate websites. It is worth noting that initial contact with a sponsor or having recourse to the sponsorâ€™s website prior to the submission of a formal proposal can help in determining a sponsorâ€™s funding interests; also a sponsor may require that a letter of intent or a preliminary proposal be submitted. These preliminary works furnish the sponsor, information on the project without any commitment from PVAMU. As soon as a funding source is identified by the PI, they should complete online an Intent to Submit Proposal Form (www.pvamu.edu/research/administration/intent-tosubmit/) and contact the Proposal Administrator (PA) in OSP to develop a timeline for the preparation and submission of the proposal.
Proposal Development Workshops The Office of Sponsored Programs runs workshops each semester on proposal development and potential PIs and current PIs are encouraged to participate in these workshops to get familiar with proposal development. The dates and times of these workshops are made available to the faculty, research staff and students. Intensive workshop on grant writing is also organized each semester by OSP. PIs are encouraged to attend these workshops.
Pre-Award Administration Each proposal requesting external funding is a legal document binding PVAMU Administration to fulfill the conditions specified in the proposal. Thus, it is the PIâ€™s responsibility to ensure that the proposal complies with PVAMU policies, mission, and obligations. All proposals submitted will be reviewed by OSP for appropriateness and consistency and OSP will ensure they conform to the mission of PVAMU.
PROPOSAL ROUTING, REVIEW, APPROVAL, AND SUBMISSION Each proposal, upon submission by the PI, has to go through internal routing which starts in MAESTRO, Texas A&M University System’s grants management program. PVAMU solicits and accepts awards in the form of contracts, grants, and cooperative agreements from a variety of organizations including federal, state, local, industrial, and private foundations for research, instruction, training, and other sponsored program activities. If any department anticipates soliciting a grant or contract or as soon as a funding source is identified, the steps below are to be completed prior to submitting the request to PVAMU’s Authorized Organizational Representative (AOR) and subsequent submission to the sponsoring organization. PIs must use only their institutional email address in their proposals.
1. Inform the Office of Sponsored Programs of any proposal submission plans including the submittal deadline. www.pvamu.edu/research/administration/intent-tosubmit/. See appendix III.
2. A proposal number and account will then be set up in MAESTRO by OSP. Note that some federal funding agencies have a limited proposal submission policy that accepts a limited number of proposals per institution; this policy must be observed by PIs, since violations may result in rejection of the proposal. Refer to the website indicated below. www.pvamu.edu/research/administration/limited-submissionprocedure.
3. Once finalized, submit the proposal to OSP within a minimum of 5 business days before the sponsor’s due date. The proposal will be reviewed to ensure compliance with the sponsoring organization’s requirements and PVAMU policies and guidelines.
4. If the department is unable to provide the proposal by the deadline rule, OSP might not meet submission date. Shortened timeliness should be an exception.
5. Upon review completion, OSP will contact the PI for corrections or omissions in the proposal. The completed, finalized proposal package will be forwarded to the Authorized Organizational Representative (AOR) for final submission approval.
A completed, finalized proposal package includes: Proposal Budget Transmittal letter (when required) Sponsor specific forms F&A Cost Rate (when required) The finalized proposal package is routed in Maestro for appropriate approvals at PVAMU.
COMPONENTS OF A PROPOSAL Proposal format is often determined by a sponsor’s guidelines. The following sections demonstrate basic proposal components that may be used as a guide when the sponsor requirements are not specific. Typically a proposal should include the following items: COVER OR TITLE PAGE Principal Investigator’s name, address, phone number, fax number, email address Title of proposal Sponsor name, address, telephone and fax number Period of project performance with start and end dates Amount requested Submission date Signature of the Authorized Organizational Representative (AOR) ABSTRACT Abstract describes the objectives, methodology, and significance of the proposed project. It should stand alone and does not include references to other sections of the proposal. INTRODUCTION A brief description of the proposed project’s objectives, endorsement to support credibility in the project area, any related work which may be in progress, and any other pertinent background information as required by the sponsor. DESCRIPTION OF PROJECT The project description describes the approach used in the performance of the project which should convince reviewers at the funding agency that the project plan of execution has been carefully worked out and will succeed. LIST OF PERSONNEL Include name and title of all key personnel. Non-professional personnel should be listed by title or function only. BIBLIOGRAPHY A listing of references cited in the body of the proposal. CURRICULUM VITAE Curriculum Vitae for all key personnel should be included with every proposal to indicate their professional and academic background, professional interests, research capabilities, and publications relevant to the proposed project. BUDGET AND JUSTIFICATION Develop budget based on projected needs. Include justification for each item.
BUDGET PREPARATION The budget includes a reasonable estimate of financial support necessary to conduct the proposed project and justification of expenses. It must conform to the sponsorâ€™s instructions and applicable policies of PVAMU. For multiple year budgets, realistic inflationary increases for recurring expenses should be included. PIs should consult Office of Sponsored Programs for budget development support. The following categories are generally included in the proposal budget:
Direct Costs Direct costs are those costs that can be identified specifically with a particular sponsored project or that can be directly assigned to such activities relatively easily with a high degree of accuracy. OMBâ€™s (Office of Management & Budget) Uniform Guidance (UG) provides the criteria for direct charging of expenses to a sponsored project. The basic principle is that any costs directly charged to a sponsored project must be allocable, allowable, reasonable, necessary, and treated consistently. Please note the following regarding costs that are allowable and those that are unallowable.
Allowable Costs All costs being charged to the federal and non-federal sponsors must be allowable under the terms of a specific award and OMB UG. While OMB UG is the authoritative source regarding federal project, non-federal agencies also refer to OMB UG as well. For consistency, OMB UG shall be used on all sponsored projects at PVAMU, with a start date of December 26, 2014 or greater. Awards prior to this date will follow OMB Circulars A-21, A-110, and A-113.
Unallowable Costs Unallowable cost means any cost which, under the provisions of any pertinent law, regulation, or sponsored agreement, cannot be included in prices, cost reimbursements, or settlements under a sponsored agreement to which it is allocable. Principal Investigators are responsible for notifying OSP if they receive correspondence from an agency specifying that one or more costs are disallowed.
Direct costs include the following items:
1. SALARIES AND WAGES www.pvamu.edu/hr/faculty-staff-resources/compensation/ Salaries and wages should be budgeted commensurate with the proposed level of effort and can be paid only for time an individual is working on the project. Salary charges for work performed on sponsored agreements must be based on the individualâ€™s total annual compensation unless sponsor policies further limit salary charges. This compensation is known as Institution Base Salary (IBS). Refer to PVAMUâ€™s Institutional Base Salary Policy. The salary section of the budget should include the names and titles of all personnel who will be working on the project along with the percentage of time (effort) each person will devote to the project and the salary or percentage of salary requested. Effort must not exceed 100% of total effort, and employees cannot be compensated at an amount greater than their authorized salary level.
2. FRINGE BENEFITS Fringe benefit amount can be calculated by multiplying the salary by the appropriate fringe benefit rate and adding the applicable insurance amount. Rates are varied according to employment category. For fringe benefits rates, contact the OSP.
3. CONSULTANTS Consultants include any person who is not a PVAMU employee that will work on the project. List each consultant and indicate the nature of the service to be performed on the project and the rate of the reimbursement. Costs may include fees, travel, accommodations, and other related expenses. A letter of intent from the consultant must be included in the proposals.
4. EQUIPMENT An article of nonexpendable, tangible property, or equipment having a useful life of more than one year and an acquisition cost which equals or exceeds $5,000. The grantee must get a prior approval from the sponsor to purchase equipment that has not been authorized or included in the original budget.
5. SUPPLIES Any item having an acquisition cost of less than $1,000 and life expectancy of less than one year. Examples of supplies are paper, pens, and folders. A reasonable amount should be budgeted for these items, but it is not necessary to breakdown the cost of each item.
6. TRAVEL COSTS Identify travelers, destination, duration, and purpose of the trip. Travel costs include transportation, accommodation, registration fees, and other related costs. If a personal automobile is used for travel, indicate the number of miles to be traveled and calculate the cost using the official mileage reimbursement rate. See fmx.cpa. texas.gov/fm/travel/travelrates.php
7. SUBCONTRACT If a portion of the work is to be completed by another institution or firm, identify the organization by name and indicate the total anticipated costs. A subcontractorâ€™s letter of intent signed by authorized representative must be included in the proposal.
8. OTHER EXPENSES Identify any other expenses necessary for completion of the project such as publication costs, postage, and long distance telephone charges, Facilities and Administrative (F&A) Costs or Indirect Costs. F&A costs are those that are incurred for a common or joint purpose and cannot be identified readily and specifically with a particular sponsored project or any other institutional activity. Examples of F&A costs are general postage, general office supplies, utilities, buildings and grounds, and general administrative salaries.
An F&A cost rate is applicable to all sponsored projects funded by federal, state, or private sponsors. The application of this rate allows PVAMU to recover certain costs associated with externally-funded activities that, although they are incurred true costs, cannot be identified specifically with a particular project.
Read the sponsor program guidelines. If there is a limit on F&A rate, the program guidelines or announcement will list the rate to be used. If the guidelines do not mention F&A rate, indicate that something other than the applicable federally negotiated rate should be used, or indicate that F&A rate is not allowed, the appropriate full rate should be used. If a potential sponsor has a policy concerning the reimbursement of F&A costs, the budget should reflect that policy. To determine the appropriate amount of F&A costs to be budgeted, multiply the current rate by total direct costs, exclusive of student tuition, scholarships, equipment costs, capital expenditures, and subcontract cost in excess of $25,000.
The PVAMU current negotiated F&A rate (47.5% as of 08/19/2016) agreement is located on the website, assets.system.tamus.edu/files/budget-acct/pdf/FA_ Rates_PrairieView-FY2013-2016.pdf The Office of Sponsored Programs can assist in the development of your proposal budget. Always follow the guidelines provided by the funding agency.
CONSORTIUM PROPOSALS WITH OTHER INSTITUTIONS When a portion of the research project is to be conducted at another institution, a sub-award or sub-agreement between PVAMU and the institution is required in order to ensure compliance with sponsor requirements. Consortium proposal may be submitted by PIs in one of two methods: as a single proposal, in which a single award is requested with sub-awards administered by the lead institution or by simultaneous submission of proposals from the different institutions with each institution requesting separate award. In either case the lead institution’s proposal must contain all of the required sections to be provided to the sponsor. Documentation from the non-lead institution’s authorized official including an itemized budget and budget justification, a statement of work to be performed and qualifications to do that work should be incorporated into the proposal.
Cost Sharing Cost sharing is that portion of a total sponsored project’s costs that are paid from sources other than funds provided by the sponsor. Cost sharing can either be committed (mandatory or voluntary) or uncommitted, as per UG. Mandatory Cost Sharing is required by the sponsor as a condition of an award. Voluntary Cost Sharing is not required specifically by the sponsor but offered by the grantee. Once voluntary cost sharing is included in the budget, it is considered committed cost sharing. Uncommitted Cost Sharing is not required by the sponsor. It is the contribution amount over the committed budget. Uncommitted cost sharing does not have to be documented or reported. Cost sharing has a significant financial impact on the department providing funds and PVAMU as a whole. It becomes a binding commitment that must be accounted for and tracked in a consistent manner. PVAMU strongly discourages cost sharing arrangements for all sponsored programs, as these arrangements involve unique accounting procedures and require funding resources from PVAMU. Cost sharing arrangements also necessitate increased monitoring to ensure compliance. All departments proposing cost sharing commitments must obtain approval from the Associate Vice President for Financial Management Services prior to proposal submission. Refer to the PVAMU Cost Sharing Policy at the website www.pvamu.edu/research/ administration/financial-administration-compliance//costsharing/ for additional information.
RESEARCH COMPLIANCE Research studies are governed by Federal and State regulatory and compliance committees. All research studies should comply with applicable Federal and State laws. Non-compliance can result in penalties to PVAMU and also in some instances to the PIs of the Research study. It is the responsibility of all PIs to familiarize themselves with all areas of research compliance. In all research studies, reviews are required to ensure research compliance of all protocols regarding human subjects, animals, radioactivity or biohazardous materials or recombination DNA. Information regarding Research Compliance Committee members, Export Control, and Institutional Review Board (IRB) are available at the Office of Sponsored Research.
Human Subjects In the event that human subjects are to be included as part of a research study, the conduct of this part of the study must be reviewed and approved by the Institutional Review Board. After review, the IRB will issue a written notice of its action with a copy to the PI. Studies may commence only when the research protocol is approved by the IRB.
Laboratory Animals Federal regulations require that research studies involving laboratory animals must follow protocols that have been reviewed and approved by the Institution Animal Care and Use Committee (IACUC). After review, the IACUC will notify the author(s) of the research proposal of its action. Studies may not commence until approval is given by IACUC.
Radioactive Materials If research studies involve exposure of personnel and/or subjects to radioactive material or radioactivity including x-rays contact the Office of Sponsored Research to be directed to the Institutional Biosafety Committee (IBC) for approval of the risk management protocol before research is commenced.
Biohazard Materials and Recombinant DNA If the research studies involve the use of recombinant DNA or any biohazard materials, approval of the research study protocol should be sought from the Institutional Biosafety Committee, IBC. For training resources with these compliances, contact Ms. Donna Pulkrabek, Director of Research Compliance.
Export Control There exist federal agencies that regulate the shipment or transfer, by whatever means, of controlled items, software, technology or service out of the U.S. Besides, the government imposes restrictions on the release of certain information to foreign nationals in the U.S. Non-compliance with export controls regarding research studies can result in severe monetary and criminal penalties against a PI or PVAMU; it can result in the loss of research contracts or Federal or State funding.
Traveling overseas with high tech equipment, confidential, unpublished, or proprietary information may constitute non-compliance under export control. For detailed information on this subject contact Ms. Crysta Mendes, Associate Director, Export Controls in the Office of Sponsored Research.
Responsible Conduct of Research All research activities undertaken at PVAMU should be conducted effectively, objectively and without any improper influence. The research study should be devoid of research fraud, falsification, plagiarism, fabrication among others. Failure to comply with these regulations can result in criminal penalties against the PI or PVAMU. Further information on research integrity can be obtained from the Office of Sponsored Research.
Financial Conflict of Interest All PIs, with the assistance of Office of Sponsored Research, should ensure that PVAMU written policy on financial conflict of interest consistent with federal regulations is followed. Non-compliance of these regulations may result in criminal penalties against the PIs. PIs are, therefore, encouraged to complete training in financial conflict of interest or conflict of interest via PVAMU TrainTraq before commencing their research.
Protection of Proprietary Information It is the responsibility of the PI to determine if the proposal contains proprietary information to be protected and label the corresponding paragraphs appropriately.
Intellectual Property It is Texas A&M University System (TAMUS) Policy that title to patents and copyrights developed under sponsored programs remain with PVAMU (TAMUS), see website: www.Otc.tamu.edu or contact the TAMUS Office of Technology Commercialization.
Post-Award AdministrationFinancial TEACHINGRESEARCHSERVICE 22
NOTICE OF AWARD (NOA) The first formal indication that an award has been funded is in the form of an agency Notice of Award (NOA). The NOA is typically sent directly to the proposing department or to a Principal Investigator (PI). A NOA is the legal document issued to notify a recipient organization (grantee) that it has received an award and that funds may be requested from the sponsor. For grants, this notice is known as a NOGA or Notice of Grant Award. Typical NOA/NOGA will include: Dates of the funding period The amount of funds authorized by the sponsor during the period indicated Special terms and conditions binding the award General terms applicable to the award It is critical that the Negotiator/Project Administrator (PA) carefully reviews the award notice, particularly the terms and conditions of the award, before accepting the award to clearly understand just what the award entails. It is recommended that the PI be involved in the review process. Further negotiation with the sponsor may be necessary to eliminate or revise unnecessary or inappropriate terms and conditions of the award. Once the PI approves and agrees upon the terms and conditions, which are legally binding and must be followed by both the recipient and the awarding agency. A copy of the NOA/NOGA will be forwarded to the PA for setting up an account.
ESTABLISHING AN ACCOUNT A new account will be created and a budget will be recorded in the accounting system at the equal amount awarded and/or received. The PI will receive a MAESTRO notification that the account has been established and the Sponsored Project Summary (SPS) is available. At that time the PI is responsible for ensuring that a completed and signed Account Profile form has been provided to Accounting.
REGULAR MONITORING OF EXPENDITURES The PI is responsible for managing day-to-day operations of the grant throughout the project period. Accounts are to be monitored and reconciled regularly by the PI with the cooperation of the PA to ensure that expenditures and revenues are within applicable limits and guidelines. Benefits: Ensure revenues have been received properly Ensure costs incurred are within the budget period and project timeline Discover errors in the budget or expenditures Verify corrections and/or cost transfers are made in a timely manner Avoid overspending Ensure that the project is in compliance with the sponsor’s spending terms and conditions Ensure committed cost sharing (if any) has been fulfilled Provide clean record for audit PVAMU travel policies and procedures must be followed unless granting agency has more restrictive requirements. Refer to www.pvamu.edu/pdsv/travel Ordering of supplies and equipment must follow PVAMU procurement policies, see www.pvamu.edu/procurement/
COST TRANSFER A cost transfer is an after-the-fact-reallocation of costs. During the life of an award, it may be necessary to transfer costs. To comply with OMB’s Uniform Guidance, cost transfers or adjustments are often needed to correct the initial cost assignment. It is necessary to explain and justify transfers of charges from one award to another. Examples of cost transfer include: Correction of a clerical error Time and effort hours worked were incorrectly assigned or posted or at variance with initially assigned values. Labor hours or other costs were inadvertently posted to the wrong project Requests for cost transfers or adjustments should be made immediately and no later than ninety (90) days of the initial posting of the transaction using a Cost Transfer form. Cost transfers within ninety (90) days must have approval signatures from the principal investigator, department head, and sometimes the dean. Cost transfers or adjustments requested ninety (90) days or more after initial posting will require explanation for the late request. Cost transfers over ninety (90) days must have approval signatures from the principal investigator, department head, dean, and applicable senior management. Cost transfers or adjustments requested ninety (90) days or more after initial posting of the transaction will be subject to audit and should, if possible, be avoided. Costs allocable to
a particular award agreement may not be shifted to another in order to avoid restrictions imposed by terms of the award agreement. Transfer of costs from one budget period to the next to cover cost overruns or to use up remaining funds is not allowable. Refer to the PVAMU Cost Transfer Policy for additional information. www.pvamu.edu/policies/#s15
TIME AND EFFORT REPORTING Time and effort reporting is a means of confirming that both the effort paid for by the sponsor is the effort expended in support of a project. Payroll distributions and Time and Effort Reports are not the same thing. Payroll distributions allocate an individual’s salary, whereas the Time and Effort Report allocates an individual’s effort. Salary distribution and effort may not be the same month by month, but by the end of the fiscal year or the certification period, they shall be in alignment within five (5) percent or less. If the salary distribution differs from the Time and Effort reported during the same certification period by more than five (5) percent, the salary distribution must be modified before the certifications are signed. Certification is required of all personnel (professional and non-professional employees) whenever a portion of their salary (in whole or in part) is charged to a sponsored project or associated account. This after-the-fact confirmation must be signed by an individual with firsthand knowledge of effort performed and may be confirmed by responsible persons with suitable means of verification that work was performed and amounts shown are a reasonable estimate of actual work performed during the stated period. Effort certification should reflect the percentage of actual time spent on the sponsored project expressed as a percentage of total effort rendered, not on a 40-hour work week. The total effort rendered may not exceed 100% and should include all activities for which the individual receives compensation, when any portion of the compensation is from a sponsored project agreement. Records documenting distribution of employee’s activities must be in writing and maintained for three years from the date of submission of the final expenditure report. To comply with this requirement, the Time & Effort Certification System, an after-the-fact confirmation method of time and effort, is used to facilitate this reporting. Failure to verify time and effort within the certification period or improper allocation of employee’s time according to contractual agreement can result in serious penalties for PVAMU and/or the individual(s) certifying their effort. These penalties may include breach of contractual agreement, financial audit disallowance of costs, loss of future awards, and adverse public image. Criminal charges may be brought against an individual certifying a falsified Time and Effort Report. All individuals working on sponsored projects at PVAMU should take time and effort training. Refer to the PVAMU Time and Effort Reporting Policy for additional information. www.pvamu.edu/policies/#s15
Post-Award AdministrationNon Financial TEACHINGRESEARCHSERVICE 26
CHANGE IN PRINCIPAL INVESTIGATOR It is the policy of OSP that any change in status or effort of the PI or other key personnel is in compliance with the sponsors’ guidelines and PVAMU policy. The PI has the responsibility of initiating notification of any such change to OSP for review and transmission to the sponsor. In case the PI is unable to initiate such notification, the academic department must notify OSP.
TRANSFER TO ANOTHER INSTITUTION When a PI moves to another institution during the course of an award, OSP has the choice of nominating a substitute PI or transferring the award to the new institution.
NO-COST EXTENSION If the PI needs additional time to complete work on the project and with approval from the project’s sponsor, the performance period may be extended with no additional funding. Normally, a no-cost extension may not exceed twelve months and usually only a single extension will be granted except for special circumstances. The request for a nocost extension should generally contain: Length of time for which the extension is being requested and a justification for the extension; Brief statement as to progress and work remaining to be completed; and Estimate of remaining funds after the scheduled expiration date. A request for no-cost extension should be made at least 30 days in advance of the end of the performance period and in writing to sponsor. The extension may not be exercised merely for the purpose of using the unspent balances. The PI needs to send the PA a justification for the no-cost extension request. The PA will submit the request to the sponsor through the proper channels.
REPORTING REQUIREMENTS Once PVAMU has entered into an agreement with a sponsor, it is the PI’s responsibility to comply with all reporting requirements of that agreement. The PI must complete all programmatic reports including the final report. Evidence of required report submission must be sent to OSP. Timely reporting is essential to maintaining sponsored funding relationships. Often continued funding or payments are related to the receipt of programmatic reports. Specific reporting requirement can be found in the terms and conditions of the award. The financial reporting is submitted by the OSP office.
CLOSEOUT Closeout includes ensuring timely submission of all required reports. Closeout documents (financial, performance, and other reports, as required by the terms and conditions of the award) must be submitted within the timelines specified by the award’s terms and conditions. Typically this is ninety (90) days after the end of the period of performance. If requested, a sponsor may sometimes approve extensions. Expenses must be completed within sixty (60) calendar days of the project end date... All financial records should be retained for a minimum of three years after closeout unless otherwise stated. Closeout of a grant does not cancel any requirements for proper accountability, record retention, or financial accountability.
RECORD RETENTION Federal regulations require awardees to prepare, maintain, and keep adequate records of sponsored project activities. Financial records, supporting documents, and all other records pertinent to an award shall be retained for a period of three (3) years from the date of submission of the final expenditure report unless otherwise specified. The PI is responsible for the collection, management, and retention of project records. PIs should establish procedures for maintaining records and communicate them to their administrative personnel. Longer periods of record retention may apply in the following situations: If any litigation, claim, or audit is started before the expiration of the 3-year period, the records shall be retained until all litigation, claim or audit findings involving the records have been resolved and final action taken. Data must be kept for as long as may be necessary to protect any intellectual property resulting from the work. If a student is involved in the project, data must be retained at least until the degree is awarded or it is clear that the student has abandoned the work. Destruction of the project records is at the discretion of the PI and his/her department head. Records will normally be retained in the unit where produced. OSP retains records of purchase orders, invoices, payroll records and other financial data.
Helpful Information Office of Management and Budget Official Mileage Reimbursement Guide Cost Transfer Policy Time and Effort Management and Reporting Policy Cost Sharing Policy Institutional Base Salary Policy Facility and Administration cost Rate www.whitehouse.gov/omb
Funding Agencies and Foundations There are many Federal, State, private agencies, and foundations that are potential funders. The list below contains a few examples: American Express about.americanexpress.com/csr/howto.aspx AT&T Foundation www.att.com/gen/landing-pages Barbara Bush Foundation for Family Literacy www.barbarabushfoundation.com Bill and Melinda Gates Foundation www.gatesfoundation.org/How-We-Work/GeneralInformation/Grant-Opportunities Educational Foundation of America www.theefa.org W.K. Kellogg Foundation wrm.wkkf.org/uWebRequestManager/UI/Application.aspx Education, Department of www.ed.gov Energy, Department of www.science.energy.gov/grants Office of Science Grants and Contracts www.science.energy.gov/funding-opportunities Doing Business with the DOE www.science.energy.gov/grants EPA Research Programs www.epa.gov/research-grants Federal Communications Commission (FCC) www.fcc.gov Federal Deposit Insurance Corporation (FDIC) www.fdic.gov Federal Emergency Management Agency (FEMA) www.fema.gov/grants Health and Human Services, Department of www.hhs.gov Housing and Urban Development, Department of www.hud.gov Interior, Department of the www.doi.gov Justice, Department of www.justice.gov Labor, Department of, www.dol.gov National Academy of Sciences (NAS) www.nationalacademyofsciences.org National Endowment for the Arts (NEA) www.arts.gov/grants National Institutes of Health (NIH) www.grants.nih.gov/grants/about_grants.htm NIH Office of Extramural Research [Grants Policy and Guidance] www.grants.nih.gov/ policy/index.htm National Science Foundation (NSF) www.nsf.gov
Active Funding Opportunities Office of Naval Research (ONR) www.onr.navy.mil/contracts-grants.aspx Small Business Administration (SBA) www.sba.gov/loans-grants Small Business Innovation Research (SBIR) grants and hotlist www.sbir.gov Social Security Administration (SSA) www.ssa.gov State, Department of Texas Higher Education Coordinating Board www.thecb.state.tx.us Texas Office of the Governor www.gov.texas.gov U.S. General Services Administration www.nsf.gov U.S. Department of Homeland Security www.dhs.gov
FEDERAL POLICIES AND REGULATIONS Department of Education www.ed.gov Department of Education (EDGAR) www2ed.gov Award Conditions and Information on NIH Grants www.grants.nih.gov/grants/.../ awardcondition.htm Salary Limitations on Grants & Contracts NIH www.grants.nih.gov/-OD-16-045.ht... Federal Demonstration Partnership (FDP) www.sites.nationalacademies.org/pga/fdp/ Index.htm NSF Grant Policy Manual www.nsf.gov/pubs/manuals/gpm05_131/index.jsp NSF Grant Proposal Guide www.nsf.gov/pub_summ.jsp?ods_key=gpg SBIR Phase I General Conditions www.nsf.gov/pub_summ.jsp?ods_key=sbirl SBIR Phase II General Conditions www.nsf.gov/cgi-bin/getpub?sbiri99
Glossary of Terms TEACHINGRESEARCHSERVICE 32
Allocable Costs: Those allowable costs that actually benefit the project funded by the grant or contract to which they are being charged. For example, allocable costs include the cost of the effort of employees applied to the project supported by the award.
Allowable Costs: Those categories of costs that can be charged to an award, such as salaries and equipment. Certain types of costs, such as the cost of alcoholic beverages, are not allowable. Costs must be reasonable, allocable and consistent with terms of the award.
Audit: A formal examination of the accounts of an organization, an individual, or a financial situation. An audit may also include an examination into compliance with applicable terms, laws, and regulations.
Authorized Total: The total amount obligated under a sponsored agreement that a sponsored project is authorized to spend in a given period. For example, suppose the budget for a particular proposal is $3,000,000, the period of performance is three years, and the proposal is fully funded. Does this mean that you have $3,000,000 available to spend? That depends on the Authorized Total that the sponsor has stipulated. If the sponsor has set $1,000,000 for the first year of the award as the obligated amount, then you can spend up to $1,000,000 during that first year. The sponsor will also obligate a given amount that you can spend for each subsequent year.
Awards: Funds that have been obligated by a funding entity for a particular project. Awards include grants, contract, cooperative agreements and other agreements in the form of money, property or service.
Basic Research: Per FAR, that research directed toward increasing knowledge in science. The primary aim of basic research is a fuller knowledge or understanding of the subject under study, rather than any practical application of that knowledge.
Broad Agency Announcement: Per FAR, means a general announcement of an agencyâ€™s research interest including criteria for selecting proposals and soliciting the participation of all offerors capable of satisfying the Governmentâ€™s needs.
Budget: The detailed statement outlining estimated project costs to support work under a grant or contract.
Budget Period: The interval of time, usually twelve months, into which the project period is divided for budgetary and funding purposes.
CFR: Code of Federal Regulations. Change Order: Under Federal contracts containing a Changes clause, a written unilateral contract modification signed by the contracting officer, directing the contractor to make changes in project specifications. The Changes clause allows the contractor to submit a proposal for costs associated with the required changes.
Classified Contract: Per FAR, means any contract in which the contractor or its employees must have access to classified information during contract performance. A contract may be a classified contract even though the contract document itself is unclassified.
Classified Information: Per FAR, means any knowledge that can be communicated or any documentary material, regardless of its physical form or characteristics, that1) (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.
Close Out: The process of completing all the internal procedures and sponsor requirements necessary to terminate or complete a project.
Commerce Business Daily (CBD): Per FAR, means the publication of the Secretary of Commerce used to fulfill statutory requirements to publish certain public notices in paper form.
Competing Proposals: These are proposals that are submitted for the first time, or unfunded proposals that are resubmitted. Both types must compete for funds via a review process established by the sponsor. Ongoing projects must compete again if the term of the original award has expired.
Consortium Agreement: An Agreement written for multi-sponsor support of a sponsored program. Each sponsoring organization executes the same Agreement, becoming a consortium member.
Continuation Project (Non-Competing): Applicable to grants and cooperative agreements only. A project approved for multiple-year funding, although funds are typically committed only one year at a time. At the end of the initial budget period, progress on the project is assessed. If satisfactory, an award is made for the next budget period, subject to the availability of funds. Continuation projects do not compete with new project proposals, and are not subject to peer review beyond the initial project approval.
Contract: A mechanism for the procurement of a product or service with specific obligations for both sponsor and recipient. Typically, a research topic and the methods for conducting the research are specified in detail by the sponsor, although some sponsors award contracts in response to unsolicited proposals.
Cooperative Agreement: (Federal) A Form of Federal Assistance. This award anticipates substantial sponsor involvement in research once the award has been made. The sponsorâ€™s staff may be actively involved in proposal preparation. Contract: The appropriate agreement to use in a procurement relationship between the federal government and a contractor. A federal contract applies whenever the principal
purpose is for the federal government to acquire property or services for its direct benefit and use.
Co-PI: The co-principal investigator. Cost Accounting Standards (CAS): Federally mandated accounting standards intended to ensure uniformity in budgeting, spending and reporting of funds.
Cost-Reimbursement Type: A contract or grant for which the sponsor pays the full costs incurred in the conduct of the work, up to an agreed amount.
Cost Sharing: A portion of a project or program cost not reimbursed by the sponsor. Cost sharing represents a commitment by the Institute. Cost sharing may be required by the sponsor as a condition of the award (mandatory) or it may be offered by the Institute in excess of mandatory cost sharing requirements (voluntary). Whether cost sharing is required by the sponsor or is offered by the Institute or PI voluntarily, proposed cost sharing is a commitment once an award is made. In other words, they represent binding obligations on the Institute. The Federal regulations and the Institute policy governing cost sharing are summarized on the RA&F web site.
CRADA: Cooperative Research and Development Agreement. This is written agreement between a private company and a government agency to work together on a project.
Date of Completion: Per A-110, means the date on which all work under an award is completed or the date on the award document, or any supplement or amendment thereto, on which Federal sponsorship ends.
DFAR: Department of Defense supplement to the Federal Acquisition Regulations (FAR). DOD contracts will include both FAR and DFAR clauses.
Debarment: Per FAR means action taken by a debarring official under 9.406 to exclude a contractor from Government contracting and Government-approved subcontracting for a reasonable, specified period; a contractor that is excluded is â€œdebarred.â€?
Deficit/Overrun: A financial condition in which expenditures exceed the funds available.
Direct Costs per OMB UG: Costs that can be identified specifically with a particular sponsored project, or can be directly assigned with a high degree of accuracy.
Disallowed Costs: Per A-110, means those charges to an award that the Federal awarding agency determines to be unallowable, in accordance with the applicable Federal cost principles or other terms and conditions contained in the award.
EB Employee Benefits/Fringe Benefits: Employee benefits paid by the employer (for example, FICA, Workerâ€™s Compensation, Withholding Tax, Insurance, and so forth).
Electronic and Information Technology (EIT): Per FAR, has the same meaning as “information technology” except EIT also includes any equipment or interconnected system or subsystem of equipment that is used in the creation, conversion, or duplication of data or information. The term EIT, includes, but is not limited to, telecommunication products (such as telephones), information kiosks and transaction machines, worldwide websites, multimedia, and office equipment (such as copiers and fax machines).
Electronic Commerce: Per FAR, means electronic techniques for accomplishing business transactions including electronic mail or messaging, World Wide Web technology, electronic bulletin boards, purchase cards, electronic funds transfer, and electronic data interchange.
Electronic Data Interchange (EDI): Per FAR, means a technique for electronically transferring and storing formatted information between computers utilizing established and published formats and codes, as authorized by the applicable Federal Information Processing Standards.
Electronic Funds Transfer (EFT): Per FAR, means any transfer of funds, other than a transaction originated by cash, check, or similar paper instrument, which is initiated through an electronic terminal, telephone, computer, or magnetic tape, for the purpose of ordering, instructing or authorizing a financial institution to debit or credit an account. The term includes Automated Clearing House transfers, Fed wire transfers, and transfers made at automatic teller machines and point-of-sale
Equipment: Per OMG UG means tangible nonexpendable personal property including exempt property charged directly to the award having a useful life of more than one year and an acquisition cost of $5000 or more per unit. However, consistent with recipient policy, lower limits may be established.
ERA (Electronic Research Administration): ERA broadly encompasses the application of computer systems to serve the needs of all phases of research administration, from identifying funding opportunities to post-award administration
FastLane: An interactive real-time system used to conduct official National Science Foundation business over the Internet. FastLane is the submission system for the NSF, providing electronic templates for proposals, annual reports, final reports, extension requests, etc. For more information, see Fastlane
Facilities and Administrative (F&A) Rate: A rate that an institution charges to a sponsored project for the use of its facilities and administration.
Facilities and Administrative (F&A) Costs: Per OMG UG, means costs that are incurred for common or joint objectives and, therefore, cannot be identified readily and specifically with a particular sponsored project, an instructional activity, or any other institutional activity. F&A costs are synonymous with “indirect” costs. F&A Facilities and Administration Rate: A rate that the Institute charges to a sponsored project for the use of Institute facilities and administration (overhead).
Federal Acquisition Regulations (FAR): The primary regulation used by all federal executive agencies in their acquisition (contracts) of supplies and services with appropriated funds.
Federal Awarding Agency: Per A-110, means the Federal agency that provides an award to the recipient.
Federal Fixed-price Contract: A contract providing for a set lump sum payment upon satisfactory performance of the terms of the contract.
Federal Grant: A form of Federal Assistance where the principal purpose of the award is the transfer of money to accomplish a public purpose. With a federal grant, there is no substantial involvement anticipated between the governmental agency and the recipient during the period of performance.
Federally Funded Research and Development Centers (FFRDCs): Per FAR, means activities that are sponsored under a broad charter by a Government agency (or agencies) for the purpose of performing, analyzing, integrating, supporting, and/or managing basic or applied research and/or development, and that receive 70 percent or more of their financial support from the Government; and-
1. A long-term relationship is contemplated; 2. Most or all of the facilities are owned or funded by the Government; and 3. The FFRDC has access to Government and supplier data, employees, and facilities beyond that common in a normal contractual relationship.
Final Report: The final technical, property, intellectual property or financial report required by a sponsor to complete a project.
Fiscal Year (FY): Any twelve-month period for which annual accounts are kept. The fiscal year at the Institute is July 1 to June 30. The Federal fiscal year is October 1 through September 30. The State fiscal year is April 1 to March 31.
Funding Cycle: The period during which a sponsor accepts proposals and awards funding. If a sponsor has standing proposal review committees (or boards) that meet at specified times during the year, application deadlines correspond with those meetings. In the case of NSF, proposals that are received too late to be considered in the current funding cycle, it may be held over for the next cycle.
FY: Fiscal Year. Any twelve-month period for which annual accounts are kept. The fiscal year at the Institute is July 1 to June 30.
FOIA: Freedom of Information Act. GPG: Grant Proposal Guide. The proposal guidelines for the National Science Foundation.
FTE: Full-time equivalent. For example, two half-time employees represent one FTE. 37
Grant Number: Grant numbers assigned to each fund are used by RA&F to obtain financial reporting information. This number is referenced in BANNER on-line and in printed reports.
Fund Accounting: This is the accounting system used by the universities to identify revenues and expenses according to purpose of use and the source of funds. Separate records are kept for assets donated to an organization and restricted by donors to certain specific purposes or use if the total amount of the award is contained in that single fund. The grant consists of multiple funds when the award amount is divided into more than one fund, such as with master/subs.
Fund Number: The fund element is a unique six-digit code assigned to each project. This is the number you will use internally to charge expenditures to your project. Sponsored program funds begin with either A or B, with A signifying research and B signifying training. The second digit defines the type of sponsor supporting the project.
IACUC: Institutional Animal Care and Use Committee Indirect Costs: See F&A costs. Internal Control: Per OMG UG, means a process, effected by an entityâ€™s management and other personnel, designed to provide reasonable assurance regarding the achievement of objectives in the following categories:
1. Effectiveness and efficiency of operations; 2. Reliability of financial reporting; and 3. Compliance with applicable laws and regulations.
IRB: Institutional Review Board. This is body, required under Federal regulation, which oversees research involving human subjects.
Key Personnel: The personnel considered to be of primary importance to the successful conduct of a project. The term usually applies to the Principal Investigator(s), but may extend to other senior members of the project staff.
Matching Funds: See cost sharing. This is financial contribution by the Institute required by a granting agency as a condition for receiving a contract, grant, or award; a form of cost sharing at a significant level.
MTDC: Modified Total Direct Costs. Per A-21, the base of costs to which the negotiated F&A rate is applied. New Award: An award not previously awarded, or a renewal or continuation award treated as a new award by the sponsor and given a new agency number. New and Competing Proposals: Proposals submitted for the first time and thus competing for funding, or ongoing projects that must re-compete for funding prior to the expiration of the original award.
No-cost Extension: An extension of the period of performance beyond the expiration end date established in the terms of the award to allow the principal
investigator to finish a project. No additional funding is provided. Non-Competing Renewal: A renewal applied to a continuing project, i.e., one that need not compete with other projects for funding.
OMB UG: Office of Management and Budget Uniform Grant Guidance; This is a circular from the Executive Office of the president of the United States, Office of Management and Budget that guides and assesses the effectiveness of competing funding demands among agency programs.
Organized Research: Per A-21, means all research and development activities of an institution that are separately budgeted and accounted for. It includes:
Sponsored Research means all research and development activities that are sponsored by Federal and non-Federal agencies and organizations. This term includes activities involving the training of individuals in research techniques (commonly called research training) where such activities utilize the same facilities as other research and development activities and where such activities are not included in the instruction function.
Other Sponsored Activities: Per A-21, means programs and projects financed by Federal and non-Federal agencies and organizations which involve the performance of work other than instruction and organized research. Examples of such programs and projects are health service projects, and community service programs.
Overhead: See F&A costs. PI (Principal Investigator): The individual responsible for the conduct of research or other activity described in the proposal for an award.
Pre-award Costs Authorization: Authorization to incur allowable expense (sometimes up to a specified limit) on a project within a limited period before the award is made by the sponsor.
Pre-proposal: A brief description (usually 2-10 pages) of a research plan and estimated budget. The pre-proposal is sometimes submitted to determine the interest of a potential sponsor prior to submission of a formal proposal. A pre-proposal is also known as a preliminary, initial or Phase I proposal.
Prior Approval: Per OMG UG written approval by an authorized official evidencing prior consent. Prior approval is required to significantly change aspects of the program from those originally proposed and approved and to meet other requirements specified in the agreement terms.
Program Announcement: A document describing a research opportunity from a funding agency. It may describe new or expanded interest in a particular extramural program, or it may be a reminder of a continuing interest in an extramural program.
Program Income: Per OMG UG, means gross income earned by the recipient that is directly generated by a supported activity or earned as a result of the award.
Program/Project Officer/Technical Representative: An individual designated by a sponsor as responsible for the technical, scientific, and/or programmatic aspects of a particular award. A program/project officer serves as the sponsor’s counterpart to the principal investigator or project director of the grantee and contractor organization. He or she deals with the grantee or contractor organization staff to assure programmatic progress. He or she is not authorized to change the terms of the award. These actions require an award modification executed by the Grant or Contract Officer.
Progress Report: Scheduled reports required by a sponsor summarizing progress to date. Technical, fiscal, and invention reports may be required.
Project Period: Per OMB UG, the period established in the award document during which Federal sponsorship begins and ends. The project period may consist of one or Proposal: An application for funding that contains all the information necessary to describe a project’s plans, staff capabilities, and the funds requested. Formal proposals are developed by a principal investigator and are officially approved and submitted by an organization.
Proposal Information Form: This is an RA&F proposal form used to facilitate and document the routing and review of proposal.
Rebudget: The act of amending a budget by moving funds from one category or line item to another; also called Budget Adjustment.
Recipient: Per A-110, means an organization receiving financial assistance directly from Federal awarding agencies to carry out a project or program. The term includes public and private institutions of higher education, public and private hospitals, and other quasi-public and private non-profit organizations such as, but not limited to, community action agencies, research institutes, educational associations, and health centers. The term may include commercial organizations, foreign or international organizations (such as agencies of the United Nations) which are recipients, subrecipients, or contractors or subcontractors of recipients or sub recipients at the discretion of the Federal awarding agency. The term does not include government- owned contractor-operated facilities or research centers providing continued support for mission-oriented, large-scale programs that are government-owned or controlled, or are designated as federally-funded research and development centers.
Research and Development: Per OMB UG, means all research activities, both basic and applied, and all development activities that are supported at universities, colleges, and other non-profit institutions. “Research” is defined as a systematic study directed toward fuller scientific knowledge or understanding of the subject studied. “Development” is the systematic use of knowledge and understanding gained from research directed toward the production of useful materials, devices, systems, or methods, including design and development of prototypes and processes. The term research also includes activities involving the training of individuals in research techniques where such activities utilize the same facilities as other research and development activities and where such activities are not included in the instruction function.
S&W (Salaries and Wages): Payments made to employees for work performed. SBA: Small Business Administration. SBIR (Small Business Innovation Research): The Federal Small Business Innovation Research program promotes research and development by domestic small businesses.
Scope of Work: The description of the work to be performed on a project. Sole Source Acquisition: Per FAR, means a contract for the purchase of supplies or services that is entered into or proposed to be entered into by an agency after soliciting and negotiating with only one source.
Solicitation: Per FAR, means any request to submit offers or quotations to the Government. Solicitations under sealed bid procedures are called “invitations for bids.” Solicitations under negotiated procedures are called “requests for proposals.” Solicitations under simplified acquisition procedures may require submission of either a quotation or an offer.
Sponsor: The organization that funds a project via award of a contract, grant or cooperative agreement, or other agreement.
Sponsored Agreement: Per A-21, means any grant, contract, or other agreement between the institution and the Federal Government.
Stipend: A payment made to an individual under a fellowship or training grant in accordance with pre-established levels. A stipend provides for the individual’s living expenses during the period of training. It does not incur fringe benefits.
STTR (Small Business Technology Transfer): The Federal Small Business Technology Transfer program promotes research and development by domestic small businesses in cooperation with institutions of higher education.
Sub-award (also called subcontract or sub-grant): A secondary award directed to cooperatively working with a third party to carry out the program for which a primary award has been granted. In other words, a sub-award agreement allows an additional party to complete a portion of the work described in the proposal for a primary award.
Total Project Costs: The total allowable direct and indirect costs incurred by an organization to carry out an approved project.
Unallowable Cost: Per FAR, means any cost that, under the provisions of any pertinent law, regulation, or contract, cannot be included in prices, costreimbursements, or settlements under a Government contract to which it is allocable.
Unexpended Balance: The portion of the funds authorized by the awarding entity that has not been expended by the recipient and is determined by deducting the cumulative expenditures from the authorized total.
Unsolicited Proposal: A proposal submitted to a sponsor that is not in response to an RFP, RFA, or program announcement. (See also Investigator-Initiated Proposal.)
Subcontract: An agreement or secondary contract in which a third party agrees to perform some of the activities defined in the proposal for an award. A subcontract relationship is generally described at the time of proposal submission but not consummated until after the award has been made to the organization submitting the primary proposal.
Supplemental Proposal: A request to the sponsor for additional funds for an ongoing project during the previously approved performance period. A supplemental proposal may result from increased costs, modifications in design, or a desire to add a closely related component to the ongoing project.
Suspension of an Award: Per OMB UG, an action by a Federal awarding agency that temporarily withdraws Federal sponsorship under an award, pending corrective action by the recipient or pending a decision to terminate the award by the Federal awarding agency.
Taxpayer Identification Number (TIN): Per FAR, means the number required by the IRS to be used by the offeror in reporting income tax and other returns. The TIN may be either a Social Security Number or an Employer Identification Number.
TDC: Total Direct Costs. This is the total of all direct costs of a project. See Direct Costs. Termination: Per OMB UG, means the cancellation of Federal sponsorship, in whole or in part, under an agreement at any time prior to the date of completion.
Terms of Award: All legal requirements imposed on an agreement by the sponsor, whether by statute, regulation, or terms in the award document. The terms of an agreement may include both standard and special provisions that are considered necessary to protect the recipientâ€™s and sponsorâ€™s interests.
Testbed: An experimental proof of concept, technology demonstration, or preprototype.
Third Party In-kind Contributions: Per OMB UG means the value of non-cash contributions provided by non-Federal third parties. Third party in-kind contributions may be in the form of real property, equipment, supplies and other expendable property, and the value of goods and services directly benefiting and specifically identifiable to the project or program.
Acknowledgements We gratefully acknowledge the University of Texas-Austin and East Tennessee State University as the sources for some of the helpful information presented in this manual. University of Texas-Austin: www.utsystem.edu/cont/Sponsored%20Programs/ SponsoredProgramManual.pdf East Tennessee State University: www.etsu.edu/research/orspa/iGuide/default.aspx
Founded in 1876, Prairie View A&M University (PVAMU) is the second oldest public institution of higher learning in the state of Texas. The research at PVAMU extends beyond our traditional disciplines of engineering and agriculture, into areas including biomedical research, leadership development, and the social and behavioral sciences. A member of the Texas A&M University System, the University is dedicated to fulfilling its land-grant mission of achieving excellence in teaching, research and service.
P. O. Box 519 MS 2800 Wilhelmina Delco Bldg. Suite 120 Prairie View, TX 77446 (936) 261-1682 | Fax (936) 261-3529 www.pvamu.edu/research PVAMUResearch @PVAMUResearch