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Abstract: A brief description of a project consisting of a
concise summary of project goals, methodology, may also include staffing, and
total cost of the project.
Academic Fraud: A deliberate effort to deceive, including
plagiarism, fabrication of data, misrepresentation of historical sources,
tampering with evidence, selective suppression of unwanted or unacceptable
results, and theft of ideas.
Allowable Costs: OMB Circular A-21 defines allowable costs
as those that are:
- Reasonable
- Allowable and allocable to the project
- Given consistent treatment by use of generally accepted accounting
principles.
- Conform to any limitations or exclusions set forth by the sponsored
agreement or OMB Circular A-21.
Amendment: Any change to a contractual agreement needing
official signature.
Applicant: Usually refers to the institution submitting the
proposal. In most cases it does not refer to the individual researcher who
wrote the proposal or who will serve as Principal Investigator.
Application: A request for financial support of a project
or activity usually submitted in a specified format and in accordance with a
sponsor's guidelines and instructions.
Approved Budget: The financial expenditure plan, including
revisions, that has been approved by the sponsor and supports the award's
activities for a stated period of time.
Audit: A formal examination of an organization's accounts.
An audit may also include examination of compliance with applicable terms,
laws, and regulations.
Authorized Signature: The signature of a College official
who is designated to give assurances, make commitments, and execute such
documents on behalf of Dartmouth College as may be required by federal and
state agencies and other organizations which provide financial assistance to
the College; the signature of an authorized official certifies that commitments
made on sponsored research proposals or sub-award agreements can be honored;
and ensures that all sponsored research agreements conform to federal
regulations, agency guidelines, and College policies.
Award: Funds provided from an external sponsor for support
of a project at Dartmouth College or the Dartmouth-Hitchcock Medical Center.
This term is used for both original award and supplements; it can mean moneys
or equipment.
Budget: An estimate of expenditures to be incurred in the
performance of an award or statement of work.
Budget Category: A portion of the budget designated for
certain kinds of expenditures, e.g. salaries, materials and supplies, travel,
equipment.
Budget Justification: The section of a proposal that
explains why the funds listed in the budget pages are being
requested.
Budget Period: The interval of time, usually 12 months, into which the
project period is divided for budgetary and funding purposes.
Conflict of Interest: A certification assuring the Federal
agency that the institution has established administrative policies for
promoting objectivity in research.
Challenge Grant: A sponsored research award that provides
money in response to money from other sources, usually according to a formula.
A challenge grant may, for example, offer two dollars for every one that is
obtained from a fund drive. The grant usually has a fixed upper limit, and may
have a challenge minimum below which no grant will be made. This form of grant
is fairly common in the arts, humanities, and some other fields, but is less
common in the sciences. A challenge grant differs from a matching grant in at
least one important respect: the amount of money that the recipient
organization realizes from a challenge grant may vary widely, depending upon
how successful that organization is in meeting the challenge. Matching grants
usually award a clearly defined amount and require that a specified sum be
obtained before any award is made.
Classified Research: Research sponsored by a federal
government entity, or often the defense industry, that involves restrictions
imposed by agreement or otherwise on the distribution or publication of the
research findings, results following completion for a specified period or for
indefinite duration, or access to facilities and information necessary to
complete the work of the project.
Clinical Trial: a contract to test drugs, devises, or other
controlled substances for FDA approval or for-profit corporations. This
contract usually involves the use of human or animal subjects.
Competing Continuation (Renewal): A request for continued
financial support from a sponsor to continue the work of a previously funded
project. Competing continuations compete with new applications for a sponsor's
funds. SEE ALSO: Noncompeting Continuation
Consortium: A consortium is two or more institutions
working in collaboration on the same research award, either funded directly by
the supporting agency or one prime institution sub-awarding out the funds to
other members of the consortium.
Consultant: An independent contractor who specifically
provides professional advice. They usually have a separate skill or expertise
not available within the College, and the need for their services commonly does
not extent beyond a limited period of time in which to complete a specifically
defined project.
Contract: For purposes of this manual, a contract is an
agreement to acquire services that primarily benefit the sponsor. For an award
to be considered a contract, it normally must contain all of the following
elements:
- Detailed financial and legal requirements must be included with a specific
statement of work to be performed.
- A specific set of deliverables and/or reports to the sponsor is
required.
- Separate accounting procedures are required.
- Legally binding contract clauses must be included.
- Benefits of the project accrue first to the sponsor, then to the
university, then to the nation.
Contributed Effort: Effort expended on a sponsored research
award that the sponsor does not compensate for; a form of cost-sharing.
Cooperative Agreement: A funding mechanism which can be
used by federal agencies when a program requires more agency involvement and
restrictions than a grant but requires less agency supervision than a
contract.
CO-Principal Investigator (CO-PI): One
investigator sharing equal responsibility for the direction of a sponsored
research award. Some sponsors prefer the term 'Collaborating Investigator' or
'Investigator'. Federal sponsors officially recognize only one individual (per
institution) as a principal investigator or project director.
Copyright: A narrow form of intellectual property
protection. It protects only the fixed expression of an idea, not the idea
itself. The Dartmouth College Copyright Policy governs copyright ownership of
the works created by Dartmouth faculty and other employees.
Cost Share: College and non sponsor resources provided in
support of sponsored research awards; includes contributed effort and matching
funds.
Cost Transfer: Transactions that move non-payroll funds
from one account to another.
Deliverable: A generalized term for a product that is
created in fulfilling the terms of a sponsored research award.
Direct Costs: Clearly identifiable costs related to a
specific award. General categories of direct costs include but are not limited
to salaries and wages, fringe benefits, supplies, contractual services, travel
and communication, equipment, and occasionally computer use.
Discretionary Funds: Money that has not been earmarked for
specific items and can be allotted at the discretion of an administrator.
Donated Property: Property provided by an outside party for
specific activities related to sponsored research awards and/or research
activities of the university; title to the property passes to the College at
essentially no cost.
Donation: Transfer of equipment, money, goods, services,
and property with or without specifications as to its use. Sometimes donation
is used to designate contributions that are made with more specific intent than
is usually the case with a gift, but the two terms are often used
interchangeably.
Effort: The amount of time, usually expressed as a
percentage of the total, that a faculty member or other employee spends on a
project. Effort is certified and documented through the Activity Distribution
Report (ADR) system.
Employee Related Expenses: Total project costs related to
the employment of project staff. This includes salaries and wages, benefits,
and other costs associated with the employment of staff.
Encumbrances: A specific amount of funds that has been set
aside in an account for the receipt of an order or the payment of an invoice.
Encumbrances reduce the available balance of an account.
Endowment: A fund usually in the form of an
income-generating investment, established to provide long-term support for
faculty/research positions.
Equipment: Generally, an article of non expendable tangible
personal property having a useful life of more than two years and an
acquisition cost of $2,500 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 $2,500 or more, it is considered a capital equipment
item.
Expanded Authority: Ability of the Office of Sponsored
Projects to approve certain changes to a federally sponsored research award
without going through the prior approval process. Expanded authorities are
approved only for specific changes to awards funded by designated Federal
agencies. SEE ALSO: Prior Approval
Expiration Date: The date signifying the end of the
performance period, as indicated on the Notice of Award. May also be the date
after such an agency's forms should not be used.
Extension: An additional period of time that may be given
by the sponsor to an organization for the completion of work on an approved
sponsored research award. A no cost extension allows previously allocated funds
to be spent after the original expiration date and usually triggers a new
Notice of Award from the sponsor.
Extra Mural Support: Funding for research, training or
public service programs provided by federal or private sources outside the
College.
Facilities and Administration Costs (Indirects): F&A
costs are those 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 broad categories of costs. "Facilities" is defined as
depreciation and use allowances, interest on debt associated with certain
buildings, equipment and capital improvements, operation and maintenance
expenses, and library expenses. "Administration" is defined as general
administration and general expenses, departmental administration, sponsored
projects administration, student administration and services, and all other
types of expenditures not listed specifically under one of the subcategories of
Facilities (including cross allocations from other pools).
Facilities and Administration Cost Rates: The rates used to
recover the Facilities and Administration Costs of a sponsored research award.
Negotiated, approved rates are to be used for all agreements with the federal
government and for most non-federal projects, as allowable. Information on
current Facilities and Administration Cost rates is available from the Office
of Sponsored Projects.
Federal Demonstration Partnership-Phase IV: Many changes
that occur in the conduct of sponsored research awards require prior approval.
That is, before the change can take place the Principal Investigator must
obtain approval for the change from the sponsor and/or the OSP. Some Federal
and nonfederal sponsoring agencies have delegated approval rights to the
College, under what is frequently termed "expanded authority." The level at
which approval may be granted depends upon the type of award and the sponsor's
specific policies governing the award. If a sponsor has not granted expanded
authority to Dartmouth College, making changes to a project requires written
approval by the sponsor before the change may take place.
Financial Status Report (FSR): Required reporting of
expenditures on sponsored research awards during a specific period of time.
Fiscal Year: Any twelve-month period for which annual
records are kept . The fiscal year as defined by Dartmouth College is July 1
through June 30. The Federal fiscal year is October 1 through September 30.
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.
Formal Proposal: Any proposal submitted by a college
employee to an outside entity that may directly lead to an award. The majority
of formal proposals require an institutional endorsement by an official
authorized to commit college resources.
Foundation: A private organization that makes awards to
individuals or organizations for a broad range of projects.
Fringe Benefits: Those costs associated with employing
staff that are not part of salary. Fringe benefits include such costs as health
insurance, retirement benefits, vacation, and federal withholdings.
Full and Open Competition: The solicitation of bids from
prospective suppliers which is used to assure that all responsible bidders are
permitted to compete for the procurement.
Funding Cycle/Project Period: Range of time during which
proposals are accepted, reviewed, and funds are awarded. If a sponsor has
standing proposal review committees (or boards) that meet at specified times
during the year, application deadlines are set to correspond with those
meetings.
Gift: A unilateral transfer of money, property, or other
assets to the recipient for the recipient's ownership and use by a donor who
makes no claims on the recipient in connection with the gift. Gifts normally
have the following characteristics:
- The statement of work allows the project director significant freedom to
change emphases within the general area of work as the project progresses.
- No deliverables involved.
- Separate accounting procedures are not required.
- Benefits of the project are to accrue to the nation and the world.
- Sponsor has no audit rights.
Governmental Donated Property: Property donated or
transferred to the institution by a municipality, county, state agency, or the
federal government.
Government-Furnished Equipment (GFE): Equipment provided to
the university by the federal government or government contractor; title may or
may not remain with the government.
Grant: A financial assistance mechanism whereby money , or
equipment, is provided to carry out an approved set of activities.
Grantee: A grantee is the recipient of a sponsored research
award. When the College accepts a sponsored research award, on behalf of an
individual, it becomes the grantee.
Human Subject: A Human Subject is a living individual about
whom an investigator (whether professional or student) conducting research
obtains:
- Data through intervention or interaction with the individual.
- Identifiable private information.
Independent Contractor: Someone who specifically provides
professional advice, and are not considered employees of the College. They
usually have a separate skill or expertise not available within the College.
The need for their services does not commonly extend beyond a limited period of
time in which to complete a specifically defined project.
Indirect Costs: (See Facilities and Administration
Costs)
Informed Consent: The voluntary agreement obtained from a
subject (or the subject's legally authorized representative) to participate in
research or related activity, before participating in that activity. The
consent must permit the individual (or legally authorized representative) to
exercise free power of choice without undue inducement or any element or
deceit, fraud, force, duress, or other form of coercion or constraint.
In-Kind Contribution: A noncash commitment (such as
facilities use, or supplies) to share the costs of a sponsored research
award.
Institutional Animal Care and Use Committee (IACUC):
Committee that oversees the use of animals on sponsored research awards.
Institutional Authorized Officials: Individuals authorized
by the Dartmouth College Board of Trustees to sign various documents such as a
sponsored research award.
Institutional Review Board (IRB): A board or committee
organized at the College 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.
Letter of Intent: A letter of intent advises a funding
agency that an application will be submitted in response to their solicitation.
The letter may contain general program information, unofficial cost estimates,
and a request for specific application guidelines, instructions and forms.
Matching Funds: A cash commitment to share the costs of a
sponsored research award. Funds raised under a matching funds agreement are
usually matched 'dollar for dollar' by the sponsor.
Material Transfer Agreement: Outlines who will retain final
ownership of specific equipment purchased from sponsored research funds. Most
frequently it refers to the transfer of ownership from a sponsor to Dartmouth
College, or from Dartmouth College to a principal investigator or another
institution.
Misconduct in Science: Misconduct in science means
fabrication, falsification, plagiarism, or other practices that seriously
deviate from those that are commonly accepted within the scientific community
for proposing, conducting, or reporting research. It does not include honest
error or honest differences in interpretation or judgments of data.
Mission: A sponsor's stated purpose, which is designed to
address a specified set of problems. Almost all federal research agencies are
designated as mission agencies.
Modification: Any change made to an existing sponsored
research agreement.
Modified Total Direct Costs (MTDC): Modified total direct
costs shall exclude equipment, capital expenditures, charges for patient care,
tuition remission, rental costs of off-site facilities, scholarships, and
fellowships as well as the portion of each subgrant and subaward in excess of
$25,000.
No-Cost Extension (NCE): Provides for an additional period
of performance to accomplish project goals. May be handled internally in
certain circumstances or sought externally from the sponsor.
Noncompeting Continuation (Renewal): A request for
financial support to a sponsor to continue the ongoing work of a previously
approved project . Noncompeting continuations are not subject to competing
review by the sponsor. Noncompeting continuations are, however, reviewed by the
sponsor to assure that progress is being made on the project. SEE ALSO:
Competing Continuation
Notice of Grant Award: A legally binding document that
serves as a notification to the recipient and others that sponsored funds have
been awarded to a grantee to support a specific project or activity.
OMB Circular A-21: Cost Principles for Educational
Institutions, published by the federal Office of Management and Budget (OMB),
this circular establishes the principles for determining the costs applicable
to sponsored research awards with educational institutions (also known as the
Office of Sponsored Projects).
Patent: An agreement awarded by the government, granting
the inventor the right, for a limited period, to exclude others from making,
using, or selling the described invention.
Principal Investigator (PI): Typically, a faculty member or
administrator who submitted a proposal that was accepted and funded by an
external sponsor, also referred to as the project director. The Principal
Investigator has primary responsibility for technical compliance, completion of
programmatic work, and responsible spending of a sponsor funds.
Prior Approval: The process by which approval for specific
changes to a sponsored research awards are granted from the sponsor and/or the
Office of Sponsored Projects. SEE ALSO: Expanded Authority
Program Officer: A sponsor's designated individual
officially responsible for the technical, scientific, or programmatic aspects
of a particular sponsored research award. Serving as counterpart to the
Principal Investigator, the program officer deals with the grantee organization
staff to assure programmatic progress.
Project Director: See Principal Investigator.
Project Period: The total time for which support of a
project has been programmatically approved. The total project period is
comprised of the initial competitive segment, any subsequent competitive
segment(s) resulting from a competing continuation award(s), and noncompeting
extensions.
Proposal: The term used to describe the complete sponsored
research award package, including required forms and budget.
Proprietary Research: Research sponsored by non
governmental entity or individual that involves restrictions on the
distribution or publication of the research findings or results following
completion, for a specified period or for indefinite duration.
Rebudgeting: Process by which funds available for spending
are reallocated between budget categories to allow best use of funds to
accomplish project goals.
Research: A systematic investigation, including research
development, testing, and evaluation, designed to develop or contribute to
generalized knowledge.
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 generalize knowledge, including analyses
of secondary data.
Site Visit: An agency-initiated review of a proposed or
funded award conducted at the applicant's institution.
Special Purpose Equipment: Equipment which can be used only
for research, scientific, or other technical activities.
Sponsor: An external funding source which enters into an
agreement with the College to support research, instruction, public service or
other sponsored activities. Sponsors include private businesses, corporations,
foundations and other not-for-profit organizations, other colleges and
universities, and federal, state and local governments.
Sponsored Research: Research, training, or instructional
projects involving funds, materials, other forms of compensation, or exchanges
of in-kind efforts from sources external to an institution and funded through
awards or agreements.
Sub-Award: An agreement issued under a prime award for the
procurement of purchased program-related tasks. Issuances of sub-awards under
federal prime awards are subject to compliance with federal law and all
sub-awards are subject to the terms and conditions of the prime award and the
normal purchasing requirements of Dartmouth College.
Supplemental Proposal: The request for additional funding
from the project's sponsor to continue activities of an ongoing project.
Terms of Award: All legal requirements imposed on an award
by the sponsor, whether by statue, regulation(s), or terms in the award
document. The terms of award include both standard and special stated
provisions that must be met in carrying out the goals and objects of the
grant.
Total Cost: Dollar amount it will take to complete a
proposed project . It includes sum of the direct and Facilities and
Administration Costs of a project.
Total Direct Costs: The total allowable direct costs
incurred by the institution to carry out an approved project or activity.
Unrestricted Funds: Funds having no requirements or
restrictions as to use or disposition. Funds awarded under sponsored research
awards are considered to be restricted funds.
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