RSP 004: Definitions

Terms used in this manual are defined as follows:

Activity Distribution Report (ADR)

Effort reporting and certification form required for compliance with federal regulation.

Allowable Costs

Determined by the federal Office of Management and Budget (OMB), the sponsor’s requirements, and/or university policy. OMB Circular A-21 defines allowable costs as those that are:

1. reasonable
2. allocable to the project
3. given consistent treatment by the use of generally accepted accounting procedures

   and

4. conform to any limitation or exclusions set forth by the sponsored agreement or OMB Circular A-21.

Award

Funds provided from an external sponsor for support of a project at ASU. This term is used for both original awards and supplements; it can mean monies or equipment.

Budget

The spending plan for a proposal or award, submitted to and/or approved by the sponsor. Categories include salary, fringe benefits, materials and supplies, travel, student support, equipment, subgrants or subcontracts, publication costs, facilities & administrative (F&A) costs, and other miscellaneous costs.

Classified Information

Documents or materials that have been designated as classified by an authorized government official.

Collaboration

A collaboration exists when key personnel from different institutions have substantive involvement in the development and performance of the scientific aspects of a project and the sponsor chooses to make only one award, thereby requiring the lead institution to issue subcontracts or subgrants to the other collaborating institutions.

Companion Accounts

Advantage uses specific local agency/organizations referred to as companion accounts to account for university funded direct cost project expenditures. The exclusive use of companion accounts for these expenditures permits the university to meet federal accounting requirements regarding sponsored project accounting.

Complainant

The person who submits a written allegation of misconduct to the vice provost for research.

Confidentiality Clause

A specific clause in a contract that provides for protection of confidential proprietary information as allowed by Arizona Revised Statutes § 15–1640.

Continuation/Renewal Proposal

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

Contract

An agreement to acquire, purchase, lease, or barter property or services. For an award to be considered a contract, it normally must contain all of the following elements:

1. detailed financial and legal requirements must be included with a specific statement of work to be performed
2. a specific set of deliverables and/or reports to the sponsor is required
3. separate accounting procedures are required
4. legally binding contract clauses must be included

   and

5. benefits of the project accrue to the sponsor and to the university, then to the nation.

Contractor Purchasing Systems Review (CPSR)

A complete and in-depth review and evaluation by the U.S. government of ASU’s purchasing system. This evaluation, currently performed by the Office of Naval Research (ONR), includes the Purchasing and Business Services system and the system established by the Office for Research and Sponsored Projects Administration (ORSPA) for procurements issued under sponsored projects.

Contributed Effort

Effort expended on a sponsored project that the sponsor does not compensate; a form of cost-sharing.

Cost Share

The portion of project or program costs not borne by the sponsor.  Cost sharing should not be confused with other applications of internal university resources in support of non-project- or non-program-specific activities. Acceptable cost-sharing contributions must meet the following criteria:

1. are not paid by the federal government directly or indirectly under any other award, except where authorized by federal statute to be used for cost sharing or matching
2. are not included as contributions for any other project or program
3. are necessary and reasonable for proper and efficient accomplishment of specific project or program objectives
4. are directly identifiable with the sponsored project as outlined in the proposal budget and/or budget justification, and thus incorporated in the award notice

   and

5. are verifiable by ASU records.

Direct Costs

Those costs that can be identified specifically with a particular sponsored project, an instructional activity, or any other institutional activity, or that can be directly assigned to such activities relatively easily with a high degree of accuracy.

Effort

For the purpose of the Activity Distribution Report (ADR) system, effort is all the work performed for compensation by the university. It does not include work done for supplemental pay. The total effort is always equal to 100 percent even if the employee is part-time or worked only part of the reporting period. If the employee is salaried and works more than 40 hours per week, total effort is still 100 percent.

Equipment

Generally, an article of nonexpendable tangible personal property having a useful life of one year or more and an acquisition cost of $5,000 or more per unit. Equipment is not a replacement part or component returning a piece of equipment to its original condition. If a component increases the capability of the original equipment and has an acquisition cost of $5,000 or more, it is considered a capital item.

Expanded Authorities

Policy implemented by some federal granting agencies that delegates certain prior approval authorities to grantee institutions. This delegation allows for internal university approval of administrative and spending actions, thus avoiding delays in project progress.

F&A Costs

Facilities and administrative costs.

Fabrication

Equipment that is constructed by combining or assembling modular components and/or materials into one identifiable unit. Procurement of the components and/or materials may preclude open competition and will require the cooperation of the principal investigator, Office for Research and Sponsored Projects Administration (ORSPA) personnel, and Purchasing and Business Services.

Facilities & Administrative (F&A) Cost Rates

The rates used to recover the facilities & administrative costs of a sponsored project. Negotiated, approved rates are to be used for all agreements with the federal government and for most nonfederal projects, as allowable. Information on current facilities and administrative cost rates is available from the Office for Research and Sponsored Projects Administration (ORSPA).

Facilities & Administrative (F&A) Costs

Those costs incurred for common or joint objectives that therefore cannot be identified readily and specifically with a particular sponsored project, an instructional activity, or any other institutional activity.

Facilities & administrative costs are real, auditable costs incurred by the university each time it accepts an award for a sponsored project. If the university does not collect full reimbursement for these costs, other university resources must be used to subsidize them.

Facility Security Officer

The position designated by the Arizona Board of Regents responsible for the oversight and handling of classified materials and obtaining, maintaining, and adequately controlling security clearances held by the university. The director of the Office for Research and Sponsored Projects Administration (ORSPA) currently serves in this capacity.

Faculty Positions

All rank of professors; visiting, clinical, and adjunct faculty; lecturers; and faculty associates.

Federal-wide Assurance

A contract with the federal government stipulating responsibilities of institutional officials, Office of Human Research Administration, the Institutional Review Board, and principal investigators for the conduct of research involving human subjects.

Foreign Travel

Foreign travel includes travel outside of the United States and its territories and possessions (Guam, American Samoa, Puerto Rico, the Virgin Islands, and the Canal Zone) and Canada. A trip is considered foreign travel for all legs of the itinerary if the traveler does not return to his or her duty post prior to departure for a foreign destination.

Freedom of Information Act (FOIA)

Enacted in 1966, the Freedom of Information Act (FOIA) is a federal law that established the public’s right to obtain information from federal government agencies. The FOIA is codified at 5 United States Code §552. “Any person” can file a FOIA request, including U.S. citizens, foreign nationals, organizations, associations, and universities. In 1974, after the Watergate scandal, the Act was amended to force greater agency complicance. It was also amended in 1996 to allow for greater access to electronic information.

Full and Open Competition

The solicitation of bids that is used to assure that all responsible bidders are permitted to compete for the procurement.

Fully Burdened F&A Rate

ASU’s proposed federal F&A rate without the 26 percent administrative cap imposed by A-21 and final rate negotiations. In addition, this rate includes actual costs for the president’s office, general counsel, cost overruns, etc.

Gift

A unilateral transfer of money, property, or other assets from a donor to the recipient for the recipient’s ownership and use, without restrictions on the recipient in connection with the gift. Unrestrictive gifts and grants normally have the following characteristics:

1. the Statement of Work allows the principal investigator significant freedom to manage the project and determine how the assets will be utilized
2. the award does not require deliverables or detailed technical reports
3. the award does not require separate accounting procedures or detailed financial reports
4. the award does not include provisions for audit by or on behalf of the sponsor
5. the award does not require regulatory oversight in areas such as animal care, human subjects, biosafety, or financial conflict of interest

   and

6. the award does not utilize background intellectual property nor stipulate the ownership rights for foreground intellectual property.

Grant

An agreement to transfer money, property, services, or anything of value to accomplish a purpose, such as support or assistance in an area of interest to the grantor. For an award to be considered a grant, it normally will contain the following elements:

1. the statement of work allows the principal investigator significant freedom to change emphasis within the general area of work as the project progresses
2. deliverables are minimal, usually consisting of reports only

   and

3. separate accounting procedures are required.

“High-risk” Receivable

Any performance-based contract or award from a private, for-profit company with insufficient advance funding to cover current obligations.

Human Subject

A living individual about whom a researcher obtains:

1. data through intervention or interaction with the individual

   or

2. identifiable private information.

IDC

See “Facilities & Administrative (F&A) Costs.”

Identifiable Information

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

Indirect Cost Rates

See “Facilities & Administrative (F&A) Cost Rates.”

Indirect Costs (IDC)

See “Facilities & Administrative (F&A) Costs.”

Informed Consent

The voluntary agreement obtained from a subject (or the subject’s legally authorized representative) to participate in research or related activity, before participating in that activity. The consent must permit the individual (or legally authorized representative) to exercise free power of choice without undue inducement or any element of deceit, fraud, force, duress, or other form of coercion or constraint.

Inquiry

Information-gathering and fact-finding to determine whether an allegation or apparent instance of misconduct warrants investigation.

Institutional Review Board (IRB)

A board or committee organized at the university to provide review at the institutional level for ethical concerns in research, such as laboratory animal care and the use of human subjects in research.

Interaction

Communication or interpersonal contact between researcher and subject.

Intergovernmental Agreement (IGA)

An agreement whereby two or more public agencies may contract with each other provided that such contracts are authorized by the governing bodies of each agency and that the contracts are executed in accordance with Arizona law (Arizona Revised Statutes § 11–951).

Internal Control

A process, effected by an entity’s management and other personnel, designed to provide reasonable assurance regarding the achievement of objectives in

1. effectiveness and efficiency of operations
2. reliability of financial reporting

   and

3. compliance with applicable laws and regulations.

International Agreement

Any agreement with a foreign country or an agency of a foreign country (including companies, organizations, or governments), or any agreement in which the university will be acting in a foreign country.

Intervention

Both physical procedures by which data are gathered and manipulations of the subject or the subject’s environment for research purposes.

Investigation

The formal examination and evaluation of all relevant facts to determine whether misconduct has occurred.

Investigator

The principal investigator and any other person (“investigator”) who is responsible for the design, conduct, or reporting of research funded in whole or in part by either a public funding entity or a private, for-profit funding entity or that is proposed for funding, in whole or in part, by either.

Investigator Incentive Awards (IIA)

The OVPREA provides funds to principal investigators who gain external support for their research, service, and training activities. The purpose is to cover certain expenses associated with these activities and to develop additional programming (see RSP 605–03).

Invitation to Bid/Request for Proposal (RFP)

Written documents soliciting pricing and/or technical proposals to supply goods or services as specified in the requesting document. Use of RFPs constitutes full and open competition.

Lead Unit

The academic unit to which the tenured or tenure-eligible principal investigator (PI) is assigned. This unit is designated on the faculty or academic professional’s Notice of Appointment or Joint Appointment. In the case of a Joint Appointment, an academic school, department or program appointment supersedes a center or institute appointment as lead unit.

Legal-Age Subjects

Persons over 18 years, except where research involves the legal age for consumption of alcohol (21 years).

Matching Funds

Term often used interchangeably with “Cost Share.”

Minimal Risk

The probability and magnitude of physical, psychological, or social harm that is normally encountered in daily life or in routine medical or psychological examination. In any assessment of degree of risk, the age of the subject must be considered.

Misconduct

Fabrication, falsification, plagiarism, and other practices that seriously deviate from those that are commonly accepted within the academic community for proposing, conducting, or reporting research. Instances of honest error and honest differences in interpretations or judgments of data are not considered misconduct.

Modification

Any change made to an existing sponsored agreement.

Modified Total Direct Costs

The portion of direct costs on which the facilities & administrative (F&A) costs are based, namely: salaries and wages, fringe benefits, materials and supplies, services, travel, and up to $25,000 on each subgrant and subcontract.

Nondisclosure Agreement

Any agreement signed by both parties that agrees to protect proprietary or confidential information of one party or both for a specific period of time.

Pass-through Entity

A nonfederal entity that provides a federal award to a subrecipient to carry out a federal program.

Principal Investigator (PI)

Typically, a faculty member who submitted a proposal that was accepted and funded by an external sponsor. The principal investigator has primary responsibility for technical compliance, completion of programmatic work, and fiscal stewardship of sponsor funds. See RSP 102 for further information on principal investigator eligibility requirements and RSP 103 for detailed principal investigator responsibilities.

Private, For-Profit Funding Agency

Any private partnership, un-incorporated business, sub-chapter S corporation, or corporation to which an application for funding has been made or with which a contract for funding is being negotiated.

Private Information

Information that an individual has provided for specific purposes and that the individual can reasonably expect will not be made public, or information about behavior that occurs in a context in which an individual can reasonably expect that no observation or recording is taking place.

Program Income

Program income is gross income earned by the recipient that is directly generated by a supported activity or earned as a result of the award.

Program income includes, but is not limited to, income from fees for services performed, the use or rental of real or personal property acquired under federally funded projects, the sale of commodities or items fabricated under an award, license fees and royalties on patents and copyrights, and interest on loans made with award funds.

For federal awards, program income is to be identified by the recipient and handled in one of three ways:

1. additive method: added to available funds and used for program objectives
2. cost share method: used to finance the cost-shared portion of the project

   and

3. deductive method: deducted from the allowable federal costs of the program.

Except for research awards, the deductive method applies unless the awarding agency specifies to the contrary in its regulations or in the award. The additive method applies to research awards by default unless the awarding agency specifies another alternative.

Interest earned on advances of federal funds is not program income. Except as otherwise provided in federal awarding agency regulations or the terms and conditions of the award, program income does not include the receipt of principal on loans, rebates, credits, discounts, etc., or interest earned on any of them.

For more details on program income, please refer to the United States Office of Management and Budget (OMB), OMB circular A-110.

For nonfederal awards, stipulations around program income should be addressed in the sponsor’s terms and conditions or by contacting the sponsor through your sponsored projects officer.

Project Director

See Principal Investigator (PI)

Proposal

Any written presentation/application to a potential source of external funds, referred to as a sponsor, for a research or other sponsored project that provides pricing or cost estimates is considered a proposal. All proposals submitted by a university employee to an outside entity that may directly lead to a sponsored project award require initial review and coordination through the Office for Research and Sponsored Projects (ORSPA) prior to submission to a potential sponsor, utilizing a Proposal Routing and Approval Form. Proposals are generally grouped as formal or informal proposals:

Formal proposals prepared and submitted to a sponsor outline the scope of activities to be undertaken in response to sponsors’ Request for Proposal (RFP) or other requests from a potential sponsor (e.g., RFQ). Informal discussion may also result in the submission of a written formal proposal to be evaluated by the sponsor before a commitment is made to provide funds to support the program or project envisioned. All formal proposals require an institutional endorsement by an official authorized to commit university resources.

Informal proposals (also referred to as pre-proposals, letter proposals, miniproposals, preliminary proposals, pre-applications, concept papers, or white papers) are frequently requested by agencies in order to triage potential applicants. A Proposal Routing and Approval Form is also required for these preliminary submissions. Pre-proposals may take many forms, but typically the agencies request a brief summary (generally 2–5 pages) of the project, personnel, and cost estimate. These informal proposals do not involve a commitment of university resources or a signature on behalf of the university because they are not expected to result directly in an award. The purpose of these informal proposals is usually to inform and interest the potential sponsor reviewing these summaries so that they invite the applicant to submit a more detailed formal proposal application.

Proposal Revision

Any substantive change made by the principal investigator to the proposal after submission to a potential sponsor and before an award has been received.

Proprietary Information

Any agreement signed by both parties that agrees to protect proprietary or confidential information of one party or both for a specific period of time.

Public Agencies

The federal government, any federal department or agency; all agencies, departments, boards, and commissions of the state of Arizona; counties; school districts; cities; towns; municipal corporations; and any other political subdivisions, including Indian tribal councils, of the state of Arizona or any other state.

Public Funding Entity

Any public agency to which an application for funding has been made, or from which a grant has been received.

Recognition

The institutional measurement that provides credit to investigators for their sponsored projects activities.

Regular Employee

An employee who is employed to work for a period of six or more months at a minimum of 50 percent FTE.

Research

Interpreted in RSP 210, “Misconduct in Research,” to include scholarship and creative work, as well as scientific research.

Research and Related Activities

All formal investigative efforts (whether funded or unfunded) by faculty, students, and staff that are designed to develop or contribute to generalized knowledge, including analyses of secondary data.

Research Incentive Distribution (RID)

A percentage of the Facilities & Administrative costs recovered from sponsors by ASU that is returned to the responsible college as research incentive funds.

Respondent

The researcher accused of misconduct.

Significant Financial Interest

Anything of monetary value, including but not limited to, salary or other payments for services (e.g., consulting fees or honoraria); equity interests (e.g., stocks, stock options, or other ownership interests); and intellectual property rights (e.g., patents, copyrights, and corresponding royalties). The term does not include:

1. salary, royalties, or other remuneration from ASU
2. income from seminars, lectures, or teaching engagements sponsored by public or nonprofit entities
3. an equity interest that when aggregated for the investigator and the investigator’s spouse and dependent children meets both of the following tests: does not exceed $10,000 in value as determined through reference to public prices or other reasonable measures of fair market value, and does not represent more than a three percent ownership interest in any single entity

   or

4. salary, royalties, or other payments (excluding dividends) that, when aggregated for the investigator and the investigator’s spouse and dependent children over the next 12 months, are not expected to exceed $10,000.

Single Source Acquisition

Issuing an award to a subcontractor without full and open competition. This may be done if an award is the result of a collaboration (where the ideas, concepts, and methodology were developed by the two parties jointly) or in those cases where performance of the prime contract would be jeopardized or delayed by going through the competitive process. There are restrictions on the use of this means of procurement under federally sponsored awards, and documentation must show justification for using single source acquisition.

Sole Source Acquisition

A procurement that does not provide full and open competition, but is effected because only one source is available.

Solicited Proposal

An application submitted by interested, eligible faculty or staff in response to a specific program announcement or call for proposals issued from a sponsor.

Sponsor

An external funding source that enters into an agreement with the university to support research, instruction, public service, or other sponsored activities. Sponsors include private businesses, corporations, foundations and other not-for-profit organizations, other universities, and federal, state, and local governments.

Sponsored Project

An “exchange transaction” between an external sponsor and the recipient under a grant, contract, cooperative agreement, purchase order, or any other mutually binding agreement that restricts the use of funds or property and stipulates conditions with which the university must comply. A sponsored project meets at least one of the following criteria:

1. the proposal responds to a formal RFA, RFP, or other formal solicitation and the project is initiated by a notice of award
2. the Statement of Work specifies programmatic objectives that are to be accomplished within a delimited period of time and budget
3. the award requires deliverables or detailed technical reports
4. the award requires separate accounting procedures and detailed financial reports
5. the award includes provisions for audit by or on behalf of the sponsor
6. the award involves the disposition of property, whether tangible or intangible, that may result from the project (e.g., equipment, records, inventions, copyrights, or rights in data)

   and

7. the award requires regulatory oversight in areas such as animal care, human subjects, biosafety, or financial conflict of interest.

Staff Positions

This includes:

1. classified staff (positions in the Arizona Personnel System for which generic job description and corresponding pay grade ranges are established)

   and

2. administrative staff (positions with appointment not to exceed one year that have direct roles in planning, organizing, directing, evaluating, and controlling a major university function).

Subcontract

A contract issued under a prime contract, agreement, purchase order, or grant for the procurement of services or program-related tasks over $25,000. Purchase orders for the procurement of goods and supplies do not qualify as “subcontracts” under RSP 503–05, “Subcontracts/Subaward Agreements” and fall under the purview of Purchasing and Business Services. Issuance of subcontracts under federal prime awards is subject to compliance with federal law and all subcontracts are subject to the terms and conditions of the prime award and the normal purchasing requirements of the state of Arizona.

Subrecipient

Nonfederal entity that expends federal awards received from a pass-through entity to carry out a federal program.

Subrecipient Agreement

This type of contract may be in a different format than a subcontract, e.g., subgrant or sub-services agreement. Procedures for these agreements are the same as for subcontracts.

Supplemental Pay

Compensation for work performed for a different department or different duties beyond normal work assignment.

Supplemental Proposal

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

Technology and Research Initiative Fund (TRIF)

Proposition 301, passed by the voters of Arizona in November, 2000, authorizes a 0.6 percent sales tax increase to support education. Approximately 20 percent of the funding will be spent on research related to the New Economy in Arizona’s three universities. Proposition 301 research funds are formally referred to as the Technology and Research Initiative Fund (TRIF) and are administered by the Arizona Board of Regents (ABOR).

University Prior Approval System (UPAS)

A system in place to allow university approval of administrative budgeting and spending actions as delegated by certain federal sponsors; a UPAS form documents the facts pertinent to a request for changes, including the institutional prior approvals.

Unsolicited Proposal

A request for support submitted to a sponsor or donor without formal solicitation from the funding entity.

Vice President for Research and Economic Affairs

The vice president for research and economic affairs and his or her designee.

Workplace

All property owned, used, leased, or controlled by ASU where university work is performed.

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