Glossary

A-110 

The OMB Circular establishing uniform administrative requirements for grants and other agreements with institutions of higher education, hospitals, and other nonprofit organizations. 

A-133 

The OMB Circular establishing audit requirements for institutions of higher education and other nonprofit organizations. 

A-21

The OMB Circular establishing the principles for determining costs applicable to grants, contracts, and other agreements with educational institutions. Although a cost may be deemed "allowable" under this circular, it may not be appropriate as direct charge to a contract and grant. Very important document to Cost Accounting and for the F&A rate proposal.

Academic Year Time (AYT)

For faculty salaries during the academic year, generally paid from Unrestricted General Operating, or other unrestricted funds.  An AYT form for School of Engineering can be found here. 

Advanced Spending

Spending that takes place prior to the final execution of a sponsored project grant, cooperative agreement or contract. Can take the form of Pre-award Spending or Advance Spending funds. The process to request either path is managed through Cayuse using a 'Pre-Award/Early Setup request. In order to process the submission, the parent proposal against which the request is being filed must be either in 'Signed by OSR' or 'Submitted to Sponsor' status.

Allocable cost

A cost that is allocable to a particular cost objective (i.e., a specific function, grant project, service, department, or other activity) in accordance with the relative benefits received. A cost is allocable to a Federal award where it is treated consistently with other costs incurred for the same purpose in like circumstances and (1) is incurred specifically for the award, (2) benefits both the award and other work and can be distributed in reasonable proportion to the benefits received, or (3) is necessary for the overall operation of the organization.

Allowable cost

A cost incurred by a recipient that is:

(1) reasonable for the performance of the award; (2) allocable; (3) in conformance with any limitations or exclusions set forth in the Federal cost principles applicable to the organization incurring the cost or in the NoA as to the type or amount of cost; (4) consistent with regulations, policies, and procedures of the recipient that are applied uniformly to both federally supported and other activities of the organization; (5) accorded consistent treatment as a direct or indirect cost; (6) determined in accordance with generally accepted accounting principles; and (7) not included as a cost in any other federally supported award (unless specifically authorized by statute).

Anticipated Budget

The total budget amount indicated in the Notice of Award is considered to be the 'anticipated budget'. The anticipated budget is a representation of the total anticipated budget that will ultimately be obligated for use.

Application

A request for financial support of a project, program, or activity submitted on specified forms and in accordance with awarding office instructions.

Audit

An examination of an agency's accounting or other documents by an outside expert. Upon review, the expert prepares an opinion or report of his/her findings. 

Award

 The document that provides funds to a recipient to carry out an approved program or project (based on an approved application or progress report). It is received from a sponsor and it transmits the terms and conditions associated with a project or activity and authorizing the transfer of funds

The term, when used as a noun, is sometimes used interchangeably with “grant.”

Award Negotiation

OSP negotiates the final terms and conditions of non-industry awards. 

Award Set Up form

OSP emails the new award notice to the PI, award org administrators, and RCA.  The Award Setup form is required to be completed for RCA to set up the new award in iO. The Award Set Up form can be found here and instructional details here.  

Balance Transfer

A balance transfer can be used for transfers funds between fund types or between departments.  The balance transfer instructions can be found here. 

Banner

The software system formerly used by Rice for its accounting system. Banner transitioned to iO in July 2021.

Broad Agency Announcement (BAA)

Funder's written announcement to solicit proposals tied to program-specific areas of research and development,

Budget Periods

The intervals of time (usually 12 months each) into which a period of performance is divided for budgetary and funding purposes. Funding of individual budget periods sometimes is referred to as “incremental funding.”

Budget Templates

Here are FY25 budget templates: Generic Calc Budget, Cayuse424 Calculating Budget, and Industy Budget. 

Cage Code

The Commercial and Government Entity code is a five-digit code that identifies companies and other entities doing, or wishing to do, business with the Federal Government. Rice's Cage Code is OK379.

Carryover / Carry Forward

Unobligated Federal funds remaining at the end of a budget period that may be carried forward to another budget period within the period of performance to cover allowable costs of that budget period (whether as an offset or additional authorization). Obligated but unliquidated funds are not considered carryover.

Cayuse

Cayuse is a cloud-based management solution for sponsored projects. The web interface gives the user access to your entire research portfolio from proposals to awards simplifying collaboration and project management.

• new user access

• help desk

• resources 

Cayuse SP

Sponsored project lifecycle management from proposal creation to award close-out.

Cayuse 424

Web-based system with a direct portal to Grants.gov that provides grant proposal submission.

Cayuse IRB

Electronic System for IRB Protocol submissions.

Catalog of Federal Domestic Assistance (CFDA) 

Catalog of Federal Domestic Assistance. The CFDA provides a short summary of each grant program, as well as contact information for Federal agencies that award grants.

Chart of Accounts (CoA)

The Chart of Accounts (CoA) is a bookkeeping record of all financial transactions.  Rice's CoA consists of a string of 10 segments. The latest CoA reference file updated June 20, 2024 can be found here.  CoA Fund Type segment file is here and frequently used Fund Types and Fund Sources is here (helpful for balance transfers to fund projects).

Closeout

Procedures to officially conclude a grant, usually within 90 days after the end of an award. Normal closeout activities include a final financial report, final progress report, final invention statement, and equipment report.  General RCA Closeout Information can be found here. 

Code of Federal Regulations (CFR)

The Code of Federal Regulations is the codification of the general and permanent rules published in the Federal Register by the executive departments and agencies of the Federal Government. It is divided into 50 titles that represent broad areas subject to Federal regulation. 

Cognizant Agency

The Federal agency which, on behalf of all Federal agencies, is responsible for implementing the requirements of the Single Audit Act. Rice's cognizant agency is the Department of Health and Human Services (DHHS).

Compliance Activities

Activities related to the following matters: use of human subjects in research, the care and use of laboratory animals, conflicts of interest, and use of biohazard materials. 

Contract Execution

Once the negotiations are finalized the award will be given to the Grant Specialist assigned to the responsible org. An award number will be generated by RCA and notification sent to the PI, Department Administrator, and Grant Specialist. If this is a collaborative award which includes other institutions, industry partners or consultants/sub-award contracts and/or consulting agreements will be executed between the Contract Specialist and third-party entity. The Contract Specialist will send the PI an email requesting confirmation of the details in a Sub-out scenario.

Conflict of Interest 

Situations in which the integrity of research may be compromised by researchers for personal gain for either themselves and/or their immediate family members. Conflicts of interest include situations which cause actual conflicts, present the potential for conflicts, or which cause the appearance of conflicts. Where any doubt exists relating to a potential for a conflict of interest to exist, contact conflicts@rice.edu to meet with the office of Research Integrity for guidance on process and obligations.

Consortium Agreement

Collaborative arrangement in support of a research project in which part of an activity is carried out through a formal agreement between a grantee and one or more other organizations.

Continuation

Noncompetitive extension of a grant in the form of an additional budget period and/or additional funding. Put another way, continuation amendments will obligate additional budget and/or extend the corresponding period of performance relative to which the budget may be spent.  Each continuation amendment is additive to all prior increments to form a cumulative 'obligated' budget total. 

Controlled Items

Certain item types are subject to export restrictions (for a general outline of such items see the Commerce Control List & the United States Munitions List). The products relating to these items (i.e. software, data, and information relating to the production or use of these items may also be subject to export controls. Contact the Office of Research Integrity regarding any questions on controlled items.

Controlled Unclassified Information (CUI) and NIST SP 800-171

In federal grants, contracts, and subcontracts that involve sensitive data, including personally identifiable information, the Department of Defense (DOD) and certain other agencies now require institutional certifications that the institution’s electronic systems comply with National Institute of Standards and Technology (NIST) SP 800-171 (“NIST 800”) for the protection of electronic systems storing CUI. See https://research.rice.edu/compliance/cui for further information.

Competitive Continuation (AKA Renewal Award)

Award for continued/follow-up support to a project done through a competitive process, usually retaining the same award number when successfully awarded. See also Renewal Award. 

Contract

An award instrument normally signed by both parties to the agreement which contains definitive terms and conditions to be met in the conduct of a project.

Cooperative Agreement

A financial assistance support mechanism used when there will be substantial Federal programmatic involvement. Substantial involvement means that the awarding office program staff will collaborate or participate in project or program activities as specified in the Notice of Award.

Cost Analysis

The breakdown and verification of cost data proposed in an application budget, including evaluating specific elements of costs and examining them to determine the necessity, reasonableness, and allocability of the costs and their allowability pursuant to the applicable Federal cost principles and other governing requirements.

Cost Transfer

A cost transfer is a corrective action taken to reallocate charges between sponsored projects or between a sponsored project and a non-sponsored project. 

Cost Principles

These principles as set out in applicable statutes, regulations, grantor instructions, Office of Management and Budget (OMB) Circulars, and generally accepted accounting principles used for determining allowability, reasonableness, allocability, and consistency of costs applicable to grants, contracts, and other agreements.

Uniform Guidance (2 C.F.R. Part 200): 2 C.F.R Part 200 establishes uniform administrative requirements, cost principles, and audit requirements for Federal awards to non-Federal entities. 

https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200/subpart-E

Cost Share Form

A cost share form must be completed and signed by the provider of cost share funds that will be used for the cost share.

Cost Sharing

Cost sharing (or matching) is the portion of the costs of a project or program that is not borne by the sponsor.

• Mandatory cost sharing: Cost sharing that is required by the sponsor as a condition for proposal submission and award acceptance.

• Voluntary cost sharing: Cost sharing that is offered in a proposal but not required by the sponsor (committed), or that is over and above that which is committed and budget for in a sponsored research agreement (uncommitted).

Costs incurred using cost shared funds are subject to the same policies governing allowability as the costs under the corresponding approved sponsor budget.

Rice General Cost sharing information can be found here. 

Deemed Export

A “deemed export” is an export of technology or source code that takes place when released, i.e., in conversation, training, or writing, to a foreign national within the U.S. The disclosure is deemed to be an export to the foreign national’s home country and thus requires a license or a license exception prior to the transfer of such technology or source code. In many cases, a Fundamental Research Exemption (FRE) may apply. It does not apply for research conducted abroad, physical shipments or personal delivery of goods abroad, information transfer subject to ITAR, or technology related to the development or the production of encryption. For further information contact Rice's Office of Research Integrity (exportcontrols@rice.edu).

Deficit Project

A deficit project is created by RCA when an award has ended, all close out financial accounting of expenditures has been implemented, and expenses in exceel of the award budget remains.  A balance transfer will be requirement to fund the overspent amount.

Delegates

Delegates can be established on one's behalf for various processes such as approving Time and Labor, Leave, and Expense Reports.  A Delegation Approval Guide can be found here. 

Direct costs

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.

Disallowance 

Expenditures incurred on a sponsored project for which the sponsor will not pay. This occurs when expenditures are not in compliance with the award terms (i.e., not allowable or allocable). The department is responsible for covering any disallowed expenditures using an unrestricted fund source.

Division of Cost Allocation (DCA)

DHHS has been designated by OMB as the cognizant agency responsible for negotiating F&A, fringe benefit, and other specialty rates and issuing related Rate Agreements for a significant number of organizations receiving Federal awards. Within this department, the DCA is responsible for negotiating and approving rates that should be used to determine amounts of F&A, fringe benefit, and other types of costs to be included on a Federal award. The approval is formalized by issuance of a Rate Agreement signed by the DCA and an authorized representative of the organization (Rice).

Drawdown

A method by which a grantee requests payment from the funding agency under a letter of credit agreement. The Research Cost Accounting Office is responsible for performing this function.

DUNS Number 

The numerical code assigned by Duns & Bradstreet identifying a specific business or entity. Rice University's DUNS number is 05-029-9031.

Effort

In terms of contracts and grants, percentage of time to be devoted to the sponsored project activity.

Effort Certification and Compliance

The ECC system integrates with iO to provide information on Effort Reporting which documents and verifies the salaries charged or effort expended for a sponsored project. The ECC portal is found here; general Rice Effort Reporting Guidelines is found here; and Effort Certification Training slides here. 

Encumbrance

Unpaid obligations in the form of purchase orders or other commitments which are chargeable to an award and for which a part of the awarded amount is reserved.  How to close open encumbrances can be found here. 

Equipment

An article of tangible nonexpendable personal property that has a useful life of more than 1 year and an acquisition cost of $5,000 or more per unit or the capitalization threshold established by the recipient, whichever is less.

Equipment Grants

Equipment grants provide funding for researchers to purchase equipment necessary for their research project. These grants can be awarded to individual researchers or institutions. Equipment grants are often more competitive than other types of research grants, as they require a detailed justification for the equipment purchase. 

Expanded Authorities

Legislation providing greater autonomy to grantees based on regulation 45 CFR Part 74.

Expense Reports

How to create an expense report for reimbursement can be found here.  Adding a delegate to prepare is here (video) and here (guide) and approve expense reports is here. 

Export Control

Rice University faculty, staff, and students engage in activities that may involve the export of certain items, products or goods, technology, and software to foreign countries and, consequently, may be subject to U.S. export control laws and regulations.  

Extramural Funding

Funding source is outside of Rice. Includes external agency contracts and grants, gifts, and endowments.

E-Verify

“E-Verify” [electronic verification], incorporated into Federal contracts over $150,000 and with a period of performance of more than 120 days, requires recipients of Federal funds to verify the work authorization of new and current employees who are paid directly from the contract as well as individuals whose time is cost shared on the contract. Rice is required to electronically verify work authorization for all employees (including students) and visiting faculty paid from or cost-shared on a Federal contract that includes the E-Verify clause. OSP identifies contracts that are subject to E-Verify and in such cases it will be noted on the award e-mail to the PI.

Fabricated Equipment

Nonexpendable, tangible, personal property, physically constructed by a University activity, which has a total acquisition cost of $5,000 or more, is free standing, is complete in itself, does not lose its identity when affixed to or installed in other property, and is expected to be used by the University for one year or more.

Facilities and Administrative Costs

See OMB circular A-21 Section F.

F&A costs are costs that have been incurred by a grantee for common or joint objectives and cannot be identified specifically with a particular project or program, but are nevertheless necessary to the operations of the organization.

Rice's current FY25 F&A Rate is 56.5% and agreement is here.  Decision Table for determining F&A is here. 

F&A Waiver Request Form

This form must be completed and signed by the PI, Chair, Dean and Vice Provost for Research.

https://rice.app.box.com/v/FAWaiverRequestForm 

Faculty Fund

Faculty fund projects are set up for funds from internal funding (Dept, Dean, etc.) or through a gift or contribution allocated for a specific faculty member.  How to manage Faculty Fund tasks can be found here. 

Federal Acquisition Regulations (FAR)

Federal Acquisition Regulations. Federal regulations for uniform policies for the acquisition of supplies and services. 

Fellowship Grants

Fellowship grants provide funding for individual researchers to support their training or career development. These grants may be designed for specific career stages, such as postdoctoral fellowships or early career researcher awards, and often provide stipends for living expenses, tuition, and research-related expenses. Fellowship grants can be awarded to postdoctoral researchers or graduate student

Federal Financial Report (FFR)

A standard federal form, SF-425, that shows the status of funds in non-construction programs and is used to monitor the financial progress of awards. The forms require information on Federal and recipient shares and unobligated balances of Federal funds.

Financial Status Report (FSR)

Report showing the financial status of funds for a grant or cooperative agreement. The Research Cost Accounting Office is responsible for the preparation and submission of this report. The report is based on actual expenditures posted to the ledgers for the period covered by the report. 

Fiscal Year

A 12-month accounting period at the end of which the books are closed for an agency or governmental unit. Rice University's fiscal year begins July 1 and ends June 30. The fiscal year ended June 30, 2024, is referred to as FY 2024.

Five-Day Rule

To ensure proposals are submitted to sponsors by the sponsor’s deadline, all administrative documents (Cayuse record completion, budget, budget justification, Cayuse 424 for grants.gov submissions, biosketches, and other non-technical documents) must be received in final form (ready to submit) at least five (5) business days before the sponsor’s deadline. Any changes, particularly to the budget, on the deadline day should not significantly impact the administrative documents already under review.

Fixed-Price Award

An agreement where a fair price for deliverables is set at the proposal stage and the fixed fee is paid to Rice.  These may include fixed-fee contracts and other deliverable-based agreements.  Unexpended funds at the end of a project are not required to be returned to the sponsor; similarly, over-expenditures are not funded by the sponsor.

Fringe Rate

The fringe rate is the percentage of wages that is dedicated to fringe benefits or additional incentives offered by the employer. Rice's current FY25 fringe rates can be found here and memo here.  

Full Time Equivalent (FTE)

Full-time equivalent. Equal to one person working full time for the applicable period of time, typically a month or one year.

Fundamental Research Exemption (FRE)

Basic and applied research in science and engineering, the results of which ordinarily are published and shared broadly within the scientific community, as distinguished from proprietary research and from industrial development, design, production, and product utilization, the results of which ordinarily are restricted for proprietary or national security reasons. For further information contact Rice's Office of Research Integrity (exportcontrols@rice.edu).

File-Based Data Import (FBDI)

An FBDI is used to update data in the General Ledger for cost transfers.  The FBDI form is required for any corrections that involve the CoA on either or both sides of the transaction.  The FBDI form can be found here and dropped off here. 

Funding Cycle

The schedule of events starting with the announcement of the availability of funds followed by the deadline for submission of applications, review of applications, award of grants, issuance of contract documents, and release of funds.

Gifts

Gifts are external, voluntary contributions without any requirements of any return of services or reporting.  General giving to Rice instructions are here.  Differentiation between Sponsored Project or Gift is clarified here. 

Graduate Student

How to pay a graduate student FY25 Flow Chart is here.

Grant

Financial assistance (including cooperative agreements) in the form of money, or property in lieu of money, by a sponsor to an eligible recipient.

Grant Congruency Review

Grant congruency review is an evaluation of a grant award/proposal compared to the associated research protocol(s) to ensure consistency in the research activities that will be conducted.

Higher Education Research and Development (HERD)

The HERD Survey is an annual census of US Colleges and Universities which collects information on Research and Development expenditures by field of research as well as source of funds, types of research, expenses, and R&D personnel. 

Human Capital Management (HCM)

HCM (Human Capital Management) is a business strategy and set of practices to manage an organization's workforce.  

Human Resource Information Systems (HRIS)

HRIS (Human Resource Information Systems) is responsible for the overall configuration and maintenance of all Oracle Human Capital Management (HCM) Cloud modules in iO through collaboration with all the HR functional areas as business analysts. This includes oversight of HR data integrity and stewardship.

Human subject

A living individual about whom an investigator obtains data through intervention or interaction with the individual or obtains identifiable private information. Regulations governing the use of human subjects extend to use of human organs, tissues, and body fluids from identifiable individuals as human subjects and to graphic, written, or recorded information derived from such individuals.

Imagine One

Oracle-based ERP launched at Rice in July 2021.  iO Dashboard Toolkit can be found here and here.  How to request iO Access is here. 

Imagine One Evolved

Updated version of Imagine One following an extensive consultation with Accenture. Launched in July 2023.

In-Kind Contribution

Noncash contributions provided by the University or nonfederal third parties. Typical examples of in-kind contributions are services provided by volunteers and donated property.

Incremental Award

Additional award support for an existing project. The grant/contract award number remains the same, and separate cash accountability is not required.

Indemnification 

The agreement of one party to assume financial responsibility for the liability of another party.

Indirect Costs 

Costs that are incurred by a recipient for common or joint objectives and cannot be identified specifically with a particular project or program. (see F&A).

Industry-Sponsored Grants

Industry-sponsored research grants are designed to support research projects that are sponsored by private companies or corporations. These grants typically support research projects that are of mutual interest to the company and the research institution or researcher.

Informed Consent

The process by which potential participants in research are fully informed of all aspects of a research project, including all risks and potential benefits, for the purpose of allowing the them to make a decision of whether or not they choose to participate in the research. In some instances, it is also the document signed by the participant agreeing to participate in a research project.

Institutional Animal Care and Use Committee (IACUC)

The Institutional Animal Care and Use Committee reviews protocols involving the use of animals in research and provides the approval to conduct the research. This committee verifies the humane care and use of laboratory animals in research. The IACUC is responsible for oversight and ongoing assessment of all aspects of the institution's animal care and use program as described in the Public Health Service (PHS) Policy on Humane Care and Use of Laboratory Animals (Policy) and the Guide for the Care and Use of Laboratory Animals (Guide). 

Institution Approval Form

This form is used for the following actions: No Cost Extension, Change in Key Personnel, Change in Scope of work, Adding a subrecipient, Expenditure for Single Item >$25K, Foreign Travel and Grant Transfers.

The form must be signed by the PI, Chair, Dean and OSP. The only exception is for a No Cost Extension which only requires the PI signature. The form can be managed as an AdobeSign workflow.

Institutional Approval Form (13).pdf | Powered by Box 

Institutional Information

Information regarding signing officials, tax numbers, certifications, and responsible parties at rice can be found here.

Institutional Review Board (IRB)

An administrative body whose purpose is to protect the rights and welfare of human subjects recruited to participate in research activities conducted under the auspices of the organization with which it is affiliated. The IRB has the authority to approve, require modifications in, or disapprove all research activities that fall within its jurisdiction. 

Invoice

An Invoice is an itemized document that represents the expenditures and expenditure categories to include the total amount due to be paid. Here are Rice's invoicing requirements, payment processing information and requisition/invoice/payment status definitions.  How to interpret invoice and PO statuses can be found here.  A generic invoice template can be found here. 

(also see Payables Invoice, Receivables Invoice, Adobe sign invoices process)

Invoice Processing

Each subcontract contains terms related to requirements for invoices from the subrecipient, including format, frequency, level of detail and certification.

Just in Time

Application timeframe that requires applicants to send some information (other support, certification of IRB approval, etc.) to NIH only if an award is likely.

Key Personnel

A person who contributes to the scientific or scholarly development or execution of a project in a substantive, measurable way. The most important key person is the Lead Principal Investigator and a proposal must always have this kind of key person associated with it. 

Co-Investigators (also known as Principal Investigators (as distinct from Lead Principal Investigator)) are often included on proposals. When such additional PI/Co-PIs are included, the project plan, budget justification, and budget should indicate the sub-area, thrust, or anticipated defined contributing component that each will be involved with leading.

In certain funder-specified cases, additional key personnel can be listed who do not have the Lead PI, PI, or Co-I designation. Such personnel are not identified in the submitted proposal as being responsible for the delivery of a specific area or thrust within the research plan. They do not have budgetary resources associated with them that they are expected to manage.

Labor Distribution

A labor distribution is an allocation of an individual's salary and effort to specific fund sources.  The Labor Distribution form (updated June 24, 2024) can be found here.  

Letter of Intent

A letter of intent expresses a grantor's willingness to commit funds to a project if other conditions are met.

Matching Funds

Matching funds has the same meaning as cost sharing. See Cost Share.

Material Transfer Agreement (MTA)

Legal document defining the conditions under which materials can be transferred and used among research laboratories, usually for unpatented biological materials. MTAs are processed at Rice by the Office of Technology Transfer (OTT).

Misconduct in Science 

Fabrication, falsification, plagiarism, or other practices that seriously deviate from those commonly accepted in the scientific community for conducting or reporting research.

Modified Total Direct Cost (MTDC)

The basis upon which F&A rates are calculated as prescribed by OMB Circular A-21, G.2. This base normally consists of direct costs (e.g., salaries and wages, fringe benefits, tuition remission, materials and supplies, services, travel, subcontracts, and equipment) modified by excluding tuition remission, equipment, and the first $25,000 of each subcontract.

Modular Grant

Used at NIH for applications requesting less than $250,000 of direct costs per year, eliminating the need for a detailed budget. Requests are made in modules of $25,000. F&A is added to the award.

Monitoring

A process in which a grant’s programmatic performance and business management performance are assessed by reviewing information gathered from various required reports, audits, site visits, and other sources.

National Institute of Health (NIH)

NIH is the primary agency of the United States government responsible for biomedical and public health research. 

National Science Foundation (NSF)

NSF is an independent agency of the United States federal government that supports fundamental research and education in all the non-medical fields of science and engineering. 

NIH Salary Cap

The salary rate limitation affecting awards from the National Institutes of Health (NIH) and the Substance Abuse and Mental Health Services Administration (SAMHSA). Salaries in excess of a statutorily-defined rate of pay (commonly referred to as the "cap") may not be paid from NIH or SAMHSA grants and contracts or other federal awards. This limitation is based on a DHHS Appropriations Act passed by Congress annually.

No Cost Extension (NCE)

NCEs are a limited period of time beyond the end of the existing period of performance, authorized by an awarding office or a recipient under an expanded authority, needed to complete project activities. No additional funds are granted. Requests for NCEs are processed thought Rice's Office of Sponsored Research.

Non-Labor Cost Transfer (NLCT)

A Non-Labor Cost Transfer (NLCT) form is submitted to reassign a non-labor expense that is involves the subledger (sponsored research) in at least one side of the transaction.  The NLCT form can be found here and dropped off here.  

Notice of Award (NoA)

The official legally binding award document that:

• i. notifies the recipient of the award of a grant;

• ii. contains or references all the terms and conditions of the grant and federal funding limits; and,

• iii. provides the documentary basis for recording the obligation of federal funds in the agencies’ accounting systems.

Notice of Funding Opportunity (NOFO)

An awarding office’s formally issued announcement of the availability of Federal funding through one of its financial assistance programs. The announcement invites applications and provides such information as eligibility and evaluation criteria, funding preferences/priorities, how to obtain application kits, and the submission deadline.

Obligated Budget

An 'obligated budget' is the amount of funds that a project's sponsor has authorized for a specific period of time that can be spent on that project. 

Obligated Funds

Funds that are encumbered (and unexpended) at the end of the funding period to cover known obligations. 

Office of Management & Budget (OMB)

Executive Branch office that assists the President of the United States in preparing the federal budget, evaluating agency programs and policies, and setting funding priorities. In setting policy, OMB issues government-wide policy directives, called circulars, that apply to grants.

Office of Management & Budget (OMB) Circulars

All OMB Circulars can be found at: www.whitehouse.gov/omb/circulars. The primary ones that affect Rice are OMB A-21 (Cost Principles for Educational Institutions), OMB A-110 (Uniform Administrative Requirements for Grants and Other Agreements with Institutions of Higher Education, Hospitals and Other Nonprofit Organizations), and OMB A-133 (Uniform Administrative Requirements for Grants and Other Agreements with Institutions of Higher Education, Hospitals and Other Nonprofit Organizations).

Office of Research

The Rice Office of Research aims to enhance Rice's research productivity and impact of its research discoveries through supporting proposal development and award management, research compliance, commercial collaborations, initiatives that promote internal cooperation, and continuous refinement of the university research infrastructure.

Office of International Students & Scholars (OISS)

OISS supports all Rice internationals and the Academic Departments with all matters related to immigration, international compliance, and cultural adaptation. 

Office of Infomation Technology (OIT)

OIT provides centralized technology resources to support research, academic and administrative systems, as well as other essential applications including voice, network, and computing infrastructure for the Rice community.

Office of Technology Transfer (OTT)

OTT manages invention disclosures, patent applications and oversees technology transfer and licensing in support of commercializing technology created at Rice.

Payments

A Rice Payment Reference guide which shows how payments are made depending on payment type and recipient and can be found here.  Awarding Individual Compensation (One Time Pay) can be found here. 

Peer Review

System for evaluating research grant applications and contract proposals using reviewers who are professional peers of an applicant.

Pending Amendment Project

A Pending Amendment Project can be created by RCA when an amendment is expected and the expenditures can post to this Project temporarily.  Upon the finalization of the amendment, cost transfers and labor distributions will need to be submitted to move theses costs from the Pending Amendment Project.  This form will need to be signed by the department or equivalent to assume liability if funding is not received. 

Period of Performance

The period of time between the start date and the close date of a sponsored research project. Put another way, it is the time interval required to complete work defined in a statement of work. A period of performance can be revised only through an agreement between a contractor and a contracting officer, who must issue a formal modification to a contract. 

PhD Stipends

PhD graduate student stipends file can be found here (may not be accurate).

PO Status

How to interpret PO and invoice statuses can be found here. 

Pre-Award / Early Setup Request

There can be situations where a faculty member, in consultation with the Office of Sponsored Projects and Research Compliance, is confident that an externally sponsored award will be made but believes it is necessary or beneficial to begin the project prior to the final execution of a sponsored project grant, cooperative agreement or contract. In cases where doing so is appropriate, the university encourages the responsible use of two specific mechanisms, advance spending funds or pre-award funds to accomplish this goal. Faculty and Departments are encouraged to establish either pre-award funds or advance spending funds at their discretion to ensure that expenditures may be tracked properly and to, prevent the accumulation of charges in “holding” accounts while waiting for the official sponsor authorization. Thus, Pre-Award funds and Advance Spending funds reduce the likelihood of late cost transfers and ensure that from the beginning of the project costs are properly associated with a sponsored research project. 

Pre-Award/Early Setup Request | Office of Sponsored Projects (OSP) | Office of Research | Rice University  

Principal Investigator

An individual designated to direct the project or the activity being supported by the grant. The PI is responsible and accountable to the university and the sponsor for the proper conduct of the project or activity.

• PI Status (TBC). Faculty in tenure track positions at Rice automatically have PI status. Other academic staff may request project-specific (and/or limited time only) PI status via an Institutional Approval Form (adobe sign workflow). PI status should be acquired in advance of preparing a new funding proposal as it will be required by Rice prior to submission.

PI Eligibility Request Form

• This form must be completed and signed by the PI, Chair, Dean and Vice Provost for Research.

• Along with a justification this form requires a copy of the CV for the requested PI.

https://rice.app.box.com/v/PIEligibilityform 

Prior Approval

The written permission provided by the authorized granting official from the awarding office before the recipient may undertake certain activities, such as performance or modification of an activity, expending funds, or exceeding a certain dollar level.

Professional Services Agreement (PSA)

A PSA is an agreement between a vendor/contractor/consultant and the university for services provided and is required for services over $3,000. It is the General Counsel's preference to employ Rice's PSA and externally-prepared contracts must be reviewed by the General Counsel's office for approval.

The Rice PSA form can be found here and if changes to the form are needed, contact General Counsel for review. 

Program Grants

Program grants are awarded to institutions or organizations to support a broader research program, center, or initiative. These grants fund multiple research projects that are focused on a common theme or research question. Program grants often require a more comprehensive proposal and may be more competitive than project grants.

Program Income

The gross income received by the recipient directly generated by the supported activity, or earned as a result of the award. Program income includes such items as income from fees for services performed, the sale of commodities or items fabricated under an award, etc.

Program Officer or Official

Funding agency staff member who oversees the scientific program and progress of projects.

Progress Report

Periodic, usually annual, reports submitted by the recipient and used by the awarding office to assess progress and, except for the final progress report, to determine whether to provide funding for the budget period subsequent to that covered by the report. The progress report is also referred to as the performance report.

Project Grants

Project grants are the most common type of research grants. They are awarded to individual researchers or research teams to support a specific research project, and are typically for a set amount of time and funding. The funds can be used for salaries, equipment, supplies, travel, and other expenses related to the project. 

Project Closeout

Upon award activation Rice University agrees to comply with the conditions established by the awarding sponsor for project closeout of a grant or contract. Reports required at the close of a project vary by the type of sponsored project and by sponsor. Typical closeout requirements include the timely submission of a technical report, scientific report, inventions report, financial/expenditure report, cost sharing report, and a property/equipment report. 

Project Period

The total time period stated in a Notice of Award for which support is recommended. The project period may consist of one or more budget periods. It does not constitute a commitment to fund the entire project period.

Proposal

Written application for grant funds presenting a specific project and associated budget. Also a written offer to enter into a contract, usually in response to a request for proposals (RFP). All proposals are electronically approved in Cayuse. Prior to submission to the sponsor, the PI(s) must certify and the PI(s) department and school must approve each proposal.

Protocol 

The formal design or plan of an experiment or research activity. Specifically, it is the research plan submitted to an IRB or IACUC for review and approval for the participation of humans or the use of animals in a research project.

Reasonable cost

A cost whose nature or amount does not exceed that which would be incurred by a prudent person under the circumstances prevailing when the decision was made to incur the cost.

A cost may be considered reasonable if the nature of the goods or services acquired or applied, and the amount involved therefore, reflect the action that a prudent person would have taken under the circumstances prevailing at the time the decision to incur the cost was made. Major considerations involved in the determination of the reasonableness of a cost are: (a) whether or not the cost is of a type generally recognized as necessary for the operation of the institution or the performance of the sponsored agreement; (b) the restraints or requirements imposed by such factors as arm's length bargaining, Federal and State laws and regulations, and sponsored agreement terms and conditions; (c) whether or not the individuals concerned acted with due prudence in the circumstances, considering their responsibilities to the institution, its employees, its students, the Federal Government, and the public at large; and (d) the extent to which the actions taken with respect to the incurrence of the cost are consistent with established institutional policies and practices applicable to the work of the institution generally, including sponsored agreements.

Rebudget

Rebudgeting is the reallocation of funds in spending categories within a budget. The rebudgeting request form can be found here. 

Regulatory Compliance

If an award has human subjects, animal subjects, or rDNA involved then it will need corresponding protocols for the management of these factors. Approvals of these protocols, and (where necessary) a congruency review between the protocols and the award/proposal itself, falls under the authority of the Office of Research Integrity.

Request for Proposal (RFP)

Funder's written announcement to invite grant proposals

Request for Information (RFI)

Funder's written announcement to invite public input and feedback

Request for Application (RFA)

A solicitation or request for proposals or applications to an advertised research project.

Request for Quotation (RFQ)

A solicitation or request for proposals or bid to an advertised project. 

Research

A systematic, intensive study intended to increase knowledge or understanding of the subject studied, a systematic study specifically directed toward applying new knowledge to meet a recognized need, or a systematic application of knowledge to the production of useful materials, devices, and systems or methods, including design, development, and improvement of prototypes and new processes to meet specific requirements. Also termed “research and development.”

Research Cost Accounting (RCA)

RCA supports post award sponsored activities in accordance with generally accepted accounting principles and the terms and conditions of the sponsoring agencies. These activities include setting up awards and projects in iO, preparing financial reports and invoices, closing out awards, monitoring fiscal compliance, preparing sponsored project expenditure reports, coordinating audit reviews, managing the service center activities, managing effort reporting process, and managing the F&A and fringe benefit proposal and negotiation process. 

Research Experiences for Undergraduates (REU)

Research Experiences for Undergraduates. An NSF program restricted for undergraduate research support, but affiliated with a main research award. Normally, subject to a reduced F&A rate, this requires that a separate fund be established.

Research Enterprise

In the broadest terms, the research enterprise (in an academic setting) encompasses the systems, services, policy, and staffing within a university that collectively work to generate knowledge. In its ideal form it is a multifaceted ecosystem where research activities thrive, contributing to national goals in various domains such as the economy, national security, energy, health, workforce, environment, technical infrastructure, and agriculture. The dynamic between university research and the goals of federal funders (who seek positive outcomes in the context of such an ecosystem) means that a university's success and impact in this regard can be measured by trends in the external funding that it receives.

Restricted Entities

U.S. sanctions regulations restrict who U.S. persons (i.e., persons located in the U.S., U.S. citizens, and U.S. entities such as Rice University) may do business with, such as conducting financial transactions and shipping ANYTHING (whether or not the equipment, material or item is export controlled) to these individuals and entities.

The United States Department of Treasury maintains the Specially Designated and Blocked Persons List (“SDN List”). The SDN List a list of barred terrorists, narcotics traffickers, and persons and entities associated with embargoed regimes. Generally, all transactions (e.g., sending ANYTHING to those on the SDN List or conducting financial transactions with those individuals) are barred. 

Restricted Funds

Funding from a prior year which is carried forward (unexpended and unobligated) to the current year and requires agency approval to expend. Or funds restricted for a specific purpose, such as REUs, Minority Supplements, or Training Grants.

Research Policies

A list of the research policies at Rice.

Revision/Resubmission

A proposal which is re-sent to a funding agency and has been modified in response to reviewer comments from a previous submission.

Rice Oracle Business Intelligence (ROBI)

ROBI consists of a series of dashboards created by the Office of Research in December 2021 to support Research Administration of Sponsored Projects, Faculty Funds, and other internally awarded project funds within the Oracle Projects subledger.

Salary Cap

Salary cap constraint only apply to NIH, SAMSHA, and AHRQ. Use the institutional base salary for all other grant applications. The current cap is $221,900 effective January 1, 2024.  The Salary Cap template can be found here. 

Salary Reimbursement Agreement

An arrangement established between Rice and another institution which allows one institution to recover the costs associated with a student registered at the other institution wherein the student is participating in collaborative research activities with principal investigators at both institutions.

Scope of Work/ Statement of Work

Statement of work to be performed as obligated under an agreement.

SciENcv

SciENcv is a researcher profile system for all individuals who apply for, receive or are associated with research investments from federal agencies. 

Shipping Products or Goods Abroad

An export license may be required when shipping goods abroad. This flowchart provides questions to help determine whether or not a license may be required.

Small Business Innovation Research (SBIR)  

The SBIR program encourages domestic small businesses to engage in Federal Research/Research and Development (R/R&D) with the potential for commercialization. 

The SBIR Program is structured in three phases:

• Phase I. The objective of Phase I is to establish the technical merit, feasibility, and commercial potential of the proposed R/R&D efforts and to determine the quality of performance of the small business awardee organization prior to providing further Federal support in Phase II. SBIR/STTR Phase I awards are generally $50,000 - $250,000 for 6 months (SBIR) or 1 year (STTR).

• Phase II. The objective of Phase II is to continue the R/R&D efforts initiated in Phase I. Funding is based on the results achieved in Phase I and the scientific and technical merit and commercial potential of the project proposed in Phase II. Typically, only Phase I awardees are eligible for a Phase II award. SBIR/STTR Phase II awards are generally $750,000 for 2 years.

• Phase III. The objective of Phase III, where appropriate, is for the small business to pursue commercialization objectives resulting from the Phase I/II R/R&D activities. The SBIR/STTR programs do not fund Phase III. At some Federal agencies, Phase III may involve follow-on non-SBIR/STTR funded R&D or production contracts for products, processes or services intended for use by the U.S. Government.

Small Business Technology Transfer (STTR)

This program is similar to SBIR.  However, for both Phase I and Phase II STTR projects, at least 40% of the work must be performed by the small business, and at least 30% of the work must be performed by a non-profit research institution, e.g., universities.

For STTR, the partnering nonprofit research institution must also meet certain eligibility criteria:

• Located in the US, American-owned and independently operated (for profit).

• Company size is limited to 500 employees

Seed Grants

Seed Grants are awarded to support the early stages of a research project, often with the goal of securing additional funding in the future.

Sole Source Justification (SSJ)

A SSJ can be used to waive the competitive bid requirement for purchases valued $25,000 or more.The SSJ form can be found here and competitve bidding information can be found here.  

Solicitation

A document that elicits proposals.

Sponsored Projects and Faculty Funds Dashboard (iO)

Subledger accounting dashboard - designed to be the primary dashboard for managing projects. iO evolved saw the development of parallel versions of this  dashboard (Adminstrator and Faculty versions)

Sponsor Portals and Submission Systems

Grants.gov

Proposal Central

Research.gov

etc etc.

Sponsored Projects

Sponsored projects are research, training, instructional, or outreach/public service projects involving funds, materials, other forms of compensation from sources external to Rice that are covered under awards and agreements.

Examples of Sponsored Projects = Grants, Research Contracts, Cooperative Agreements, etc.

Stipend

Student financial support provided on training grants and fellowships for living expenses. Stipends are not considered payment (salary) for work done or completed, although they may be subject to IRS reporting.

Subaward

An award provided by a pass-through entity to a subrecipient for the subrecipient to carry out part of a Federal award received by the pass-through entity. It does not include payments to a contractor or payments to an individual that is a beneficiary of a Federal program. A subaward may be provided through any form of legal agreement, including an agreement that the pass-through entity considers a contract.

• Sub-ins are subawards coming into Rice, where a PI at Rice is the subawardee. 

• Sub-outs are subawards going out, where Rice is the prime awardee.

Subaward setup protocol can be found here.  Scroll down to the Research & Cost Accounting Section. 

Subaward Risk Assessment Matrix

After receiving the award and prior to issuing a subaward, OSP performs and documents a risk assessment of the subrecipient organization to determine the level of risk and the extent of monitoring that should follow. This assessment is also carried out prior to a subcontract amendment. 

Subrecipient / Subawardee

A non-Federal entity that receives a subaward from a pass-through entity to carry out part of a Federal program; but does not include an individual that is a beneficiary of such program. A subrecipient may also be a recipient of other Federal awards directly from a Federal awarding agency.

Subrecipient Monitoring

Subrecipients must meet programmatic and financial activities involved in the subaward or subcontract in order to ensure that programmatic goals are achieved, that the costs incurred by subrecipients are reasonable, allowable, and allocable, and that work is conducted ethically and legally. 

Subcontract

A formal cooperative research relationship with another organization, often another university, identifying a specific scope of work, budget, and other contractual terms. 

Supplement

Whenever there is a substantive addition to the program of research agreed to under the terms of the original award (i.e. thematically allied but not originally outlined in the proposal), this requires the submission of a supplement budget, justification, and project summary to the funder. The supplement will be treated in a very similar way to an original proposal, but the main difference is that an awarded supplement arrives as a funding add on to the original award and is managed through the original award. 

In summary, a supplement can be defined as additional funds added to an existing award for a variety of purposes such as: (1) to support new or additional activities; (2) support an expansion of the grant approved activities; or (3) to provide for an increase in costs due to unforeseen circumstances.

Supplier

Suppliers provide goods and services and Rice information can be found here. 

Tax Exempt Form

Rice's Tax Exempt Form is here. 

Technology Transfer

Sharing knowledge and facilities to make scientific and technological advances accessible to private industry for the ultimate benefit of society.

Terms and Conditions 

Legal requirements imposed on a grant or contract by the sponsor which are specified in a notice of grant award or contract.

THECB (Texas Higher Education Coordinating Board)

The

Third-party in-kind contributions

The value of non-cash contributions directly benefiting a grant-supported project or program that is provided by non-Federal third parties to the recipient, the subrecipient, or a cost-type contractor under the grant or subgrant without charge. In-kind contributions may be in the form of real property, equipment, supplies and other expendable property, and goods and services directly benefiting and specifically identifiable to the project or program 

Total Direct Cost (TDC)

All costs included as direct costs in support of a funded project. Some agencies allow F&A rates to be applied to all direct costs, but typically at a rate less than the negotiated F&A rate.

Travel Grants

Travel grants provide funding for researchers to conduct research in a different location, or attend conferences, workshops, or meetings related to their research field. These grants can cover travel expenses, registration fees, and accommodation costs. Travel grants are usually smaller in amount than other types of research grants

Unallowable cost

A cost specified by law or regulation, Federal cost principles, or term and condition of award that may not be reimbursed under a grant or cooperative agreement.

University Awards

Internal Rice-funded awards made to faculty or staff through a competitive process.  Description and setup instructions are found here. 

Unobligated balance /  Unexpended Funds

The portion of the funds authorized by the funder that has not been obligated by the recipient.

Unsolicited Proposals

Written proposals for new and innovative ideas aligned with government objectives and initiated by PI, not funder.

Vivarium

Animal care facility.

Wire Transfer/ACH

ACH/Wire Transfer form for gifts can be found here.