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The following terms are frequently encountered in awarding and administering PHS grants and are used throughout this document. Other policy-specific terms are defined in appropriate sections of this publication.
Application--A request for financial support of a project/activity, submitted to PHS on specified forms and in accordance with instructions provided by the PHS awarding office (see section 3).
New Application--A request for financial or direct assistance for a project or program not currently receiving PHS financial assistance.
Noncompeting Continuation Application--A request for financial or direct assistance for a second or subsequent budget period within a previously approved project period (see "Project Period").
Competing Continuation Application--A request for financial or direct assistance to extend, for one or more additional budget periods, a project period that would otherwise expire. Competing continuation applications compete with other competing continuation, competing supplemental, and new applications for funds.
Supplemental Application--A request for an increase in support during a current budget period for expansion of the project's scope or research protocol or to meet increased administrative costs unforeseen at the time of the new, noncompeting continuation, or competing continuation application.
Approved Budget--The financial expenditure plan, including any revisions approved by the awarding party for the grant-supported project or activity. The approved budget consists of Federal (grant) funds and non-Federal participation, or Federal funds only, and will be specified on the Notice of Grant Award and on any subsequent revised or amended award notice. Any expenditures charged to an approved budget that consists of both Federal and non-Federal shares are deemed to be borne by the grantee in the same proportion as the percentage of Federal/non-Federal participation in the overall budget.
Award--The provision of funds or direct assistance in lieu of funds based on an approved application and budget to provide general financial assistance to an organization or an individual to carry out an activity or program.
Budget Period--The interval of time (usually 12 months) into which the project period is divided for budgetary and funding purposes.
Competitive Segment--The initial project period recommended for support (1 to 5 years) or each extension of the prior project resulting from the award of a competing continuation grant.
Contracting Under a Grant--A process whereby a grantee enters into a written agreement with a third party for the acquisition of property or services or the conduct of prescribed activities or functions under the grant.
Cooperative Agreement--A financial assistance mechanism to be used in lieu of a grant when substantial Federal programmatic involvement with the recipient during performance is anticipated by the PHS awarding office (see "Grant").
Direct Assistance--A financial assistance mechanism whereby goods or services are provided to recipients in lieu of cash. Direct assistance generally involves the assignment of Federal personnel or the provision of equipment or supplies such as vaccines.
Direct Costs--Costs that can be specifically identified with a particular project or program.
Equipment--For grantees subject to 45 CFR Part 74, an article of tangible personal property that has a useful life of more than 2 years and an acquisition cost of $500 of more. For grantees subject to 45 CFR Part 92, an article of tangible, nonexpendable, personal property having a useful life of more than 1 year and an acquisition cost of $5,000 or more per unit.
Expiration Date--The date signifying the end of the current budget period, as indicated on the Notice of Grant Award, after which the grantee does not have authority to obligate grant funds.
Federal Financial Assistance--Transfer of money, property, or other direct assistance (see above) to an eligible recipient to support or stimulate a public purpose authorized by statute.
Federal Institution--A Cabinet-level department or independent agency of the Executive Branch of the Federal Government or any component organization of such a department or agency. Howard University and Gallaudet University are not considered Federal institutions under this definition. See appendix 5 for special requirements applicable to Federal grantees.
Federally Recognized Indian Tribal Government--See 45 CFR Part 92.3.
Foreign Institution--An institution located in a country other than the United States and its territories which is subject to the laws of that country, regardless of the citizenship of the proposed investigator. See appendix 4 for special requirements applicable to foreign and international grantees.
Grant--A financial assistance mechanism whereby money and/or direct assistance is provided to carry out approved activities. A grant (as opposed to a cooperative agreement) is to be used whenever the PHS awarding office anticipates no substantial programmatic involvement with the recipient during performance of the financially assisted activities. Grants can be classified on the basis of type of activity(ies) supported (research, training, service, etc.); degree of discretion allowed the awarding office (mandatory or discretionary); and/or method of determining amounts of award (negotiated basis or formula).
Grant-Approved Project/Activities--Those activities specified or described in a grant application, plan, or other document that are approved by the PHS awarding office for funding or changes subsequently approved by the PHS awarding office Grants Management Officer. For purposes of this definition, it does not matter whether Federal funding constitutes all or only a portion of the financial support necessary to carry out such activities.
Grantee--The organizational entity or individual to which a grant (or cooperative agreement) is awarded and which is responsible and accountable both 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 only a particular component is designated in the award document. See 45 CFR Part 74.3 and 45 CFR Part 92.3.
Grants Management Officer (GMO)--The PHS official responsible for the business management aspects of particular grants or cooperative agreements. The GMO serves as the counterpart to the business officer of the grantee organization. In this capacity, the GMO is responsible for all business management matters associated with the review, negotiation, award, and administration of grants and interprets grants administration policies and provisions. He or she works closely with the program or project officer who is responsible for the scientific, technical, and programmatic aspects of the grant (see "Program/Project Officer").
Indirect Costs--Costs that are incurred by a grantee organization for common or joint objectives and which therefore cannot be identified specifically with a particular project or program. Information on indirect costs may be obtained from the applicable Federal cost principles (see page 7-1).
International Organization--An organization that identifies itself as international or intergovernmental with membership from and representing interests of more than one country without regard to whether the headquarters of the organization and location of the activity are inside or outside of the United States.
Local Government--See 45 CFR Part 92.3.
Maintenance of Effort--A requirement contained in certain legislation, regulations, or administrative policies that a recipient must maintain a specified level of financial effort in the health area for which Federal funds will be provided in order to receive Federal grant funds. This requirement is usually given in terms of a previous base-year dollar amount.
Matching--Matching means the value of third-party in-kind contributions and the portion of the costs of a federally assisted project or program not borne by the Federal Government. Where matching is not required by law or regulation, matching may be administratively required by the PHS awarding office. Costs used to satisfy matching requirements are subject to the same policies governing allowability as other costs under the approved budget.
Misconduct in Science--Misconduct in science means fabrication, falsification, plagiarism, or other practices that seriously deviate from those that are commonly accepted within the scientific community for proposing, conducting, or reporting research. It does not include honest error or honest differences in interpretations or judgments of data.
Monitoring--A process whereby the programmatic and business management performance aspects of a grant are reviewed by assessing information gathered from various reports, audits, site visits, and other sources.
Noncompeting Extension--PHS approval of additional time not to exceed 12 months to any budget period, including the final budget period, of a previously approved project period. The extension may be made with or without additional funds. Notice of extension must be made through the issuance of a revised Notice of Grant Award.
Nongovernmental Organization--A public or private institution of higher education, a public or private hospital, an Indian tribe or an Indian tribal organization that is not a federally recognized Indian tribal government, a quasi-public or private nonprofit organization, or a commercial organization. The term does not apply to an individual, Federal agency, foreign or international organization (such as an agency of the United Nations), Government-owned contractor-operated facility, or research center providing continued support for mission-oriented large-scale programs that are Government owned or controlled or are developed as federally funded Research and Development Centers under Office of Federal Procurement Policy Letter 84-1.
Notice of Grant Award--The legally binding document that notifies the recipient and others that a grant or cooperative agreement has been made, contains or references all terms of the award, and documents the obligation of Federal funds in the HHS accounting system.
PHS Awarding Office--The office responsible for the award, administration, and monitoring of grant-supported activities. The designated Grants Management Officer and program officer are representatives of this office. The use of this term throughout this document as a point of contact and the focal point for requesting necessary prior approvals refers specifically to the Grants Management Officer.
PHS Prior Approval--In a number of policy areas, written prior approval from the PHS awarding office is required before certain activities may be undertaken, funds expended, or the cost of actions may exceed a certain dollar level. These requirements are specified in this policy statement or appear in documents included or referenced herein.
Where prior approval is needed, it must be obtained by the grantee institution in writing from the Grants Management Officer. All references in this document to PHS prior approval, therefore, mean written approval from the Grants Management Officer.
For subgrants and contracts awarded by grantees, the prior approval authority is usually the grantee. However, the grantee may not approve any action or cost which is inconsistent with the purpose or terms of the Federal grant. If an action by a subgrantee or contractor will result in a change in the overall grant project or budget requiring granting agency approval, the grantee shall obtain that approval from PHS before giving its approval to the subgrantee or contractor. In a few instances, PHS must grant prior approval for activities or actions taken by subgrantees and contractors under grants.
Program--A coherent assembly of plans, project activities, and supporting resources contained within an administrative framework, whose purpose is to implement an organization's mission or some specific program-related aspect of that mission. For purposes of this policy statement, a PHS financial assistance program refers to a program that carries out its mission by supporting activities in other organizations through the grant or cooperative agreement mechanism.
Program Director/Project Director/Principal Investigator--An individual designated by the recipient to direct the project or program being supported by the grant. He or she is responsible and accountable to recipient organization officials for the proper conduct of the project or program. The organization is, in turn, legally responsible and accountable to PHS for the performance and financial aspects of the grant-supported activity.
Program Income--See 45 CFR Parts 74.41 and 92.25.
Program/Project Officer--The PHS awarding office official who is responsible for the technical, scientific, or programmatic aspects of a grant. Such individuals deal with grantee organization staff to assure programmatic progress and work closely with the PHS Grants Management Officer and grants management staff in the overall administration of grants.
Project Period--The total time for which support of a discretionary project has been programmatically approved. A project period may consist of one or more budget periods. The total project period comprises the original project period and any extensions.
Public Health Service--The organization primarily responsible for supporting the health-related activities of HHS. As used in this publication, references to PHS mean the PHS awarding offices (see "PHS Awarding Office").
Real Property--See 45 CFR Parts 74.132 and 92.3.
Recipient--The grantee or, where subgrants are authorized by law, the subgrantee that receives PHS financial assistance in the form of grants or cooperative agreements
State Government--The governments of any of the several States of the United States, the District of Columbia, the Commonwealth of Puerto Rico, any territory or possession of the United States, or any agency or instrumentality of a State exclusive of local governments. For purposes of PHS grants, federally recognized Indian tribes are treated the same way as State governments. State institutions of higher education and State hospitals are considered nongovernmental organizations for purposes of 45 CFR Parts 74 and 92 and this policy statement (see 45 CFR Parts 74.3 and 92.3).
Stipend--A payment made to an individual under a fellowship or training grant in accordance with preestablished levels to provide for the individual's living expenses during the period of training.
Subgrant--An award of financial assistance in the form of money or property made under a grant by a grantee to an eligible recipient called a subgrantee (see 45 CFR Parts 74.3 and 92.3).
Substantive Programmatic Work--The primary project activities for which grant support is provided and/or a significant portion of the activities to be conducted under the grant.
Suspension--Temporary withdrawal of the grantee's authority to obligate grant funds pending corrective action by the grantee as specified by PHS or a decision by PHS to terminate the grant (see 45 CFR Parts 74.110 and 92.3).
Termination--Permanent withdrawal 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 (see 45 CFR Parts 74.110 and 92.3).
Terms of Award--All legal requirements imposed on a grant by the Federal Government, whether by statute, regulation, or terms in the grant award document. Each Notice of Grant Award may include both standard and special provisions that are considered necessary to attain the objectives of the grant, facilitate postaward administration of the grant, conserve grant funds, or otherwise protect the Federal Government's interests.
Third-Party In-Kind Contributions--See 45 CFR Parts 74.51 and 92.3.
Total Project Costs--The total allowable costs incurred by the grantee institution to carry out an approved grant-supported project or activity, including costs charged to the PHS grant and costs contributed by the grantee as listed in the grant application or Notice of Grant Award and included in the Financial Status Report.
Withholding of Support--A decision by the awarding
office not to make a noncompeting continuation award within a
previously approved project period.