Activity code

A code assigned by the National Institutes of Health (NIH) to identify support mechanisms.  General categories include research grants, contracts, training, and fellowships.  Research grants can be subdivided into research projects, research centers, and other research grants.  For specific activity code assignments and definitions, see the Web based "IMPAC Activity Codes, Organization Codes, and Definitions Used in Extramural Programs".  (PDF)

ADAMHA -- see Alcohol, Drug Abuse, and Mental Health Administration.

Administrative standards -- see OMB circulars.

Alcohol, Drug Abuse, and Mental Health Administration (ADAMHA)

Effective FY 1993, the service components of the ADAMHA became the Substance Abuse and Mental Health Services Administration (SAMHSA).  The three research components of the ADAMHA--the National Institute on Alcohol Abuse and Alcoholism (NIAAA), the National Institute on Drug Abuse (NIDA), and the National Institute of Mental Health (NIMH)--became part of the NIH.

ALERT system

A DHHS system for disseminating information to appropriate PHS officials to facilitate informed decisions on the award of federal monies to organizations or persons charged with or found to have engaged in misconduct. Go to the PHS administrative actions listing.

Amendment (amended or revised applications)

Resubmission of an unfunded application that has been revised in response to a prior review.

Appeal

A procedure for contesting the peer review of a grant application. Synonymous with rebuttal.

Application

A request for financial support of a project/activity submitted to NIH on specified forms and in accordance with NIH instructions.

Application identification numbers

Application Type Activity Code Administering Org. Serial No. Suffix Year Amendment Supplement

1  R01  AI  183723   -01  A1  S1

The application number identifies the type of application (new is Type 1), activity code (research project grant - R01), organization to which it is assigned (NIAID - AI), serial number assigned by the Center for Scientific review (CSR), suffix showing the support year for the grant and other information identifying a supplement, amendment, or a fellowship's institutional allowance. For contracts, the suffix is replaced by a modification number.

Application types

Type l - New
Type 2 - Competing continuation (a.k.a. renewal, recompeting application)
Type 3 - Application for additional (supplemental) support
Type 4 - Application for additional support beyond that previously recommended
Type 5 - Noncompeting continuation
Type 7 - Change of grantee institution
Type 9 - Change of NIH awarding institute or division (competing continuation)
Amended -- see Resubmission
Contract types -- see Contract transaction types.

Assignment -- see Receipt, referral, and assignment of applications.

Assistance

The award of money, property, or services to a recipient to accomplish a public purpose as authorized by federal statute. Assistance relationships (e.g., grants) are expressed in less detail than are acquisition relationships (contracts), and responsibilities for ensuring performance rest largely with the recipient or are shared with the government.

Average programmatic reduction

The dollar amount a grant award is reduced from the amount recommended by the study section (scientific review group). This is done so institutes can maintain a sufficient number of grants in their portfolio and to combat inflation of grant costs.

Award

The provision of funds by NIH, based on an approved application and budget, to an organizational entity or an individual to carry out an activity or project.   This includes both direct and indirect costs (F & A) unless otherwise indicated.

BAFO (Best and Final Offer) -- see Final Proposal Revision.

Bayh-Dole Act

A law that encourages universities and researchers to develop their inventions into marketable products.

BECON

The focus of bioengineering issues at the NIH is the Bioengineering Consortium (BECON) which consists of senior-level representatives from each of the NIH institutes, centers, and divisions plus representatives of other federal agencies concerned with biomedical research and development.

Bilateral Agreement

A general science agreement between the U.S. and a foreign country.  Grant applications from institutions in these countries that have been recommended for approval by the scientific review group are given special funding consideration by Council.

Biomedical research and development price index (BRDPI)

The BRDPI was developed for the NIH to measure real annual changes in the prices of items and services required for research and development (R&D;) activities.

BRDPI -- see Biomedical research and development price index.

Bridge Awards

Provide one year of funding so investigators can continue research while reapplying for an R01 grant, or enable new investigators to gather preliminary data to improve their applications.  Investigators do not apply for bridge awards but are selected from R01 grants at the payline margin.  A bridge award is made as an R21 with one year of funding, which the PI can choose to spend over a two-year period.   This enables the PI to submit an amended R01 application for the next receipt date while receiving interim (bridge) funding under the R21 mechanism.

Budget appropriation

The yearly amount given to a government agency by Congress.

Budget authorization

Legislation authorizing the government to spend money on a program for several years.

Budget Period

The intervals of time (usually 12 months each) into which a project period is divided for budgetary and funding purposes.

Carryover

As indicated by the Notice of Grant Award, carryover authority provides grantees permission to carry over funds that are unobligated at the end of a budget period to the next budget period.  For awards under the Streamlined Noncompeting Award Process (SNAP), funds are automatically carried over and are available for expenditure during the entire project period.  However, under those awards, the grantee will be required to indicate, as part of its noncompeting continuation request, whether its estimated unobligated balance (including prior year carryover) is expected to be greater than 25 percent of the current year's total budget.  If so, the grantee must provide an explanation and indicate plans for expenditure of those funds if carried forward.

Center for Scientific Review (CSR)

The NIH component responsible for the receipt and referral of applications to the PHS, as well as the initial review for scientific merit of most applications submitted to the NIH.

Centers

Center grants are awarded to institutions on behalf of program directors and groups of collaborating investigators. They provide support for long-term, multi-disciplinary programs of research and development.

Chartered advisory committee

Any committee formed for advisory purposes composed not wholly of federal officials. Under the Federal Advisory Committee Act, standing committees must be chartered, i.e., approved by their parent agency in collaboration with the Government Services Agency to ensure a properly balanced representation (geographical, women, minorities) and that other legal requirements are met.

Close Out (closeout, close-out)

A procedure to officially conclude a grant.  Institute staff must assure that necessary scientific, administrative, and financial reports have been received, implemented and documented in compliance with federal records management policy.  This includes the Final Financial Status Report (FSR), Final Invention Report, and Final Progress Report.

Code of Federal Regulations (CFR)

An annually revised codification of the general and permanent rules published in the Federal Register.

Commitment base

Funds used for noncompeting (type 5 or ongoing awards), typically 70-80 percent of the dollars spent for research project grants.

Competing applications

Applications that are either new or recompeting that must undergo initial peer review.

Competing Continuation

An application that requires competitive peer review and institute/center action to continue beyond the current competitive segment.  Also known as a Renewal or Type 2.

Competing Research Project Grant (RPG)

An application for a Research Project Grant that requires competitive peer review.  Also, number of obligations which serves as an input for determining success rates.

Competitive range

A contracting term denoting a group of proposals considered to be acceptable by the initial peer review group and that are potential candidates for an award.

Computer Retrieval of Information on Scientific Projects (CRISP)

A searchable biomedical database of federally-supported proposed research conducted at universities, hospitals, and other research institutions.  Web address: http://crisp.cit.nih.gov/

Concept

The earliest, planning stage of an initiative [request for applications (RFA), request for proposals (RFP), or program announcement (PA)]. Concepts are brought before the advisory Council for concept clearance. Not all concepts cleared by Council are published as initiatives depending on the availability of funds.

Conflict of interest

Regulations to assure that government employees, scientific review group members, Council members, or others having the ability to influence funding decisions have no personal interest in the outcome.

Consortium agreement

A collaborative arrangement in support of a research project in which some portion of the programmatic activity is carried out through a formalized agreement between the grantee and one or more other organizations that are separate legal entities administratively independent of the grantee.

Constant Dollars

Dollar amounts adjusted for inflation, based on buying power in a selected base year.  The BRDPI is used to determine constant dollars from current dollars.

Consumer Price Index (CPI)

Measurement of changes in prices of a broad range of consumer items.

Contract (R&D)

An award instrument establishing a binding legal procurement relationship between NIH and a recipient obligating the latter to furnish a product or service defined in detail by NIH and binding the Institute to pay for it.

Contract -- see R&D; Contract.

Contract under a grant

A written agreement between a grantee and a third party to acquire routine goods and services.

Contract transaction types

Type 1 - New contract
Type 2 - Renewal
Type 3 - Modification
Type 4 - Letter contract
Type 5 - Continuation of an incrementally (typically, in one-year increments) funded contract
Type 6 - Task orders and subsequent modifications relating to existing ordering agreements
Type 7 - Exercise of option

Contracting officer

Government employee authorized to execute contractual agreements on behalf of the government.

Cooperative Agreement

A financial assistance mechanism used when substantial Federal programmatic involvement with the recipient during performance is anticipated by the NIH Institute or Center.

Cooperative research and development agreement (CRADA)

Any agreement between one or more NIH laboratories and one or more non-federal parties under which the PHS, through its laboratories, provides personnel, services, facilities, equipment, or other resources with or without reimbursement (but not funds to non-federal parties) and the non-federal parties provide funds, personnel, services, facilities, equipment, or other resources toward the conduct of specified research or development efforts which are consistent with the missions of the laboratory.

Cost sharing

See "matching or cost sharing"

Council/Board, Advisory

National Advisory Council or Board, mandated by statute, that provides the second level of review for grant applications for each institute/center that awards grants.  The Councils/Boards are comprised of both scientific and lay representatives.  Council/Board recommendations are based on scientific merit (as judged by the initial review groups) and the relevance of the proposed study to an institute's programs and priorities.  With some exceptions, grants cannot be awarded without recommendations for approval by a Council/Board.

Count -- Unless noted, the total number of grants shown, excluding administrative supplements.

CPI -- see Consumer Price Index.

CRADA -- see Cooperative research and development agreement.

CRISP -- see Computer Retrieval of Information on Scientific Projects.

CSR -- see Center for Scientific Review.

Current Dollars -- Actual dollars awarded, without adjustment for inflation.

DEA

Division of Extramural Activities

Deferred

Refers to the delay in the review of an application by a scientific review group, usually to the next review cycle, due to insufficient information.

DHHS

U.S. Department of Health and Human Services -- Federal executive department of which the U.S. Public Health Service (PHS) is a component and the NIH is an agency of the PHS.

DIR

Division of Intramural Research

Direct costs

Costs that can be specifically identified with a particular project(s) or activity.  Examples of research project-specific expenses include expenses for equipment, personnel, travel, and other expenses necessary to carry out a research project.

Direct operations

Funds for salary and other administrative costs.

Dual assignments

Applications simultaneously assigned to two institutes, centers, or divisions. The primary institute has complete responsibility for administering and funding the application; the secondary assumes this responsibility only if the primary is unable or unwilling to support it.

Dual review system

Peer review process used by NIH. The first level of review provides a judgment of scientific merit. The second level of review, usually conducted by an ICD's advisory Council, assesses the quality of the first review, sets program priorities, and makes funding recommendations.

Earmark

A requirement by Congress that a federal agency spend a specified amount of money for a stated purpose, for example to establish a centers program or conduct a clinical trial.

Edison

NIH's electronic invention reporting system. Web address: http://www.iedison.gov/

Electronic research administration (ERA)

As part of NIH's reinvention initiative, the ERA sets up an electronic dialogue between NIH and its grantees covering the entire life cycle of the grant.

ERA -- see Electronic research administration.

Expanded Authorities

The operating authorities provided to grantees under certain research grant mechanisms that waive the requirement for NIH prior approval for specified actions.

Extramural Awards

Funds provided by the NIH to researchers and organizations outside the NIH.

Extramural research

Research supported by NIH through a grant, contract, or cooperative agreement.

FACA -- see Federal Advisory Committee Act.

Facilities and Administration

Costs that are incurred by a grantee for common or joint objectives and that, therefore, cannot be identified specifically with a particular project or program. These costs were previously known as "indirect costs," and, in most instances, will be referred to in this document as "F&A; costs."

FAR -- see Federal Acquisition Regulations.

Federal Acquisition Regulations (FAR)

Laws regulating government contracting. Web address: http://www.arnet.gov/far/

Federal Advisory Committee Act (FACA)

A law that regulates federal advisory committees to ensure an appropriate balance of scientists and lay persons and minority, geographical, and racial representation.

Federal Demonstration Partnership (FDP)

A cooperative initiative among some Federal agencies, including NIH, select organizations that receive Federal funding for research and certain professional organizations. Its efforts include a variety of demonstration projects intended to simplify and standardize Federal requirements in order to increase research productivity and reduce administrative costs.

Federal Register

An official, daily publication that communicates proposed and final regulations and legal notices issued by federal agencies, including announcements of the availability of funds for financial assistance. Web Address: http://www.access.gpo.gov/su_docs/aces/aces140.html

Federal Technology Transfer Act (FTTA)

Authorizes government agencies to enter into CRADAs with private companies.

Fellowship

An NIH training program award where the NIH specifies the individual receiving the award.  Fellowships comprise the F activity codes.

Final Proposal Revision

After completion of negotiations, offerors are asked to submit a final proposal revision which documents all cost and technical agreements reached during negotiations.

Financial Status Report (FSR)

A financial report due 90 days after the end of each budget period for those awards that are not under SNAP, and at the end of the competitive segment for those awards under SNAP, showing the status of awarded funds for that period.   The report is mandatory for continued funding of the grant.  The form numbers for FSRs are SR 269 and SF 269A.

Financial management plan

A policy to establish consistency in funding, it specifies levels for items such as the payline, programmatic reductions, and caps for recompeting grants.

FOIA -- see Freedom of Information Act.

FPR -- see Final Proposal Revision.

Freedom of Information Act (FOIA)

Requires wider dissemination, on request, of government documents while monitoring proprietary information. Web address: http://www.nih.gov/icd/od/foia/index.htm

FSR -- see Financial status report.

FTTA - see Federal Technology Transfer Act.

Funding Components, Abbreviated  -- components of the NIH that can make extramural awards.   They include:

AA--National Institute on Alcohol Abuse and Alcoholism (NIAAA)
AG--National Institute on Aging (NIA)
AI--National Institute of Allergy and Infectious Diseases (NIAID)
AR--National Institute of Arthritis and Musculoskeletal and Skin Diseases (NIAMS)
AT--National Center for Complementary and Alternative Medicine (NCCAM)
CA--National Cancer Institute (NCI)
CL--Warren Grant Magnuson Clinical Center (CC)*
DA--National Institute on Drug Abuse (NIDA)
DC--National Institute on Deafness and Other Communication Disorders (NIDCD)
DE--National Institute of Dental and Craniofacial Research (NIDCR)
DK--National Institute of Diabetes and Digestive and Kidney Diseases (NIDDK)
DS--Division of Safety (DS)*
EB--National Institute of Biomedical Imaging and Bioengineering (NIBIB)
ES--National Institute of Environmental Health Sciences (NIEHS)
EY--National Eye Institute (NEI)
GM--National Institute of General Medical Sciences (NIGMS)
HD--National Institute of Child Health and Human Development (NICHD)
HG--National Human Genome Research Institute (NHGRI)
HL--National Heart, Lung, and Blood Institute (NHLBI)
LM--National Library of Medicine (NLM)
MD--National Center on Minority Health and Health Disparities (NCMHD)
MH--National Institute of Mental Health (NIMH)
NR--National Institute of Nursing Research (NINR)
NS--National Institute of Neurological Disorders and Stroke (NINDS)
OD--Office of the Director (NIH)
RG--Center for Scientific Review (CSR)
RR--National Center for Research Resources (NCRR)
TW--John E. Fogarty International Center (FIC)
WH--Office of Research on Women's Health (ORWH)
* Does not make Extramural Awards

FY  (Fiscal Year)

The annual period established for government accounting purposes.  Fiscal year 2003, for example, began October 1, 2002 and ends September 30, 2003.

GAO -- see General Accounting Office.

GPO -- see Government Printing Office.

General Accounting Office (GAO)

An oversight organization reporting to Congress. Go to GAO reports. Web address: http://www.gao.gov/

Government Printing Office (GPO)

Produces and distributes Federal Government information products. Web address: http://www.access.gpo.gov/index.html

Grant

A financial assistance mechanism providing money, property, or both to an eligible entity to carry out an approved project or activity.   A grant is used whenever the NIH Institute or Center anticipates no substantial programmatic involvement with the recipient during performance of the financially assisted activities.

Grant appeals

A DHHS policy that provides for an appeal by the grantee institution of postaward administrative decisions made by awarding offices. There are two levels of appeal available: an informal NIH procedure and a formal DHHS procedure. The grantee must first exhaust the informal procedures before appealing to the DHHS Appeals Board.

Grant closeout

A procedure to officially conclude a grant.  Institute staff must assure that necessary scientific, administrative, and financial reports have been received, implemented and documented in compliance with federal records management policy.  This includes the Final Financial Status Report (FSR), Final Invention Report, and Final Progress Report.

Grant compliance review

An evaluation by grants management staff to assess an institution's business and financial management systems to ensure that regulations and policies are being followed.

Grant rebudgeting

With the advent of modular grants, grantees no longer have to request permission from NIH for rebudgeting (formerly moving money from one budget category to another). For nonmodular grants, permission is still needed for some items.

Grantee

The organization or individual awarded a grant or cooperative agreement by NIH that is responsible and accountable for the use of the funds provided and for the performance of the grant-supported project or activities.  The grantee is the entire legal entity even if a particular component is designated in the award document.   The grantee is legally responsible and accountable to NIH for the performance and financial aspects of the grant-supported project or activity.

Grants Management Officer (GMO)

An NIH official responsible for the business management aspects of grants and cooperative agreements, including review, negotiation, award, and administration, and for the interpretation of grants administration policies and provisions.   Only GMOs are authorized to obligate NIH to the expenditure of funds and permit changes to approved projects on behalf of NIH. Each NIH Institute and Center that awards grants has one or more GMOs with responsibility for particular programs or awards.

Grants Management Specialist

The Grants Management Specialist is an agent of the GMO and is assigned responsibility for the day-to-day management of a portfolio of grants.

High risk/high impact (HR/HI)

A category of applications identified by a scientific review group as having a high degree of uncertainty in approach but also a high potential for impact. NIH tracks how many of these applications are identified and funded.

HR/HI -- see High risk/high impact.

IACUC -- see Institutional Animal Care & Use Committee.

IC

The NIH organizational component responsible for a particular grant program(s) or set of activities.

IDeA -- see Institutional Development Awards

IMPAC -- see Information for Management, Planning, Analysis, and Coordination.

Indirect costs -- see F&A;

Information for Management, Planning, Analysis, and Coordination (IMPAC)

IMPAC is a computer database system developed and maintained by the Office of Extramural Research for information concerning PHS extramural programs.  (For definitions of each item in IMPAC, see IMPAC Definitions and Specifications, Master File.)

Initial peer review criteria

Significance - Is the topic important? Will it advance scientific knowledge?
Approach - Are the hypothesis, design, and methods well developed and appropriate? Are potential problems addressed?
Innovation - Does the proposal involve new ideas or methods; does it challenge existing paradigms?
Investigator - Does the investigator and collaborators have the training and experience to do the work?
Environment - Will the scientific environment contribute to success? Is there institutional support for the project? Does the work take advantage of existing opportunities including collaborations?

Initial review group (IRG), see Scientific review group

Initiative

A request for applications (RFA), request for proposals (RFP), or program announcement (PA) stating the Institute's interest in receiving research applications in a given area because of a programmatic need or scientific opportunity. RFAs and RFPs generally have monies set aside to fund the applications responding to them; program announcements generally do not.

Institute/Center (I/C)

components of the NIH (includes the National Library of Medicine).  Institutes/centers can make extramural awards. Institutes/centers include:
AA--National Institute on Alcohol Abuse and Alcoholism (NIAAA)
AG--National Institute on Aging (NIA)
AI--National Institute of Allergy and Infectious Diseases (NIAID)
AR--National Institute of Arthritis and Musculoskeletal and Skin Diseases (NIAMS)
AT--National Center for Complementary and Alternative Medicine (NCCAM)
CA--National Cancer Institute (NCI)
CL--Warren Grant Magnuson Clinical Center (CC)*
CT--Center for Information Technology (CIT)
DA--National Institute on Drug Abuse (NIDA)
DC--National Institute on Deafness and Other Communication Disorders (NIDCD)
DE--National Institute of Dental and Craniofacial Research (NIDCR)
DK--National Institute of Diabetes and Digestive and Kidney Diseases (NIDDK)
EB--National Institute of Biomedical Imaging and Bioengineering (NIBIB)
ES--National Institute of Environmental Health Sciences (NIEHS)
EY--National Eye Institute (NEI)
GM--National Institute of General Medical Sciences (NIGMS)
HD--National Institute of Child Health and Human Development (NICHD)
HG--National Human Genome Research Institute (NHGRI)
HL--National Heart, Lung, and Blood Institute (NHLBI)
LM--National Library of Medicine (NLM)
MD--National Center on Minority Health and Health Disparities (NCMHD)
MH--National Institute of Mental Health (NIMH)
NR--National Institute of Nursing Research (NINR)
NS--National Institute of Neurological Disorders and Stroke (NINDS)
OD--Office of the Director (NIH)
RG--Center for Scientific Review (CSR)
RR--National Center for Research Resources (NCRR)
TW--John E. Fogarty International Center (FIC)
* Does not make Extramural Awards

Institutional Animal Care & Use Committee (IACUC)

IACUCs are established at institutions in accordance with the PHS Policy on Humane Care and Use of Laboratory Animals, and have broad responsibilities to oversee and evaluate the institutions' animal programs, procedures, and facilities.   IACUC review and approval is required for all PHS supported activities involving live vertebrate animals prior to funding.

Institutional Development Awards (IDeA)

Institutional Development Awards (IDeA) enhance biomedical and behavioral research in specific geographic areas.  The Division of Research Infrastructure of the National Center for Research Resources (NCRR) provides IDeA grants to foster research within states that traditionally have not received significant levels of competitive funding from the National Institutes of Health (NIH).

Institutional review board (IRB)

IRBs are set up by research institutions to ensure the protection of rights and welfare of human research subjects participating in research conducted under their auspices. IRBs make an independent determination to approve, require modifications in, or disapprove research protocols based on whether human subjects are adequately protected, as required by federal regulations and local institutional policy.

Interactive research project grant (IRPG)

An award made to two or more investigators funded independently as R01 grantees but brought together as a collaborative group receiving additional support for collaborative work, shared resources, or the exchange of ideas.

Interagency Edison -- see Edison

Intramural research

Research conducted by, or in support of, employees of the NIH.

Investigator-initiated research

Research funded as a result of an investigator, on his or her own, submitting a research application. Also known as unsolicited research. Unsolicited applications are reviewed by chartered CSR review committees. See also its opposite: Targeted research.

IRG - Initial review group - formerly used term. See Scientific review group.

The first level of a two-stage peer review system.  Legislatively mandated panels of subject matter experts are established according to scientific discipline or medical specialty.  Their primary function is the review and rating of research grant applications for scientific and technical merit.  They make recommendations for the appropriate level of support and duration of award.

IRB -- see Institutional review board.

IRPG -- see Interactive research project grant.

Just in time

A reinvention innovation in which applicants send some information to NIH only if an award is likely, streamlining the application process.

Key personnel

Individuals who contribute in a substantive way to the scientific development or execution of a project, whether or not they receive compensation from the grant supporting that project.   The principal investigator and collaborators are included in this category.

MARC -- see Minority Access to Research Careers.

Matching or cost sharing

The value of thrid party in-kind contributions and the portion of the costs of a federally assisted project of program not borne by the Federal Government.

Material transfer agreement

A legal document that defines the conditions under which research or other materials can be transferred and used among research laboratories.

MBRS -- see Minority Biomedical Research Support.

Mechanism -- see Activity code.

MEDLINE

National Library of Medicine's database for scientific publications. Web address: http://www.nlm.nih.gov/medlineplus/

Minority Access to Research Careers (MARC)

A program to provide special research training opportunities in the biomedical sciences for students and faculty at 4-year colleges and health professional schools in which substantial student enrollments are from minority groups.

Minority Biomedical Research Support (MBRS)

A program to strengthen the biomedical research and research training capability of ethnic minority institutions.  The intent is to increase the involvement of minority faculty and students in biomedical research.

Modified Summary Statement

Former term for a summary statement containing reviewer critiques, which is now standard practice.  See Summary statement.

Modular Application

A type of grant application in which support is requested in specified increments without the need for detailed supporting information related to separate budget categories.   When modular procedures apply, they affect not only application preparation but also review, award, and administration of the application/award.  Web address: http://grants.nih.gov/grants/funding/modular/modular.htm

Monitoring

A process whereby the programmatic and business management performance aspects of a grant are reviewed by assessing information gathered from various required reports, audits, site visits, and other sources.

MTA -- see Material transfer agreement.

National Research Service Award (NRSA)

Awards to both individuals and institutions to provide research training in specified health-related areas.

New application (award, grant)

Refers to an application not previously proposed, or one that has not received prior funding.  Also known as a Type 1.

NIH  (National Institutes of Health)

A Federal agency, whose mission is to improve the health of the people of the United States.  NIH is part of the PHS, which is part of the U.S. DHHS.

NIH/OD  National Institutes of Health, Office of the Director

Noncompeting Continuation

A year of continued support for a funded grant.  Progress reports for continued support do not undergo peer review, but are administratively reviewed by the Institute/Center and receive an award based on prior award commitments.  Also known as a Type 5.

Noncompeting grant

An ongoing grant whose award is contingent on the completion of a progress report as the condition for the release of money for the following year.

Not recommended for further consideration (NRFC)

A judgment made by a scientific review group for applications when the merit of the proposed research is not significant and substantial enough to warrant a further review. The study section does not recommend funding; the application cannot be funded by an institute.

Notice of grant award

The legally binding document that notifies the grantee and others that an award has been made, contains or references all terms and conditions of the award, and documents the obligation of Federal funds.  The award notice may be in letter format and may be issued electronically.

NRFC -- see Not recommended for further consideration.

NRSA -- see National Research Service Award

Obligation -- Data based on NIH funds that have been awarded by an NIH Institute/Center.

OER -- Office of Extramural Research, Office of the Director, NIH.

Offeror

A contracting term denoting an applicant responding to an RFP.

Office of Management and Budget (OMB) circulars

Listing of OMB Circulars. Web address: http://www.whitehouse.gov/omb/circulars/

OLAW -- Office of Laboratory Animal Welfare.

Organization

A generic term used to refer to an educational institution or other entity, including an individual, which receives and/or applies for an NIH grant or cooperative agreement.

Other Research Grants

Research grants not classified as research projects or research centers.

PA -- see Program announcement.

PAR - Program announcement reviewed in an institute.

PAS - Program announcement with set-aside funds.

Payline

A percentile-based funding cutoff point determined at the beginning of the fiscal year by balancing the projected number of applications coming to an NIH Institute with the amount of funds available.

Peer review

A system for evaluating research applications that uses reviewers who are the professional equals of the applicant. See also Dual review system.

Peer review criteria -- see Initial peer review criteria.

Percentile rank

A ranking that represents the relative position of each priority score among the scores assigned by a scientific review group at its last three meetings. The lower the numerical value of the percentile score the better. The range is from .5 to 99.5.

PHS (U.S. Public Health Service)  A component of the U.S. DHHS.  The NIH is the largest agency within the PHS.

PHS Policy on Humane Care and Use of Laboratory Animals

Compliance with PHS Policy is a term and condition of all PHS awards involving live, vertebrate animals.

Preapplication

A statement in summary form of the intent of the applicant to request funds. It is used to determine the applicant's eligibility and how well the project can compete with other applications and eliminate proposals for which there is little or no chance for funding.

President's budget

The annual budget request submitted to Congress by the U.S. President. The process begins with NIAID's budget request, which, as part of the NIH budget request, is modified by the Office of Management and Budget.

Principal investigator/Program Director/Project Director

An individual designated by the grantee to direct the project or activity being supported by the grant.  He or she is responsible for the scientific and technical direction of a project, the day-to-day management of the project or program, and is accountable to the grantee for the proper conduct of the project or activity.

Priority score

A number assigned to an application by an Initial Review Group (IRG).  The score is a quantitative indicator of perceived scientific and technical merit that ranges from 100 to 500.  Individual IRG members assign scores from 1.0 (highest merit) to 5.0 (lowest merit).  Votes are cast in 0.1 intervals.  The priority scores are the average of member votes multiplied by 100.

Privacy Act

A law that protects against needless collection or release of personal data.  Records maintained by NIH with respect to grant applications, grant awards and the administration of grants are subject to the provisions of the Privacy Act.

Procurement

The acquisition of property or services for the direct benefit or use of the government, generally via a contract.

Program announcement

An announcement by an NIH institute or center requesting applications in the stated scientific areas. Generally, money is not set aside to pay for them. However in spring 1996, NIAID instituted a policy through which some applications responding to a program announcement with percentiles beyond the payline will be funded. PAs are published in the NIH Guide for Grants and Contracts. For more information, see Stimulating Research With Program Announcements and Program Announcement Shift - Questions and Answers and Initiatives for lists of current PAs.

Program balance

The need to balance an institute's support of research in all its programmatic areas with its high-quality applications eligible for funding.

Program income

Gross income earned by a grantee that is directly generated by the grant-supported project or activity or earned as a result of the award.

Program official

The NIH official responsible for the programmatic, scientific, and/or technical aspects of a grant.

Programmatic reduction

The dollar amount a grant award is reduced from the amount recommended by the study section (scientific review group). This is done so institutes can maintain a sufficient number of grants in their portfolio and to combat inflation of grant costs.

Project officer

An Institute staff member who coordinates the substantive aspects of a contract from planning the request for proposal to oversight.

Project period

The total time for which support of a project has been recommended (usually no more than 5 years), consisting of one or more budget periods. Competing extensions of a project period are subject to peer review, reevaluation of the activity, and recompetition for available funds.

R&D; Contract

A funding mechanism by which the NIH procures specific services.  These are negotiated contracts which may be funded from intramural or extramural accounts.  Excluded are inter/intra-agency agreements (Y01 and Y02), resource and support contracts (N02), and station support contracts (N03).

Rating criteria -- see Initial peer review criteria

Rebuttal

A procedure for contesting the peer review of a grant application. See article on page 7 of the September 1997 Council issue of NIAID Council News for more information. Synonymous with appeal.

Receipt, referral, and assignment of applications

The routing of applications arriving at NIH. The referral section of CSR is the central receipt point for competing applications. CSR referral officers assign each application to an institute and refer it to a scientific review group, notifying applicants of these assignments by mail. Alternatively, NIH encourages applicants to self assign. For more information, scroll down after clicking on Requesting Assignment for Your Application.

Recommended

A designation given by a study section advising that an application be funded. The application gets a priority score and summary statement. Roughly the top half of applications being reviewed are recommended for funding.

Recommended levels of future support

Funding level recommended for each future year approved by the scientific review group, subject to availability of funds and scientific progress.

Recompeting (a.k.a. type 2, competing continuation application, renewal)

A grant whose term (e.g., four years) is over and for which the applicant is again seeking NIH support.

Renewal -- see Competing Continuation and Application Type 2.

Request for application (RFA)

The official statement that invites grant or cooperative agreement applications to accomplish a specific program purpose.  RFAs indicate the amount of funds set aside for the competition and generally identify a single application receipt date.

Request for proposals (RFP)

Announces that NIH would like to award a contract to meet a specific need, such as the development of an animal model. RFPs have a single application receipt date and are published in the NIH Guide for Grants and Contracts.

Research Centers

Grants that support multidisciplinary, long-term research and development programs at research centers.  Research centers usually have a clinical orientation and include all P activities (excluding NLM for all years and NINR for FY 1986) that are not included in research projects (R); M01 activities; selected U activities (U41, U42, U54); R07 and G12.

Research Grants -- Extramural awards made for Other Research Grants, Research Centers, Research Projects, and SBIR/STTRs.   Includes activities in the R,P,M,S,K,U series and D42, G12.

Research Misconduct

Fabrication, falsification, or plagiarism in proposing, performing, or reporting research, or in reporting research results.  Fabrication is making up data or results and recording or reporting them.   Falsification is manipulating research materials, equipment, or processes, or changing or omitting data or results such that research is not accurately represented in the research record.   Plagiarism is the appropriation of another person's ideas, processes, results, or words without giving appropriate credit.  The term does not include honest error or honest differences of opinion.

Research portfolio

The cohort of grants supported by a given NIH organization.

Research Projects are primarily investigator-initiated, basic scientific research.

Activity codes for research projects are as follows: R01, R03, R15, R21, R22, R23, R29, R33, R35, R37, R55, RC1, P01, P42, U01, U19, UC1 and NIGMS P41.
Exceptions:

• In 1980 & 1981 activity code, U01 was not a research project
• From 1989 until 1992 activity code, R55 was not a research project
• In 1986 NINR did not have any research projects
• From 1984 until 1989 NCRR did not have any research projects
• FIC did not have any research projects until 1994
• From 1991 until 1996 NCRR did not consider R21's research projects
• NLM never had any research projects
• In FY 2002, P41s not RPG for GM.

Resubmission

Sending NIH an application for initial peer review after it has been reviewed by a study section and revised by the applicant. Each resubmission is given a code, e.g., A1, A2. NIH limits you to two resubmissions.

Review cycle

Refers to the Center for Scientific Review's thrice yearly initial peer review cycle, from the receipt of applications to the date of the review. See Standard Receipt Dates.

RFA -- see Request for application.

RFP -- see Request for proposals.

RPG (Research project grant) -- see Research Projects

SBIR -- see Small Business Innovation Research.

Scientific review administrator (SRA)

A federal scientist who presides over a scientific review group and is responsible for coordinating and reporting the eview of each application assigned to it. The SRA serves as an intermediary between the applicant and reviewers and prepares summary statements for all applications reviewed.

Scientific review group (SRG), formerly called initial review group; a.k.a. study section

A chartered committee that performs the first level of peer review; now generally called a scientific review group (also known as a study section). See also Dual review system.

Scored

In the Center for Scientific Review (CSR) peer review process, applications that are judged by a study section to be competitive, i.e., generally in the upper half of the applications reviewed.  These applications are assigned a priority score and forwarded to the appropriate Institute/Center for the second level of review.

Selective pay

The funding of a small number of programmatically important applications at the margin of the payline as recommended by Council.

Set aside

Money taken out of the budget for a specific purpose, for example, to fund a congressionally mandated program.

Small Business Innovation Research (SBIR)

An award designed to support projects from small businesses that may ultimately have commercial viability.   For the computation of success rates, SBIR awards are not included in the count of RPGs.  Web address: http://grants.nih.gov/grants/funding/sbir.htm

Small Business Technology Transfer (STTR)

A 3-year pilot program begun in FY 1994 under the Small Business Innovation Research Program, that is designed to foster technological innovations through cooperative efforts between small business and research institutions.  The STTR grants are awarded for projects that have potential for commercialization.  For the computation of success rates, STTR awards are not included in the count of RPGs.  Web address: http://grants.nih.gov/grants/funding/sbir.htm

Source selection

A contracting term denoting the review process by which a contractor is selected.

SOW -- see Statement of work.

SRA -- see Scientific review administrator.

Statement of work (SOW)

In a contract proposal, the detailed description of the work to be performed under the contract.

Stipend

A payment made to an individual under a fellowship or training grant in accordance with pre-established levels to provide for the individual's living expenses during the period of training.   A stipend is not considered compensation for the services expected of an employee.

Streamlined review (formerly triage)

In the CSR peer review process, applications that are judged by a study section to be in the lower half of the applications evaluated in a given review round.  These applications are generally not reviewed during the study section meeting, but returned to the applicant with the assigned reviewers' written comments.

STTR -- see Small Business Technology Transfer.

Study section -- An IRG that is within the Center for Scientific Review.

Success rate

Indicates the percentage of reviewed RPG applications that receive funding computed on a fiscal year basis.  It is determined by dividing the number of competing applications funded, by the sum of the total number of competing applications reviewed and the number of funded carryovers.  Note that applications that have one or more amendments in the same fiscal year are only counted once.  Success rate computations exclude SBIR/STTRs.

Success Rate Base

The basis for computing the RPG success rate.  It includes the total number of competing applications reviewed (the number of applications subjected to a streamlined review process).  Also known as Rate Base.

Summary statement

An official document showing the outcome of initial peer review, containing priority score and percentile, codes for various areas of concern (e.g., human subject research), and recommended budget. Summary statements generally have a short synopsis of the project prepared by the scientific review administrator and reviewer critiques. When special review criteria are used, the critiques are synthesized by the scientific review administrator.

Supplement

A request for additional funds either for the current operating year or for any future year recommended previously.  Also known as a Type 3 application or award, a supplement can be either noncompeting (administrative) or competing (subject to peer review).

Suspension

Temporary withdrawal of a grantee's authority to obligate grant funds, pending either corrective action by the grantee, as specified by NIH, or a decision by NIH to terminate the award.

Targeted research

Research funded as a result of an institute set aside of dollars for a specific scientific area. Institutes solicit applications using research initiatives (RFAs for grants, RFPs for contracts). Targeted research applications are reviewed by chartered peer review committees within institutes. See also the opposite: Investigator-initiated research.

Termination

Permanent withdrawal by NIH of a grantee's authority to obligate previously awarded grant funds before that authority would otherwise expire, including the voluntary relinquishment of that authority by the grantee.

Terms and Conditions of Award

All legal requirements imposed on a grant by NIH, whether based on statue, regulation, policy, or other document referenced in the grant award, or specified by the grant award document itself.   The Notice of Grant Award may include both standard and special conditions that are considered necessary to attain the grant's objectives, facilitate postaward administration of the grant, conserve grant funds, or otherwise protect the Federal Government's interests.

Total Project Costs

The total allowable costs (both direct costs and facilities and administrative costs) incurred by the grantee to carry out a grant-supported project or activity.  Total project costs include costs charged to the NIH grant and costs borne by the grantee to satisfy a matching or cost-sharing requirement.

Traditional Research Project Award (R01)

Supports discrete, specified, circumscribed projects to be performed by named investigators in areas representing their specific interest and competencies.

Training Awards

Awards designed to support the research training of scientists for careers in the biomedical and behavioral sciences, as well as help professional schools to establish, expand, or improve programs of continuing professional education.  Training awards consist of institutional training grants (T) and individual fellowships (F).  (Also Fellowship.)  NIH Research Training Opportunities Web address: http://grants.nih.gov/training/

Triage -- see Streamlined review.

Type -- see Application types.

Unscored

In the Center for Scientific Review peer review process, applications that are judged by a study section to be noncompetitive, that is generally in the lower half of the applications to be reviewed.  These applications are not given a priority score, although they are reviewed and applicants receive a summary statement.  Between FY 1992 and FY 1995 the term "Not Recommended for Further Consideration" (NRFC) referred to noncompetitive applications.

Unsolicited research -- see Investigator-initiated research.

Withholding of support

A decision by NIH not to make a noncompeting continuation award within the current competitive segment.