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Guidance - Terms Glossary

5% Budget Tol - Needs Approvl: Revisions to approved grant budget must be requested from the sponsor when changes result or are anticipated to result in spending in excess of either the total budget or any of the approved budget categories by more than 5 percent.


10% Budget Tol - Needs Approvl: Revisions to approved grant budget must be requested from the sponsor when changes result or are anticipated to result in spending in excess of either the total budget or any of the approved budget categories by more than 10 percent.


15% Budget Tol - Needs Approvl: Revisions to approved grant budget must be requested from the sponsor when changes result or are anticipated to result in spending in excess of either the total budget or any of the approved budget categories by more than 15 percent.


20% Budget Tol - Needs Approvl: Revisions to approved grant budget must be requested from the sponsor when changes result or are anticipated to result in spending in excess of either the total budget or any of the approved budget categories by more than 20 percent.


25% Budget Tol - Needs Approvl: Revisions to approved grant budget must be requested from the sponsor when changes result or are anticipated to result in spending in excess of either the total budget or any of the approved budget categories by more than 25 percent.


90 Day Pre-Award Spend Allwd: Can incur pre-award costs 90 calendar days prior to the award start date.


All Re-Budget Need Approval: Any deviation from original approved budget needs prior sponsor approval.


ARRA - Buy US Construction Mat'l: Section 1605 of the Recovery Act requires only US materials for construction, alteration, maintenance, or repair for public works or buildings.

Comment: Must be included with every ARRA funded award, along with any other applicable sponsor terms.


ARRA - Carry-over Provisions: ARRA funds cannot be carried over to non-ARRA funding segments. ARRA & non-ARRA funding cannot be mixed.

Comment: Must be included with every ARRA funded award, along with any other applicable sponsor terms.


ARRA - Fin'l Reports: Section 1512 of the Recovery Act requires reporting on ARRA funding expended or obligated.

Comments: Must be included with every ARRA funded award, along with any other applicable sponsor terms. RSP coordinates the submission of financial reports.


ARRA - Job Reports: Section 1512 of the Recovery Act requires reporting on estimated jobs created or retained.

Comments: Must be included with every ARRA funded award, along with any other applicable sponsor terms. RSP coordinates the submission of jobs reports.


ARRA - Pay Prevailing Wages: Section 1606 requires prevailing wages to be paid for ARRA funding.

Comment: Must be included with every ARRA funded award, along with any other applicable sponsor terms.


ARRA - Recovery Stimulus: Award funded through the American Recovery and Reinvestment Act of 2009

Comment: Must be included with every ARRA funded award, along with any other applicable sponsor terms.


Budget Toler Oth, Need Apprvl: The sponsor allows monetary expense re-budgeting, but requires that prior approval be obtained.

Comments: Should be used in the event that no other Budget Tolerance term is applicable, but prior sponsor approval is required. Example 1: Any deviation more than $500 needs prior sponsor approval. Example 2: REU Supplements require prior approval for any rebudgeting that includes participant support costs.


Carryover Automatic: The unobligated balance may be carried over to the next budget segment without prior sponsor approval.

Comments: Should be used when funds can be carried over from one budget period to the next without needing prior sponsor approval.

For NIH grants eligible for automatic carryover, Financial Status Reports must specify the amount to be carried over to the next budget period. The notification must be provided under item 12, "Remarks," on the FSR.


Carryover Needs Prior Approval: In order to carry over an unobligated balance, the PI must obtain prior approval from the sponsor.

Comments: Should be used when prior approval must be obtained for carryover. The PI should prepare a letter requesting the carryover. RSP must sign the request before it is submitted to the sponsor. Once the sponsor has approved the carryover request, the PI must ensure that RSP receives a copy of the approval.


Carryover Not Allowed: The unobligated balance cannot be carried over to the next budget segment.


Confidentiality: The University must keep in confidence proprietary or trade secret information.

Comment: Should be used whenever the agreement contains a confidentiality clause, regardless of the length of the time commitment to keep information confidential.


Cost Share Non-Payroll: Allowable sponsored project expenses as defined by OMB Circular A-21 and paid by the university, other than salaries and the associated fringe benefits.

Comments: Should be used in instances when the UW has made a commitment to the Sponsor that the UW would pay for a portion of the work, other than salary & the associated fringe, to complete the project. These can include:

  • The purchase of equipment acquired by the UW
  • Supplies
  • Travel
  • Tuition or tuition remission
  • F&A not earned on cost-shared direct expenses
  • Unrecovered F&A expenses due to a waived or lowered F&A rate for the sponsored agreement.

See cost sharing guidance at: http://www.rsp.wisc.edu/costsharing/


Cost Share Payroll: Salaries paid by the university, and the associated fringe benefits, for UW faculty and staff who devote effort to sponsored projects.

Comments: Should be used when the UW has made a payroll/salary commitment to the Sponsor, meaning the UW committed to pay a portion of an individual's salary while working on the project. Entry of this term should be made for both voluntary committed and mandatory payroll cost sharing. This is typically tracked using the SFS Payroll Cost Share extension in PeopleSoft. See cost sharing guidance at: http://www.rsp.wisc.edu/costsharing/


Cost Share Third Party: Expenses borne by a party external to the university, usually to meet a mandatory sponsor requirement. The third party may be a subawardee.

Comments: Should be used when the UW has made a commitment to the Sponsor that a third party entity would pay for a portion of the work to complete the project. The expenses can include:

  • Volunteer Services
  • Employee salaries and fringe benefits for non-UW personnel
  • Donated supplies
  • Donated space, buildings, or land
  • Donated or loaned equipment

See cost sharing guidance at: http://www.rsp.wisc.edu/costsharing/


Equip Exp - Needs Prior Approv: The UW must obtain prior written approval of the sponsor before project funds can be used to purchase or fabricate equipment that is new, is a replacement, or is additional equipment for use under the award.

Comments: Only awards that include this term are subject to the provision. For instructions on how to obtain such approval for DOE awards, see http://www.rsp.wisc.edu/awardmgt/doe.html


Equipment Title with Fed Gvt: The Federal Government will retain title to equipment purchased, manufactured, or acquired as Federal surplus under this award.

Comments: EVERY sponsored project must have an equipment title term entered. Should be used if the agreement is with a pass-through entity and the prime sponsor is the Federal Government, or if the agreement is directly with the Federal Government and the Federal Government retains title to the equipment.


Equipment Title with Sponsor: The Sponsor will retain title to equipment purchased or manufactured under this award.

Comments: EVERY sponsored project must have an equipment title term entered. Should be used when the agreement is between the UW and a sponsor directly (not a pass-through agreement) and the sponsor retains title to the equipment.


Equipment Title with UW: The UW will retain title to equipment purchased or manufactured under this agreement.

Comments: EVERY sponsored project must have an equipment title term entered. If the agreement does not specify out who should retain title to equipment, use Equipment Title with UW as the default.


E-Verify requirements apply: This is a Federal contract (or subcontract) subject to the E-Verify requirement (FAR 52.222-54). Every employee paid under the Federal contract must be verified in a Dept. of Homeland Security database.

Comments: Verification will be processed by Central Human Resources. For RSP tracking purposes, the financial file folder should have an E-Verify sticker in the upper right corner of the file and a neon E-Verify page inserted.


Expanded Authorities: OMB Circular A-110 permits granting agencies to waive certain "prior approval" restrictions and expand the postaward authority of grantee institutions to: (1) incur pre-award costs, (2) extend an assistance program, or (3) carry forward unobligated balances, unless specifically required by a Federal agency. This does not include carryforward between competitive segments of an award.

Comment: The terms and conditions of the award will indicate if Expanded Authorities apply.


FDP Demonstration: The Federal Demonstration Partnership (FDP) runs demonstration projects where the UW can gain additional administrative flexibility from the standard award conditions.

Comments: When the UW joins one of these pilots and receives an award that matches the pilot project's profile, this term should be selected and additional description of the allowable action should be entered in the comments.

Federal Demonstr Partnership: The Federal Demonstration Partnership (FDP) is a cooperative initiative among federal agencies and institutional recipients of federal funds. It was established to increase research productivity by streamlining the administrative process and minimizing the administrative burden on principal investigators while maintaining effective stewardship of federal funds.

Comments: More information is available at http://www.nsf.gov/awards/managing/fed_dem_part.jsp


Financial Restriction: The funding received has a specific purpose (e.g., travel or equipment) and is set up in a separate project/account identified for spending on this purpose only.


Institutional Cost Sharing: Cost sharing that is required by federal statute and satisfied in the aggregate across a number of awards, rather than with project-by-project commitments.

Comments: Should be used when an institutional cost-share commitment may be met through this award. This was typical of NSF awards made prior to June 1, 2007. See cost sharing guidance at: http://www.rsp.wisc.edu/costsharing/


Intellectual Property: Non-standard intellectual property terms apply to this agreement.

Comments: Include a reference to where these terms can be located in the agreement. Example: The sponsor has the right to negotiate a non-exclusive license.


Mandatory Cost Sharing: Mandatory cost sharing is required by the sponsor as a condition for proposal submission and award acceptance. A mandatory cost sharing requirement will be specified in the sponsor's published request for proposals. If the indicated level of cost sharing is not included in a proposal, the proposal will not receive consideration by the sponsor.

Comments: Should be used whenever the University has a mandatory cost sharing commitment (payroll, non-payroll, or third party). See cost sharing guidance at: http://www.rsp.wisc.edu/costsharing/


No Re-Budgeting Allowed: The sponsor does not allow any deviation from original approved budget.


Nonrefundable: An agreement between the University and the Sponsor provides for a set price and does not require a refund of the balance upon successful project completion.

Comments: Should be used when the UW may retain an unexpended balance after successful project completion, i.e., all terms and conditions met, all work has been completed, and a final project report has been submitted. The remaining funding will be moved to a discretionary fund upon request.


Other 1, 2 or 3: This is used when there is a term/condition of the award that is important, but no other code is available.

Examples: This NIH grant is excluded from the Streamlined Noncompeting Award Process (SNAP). Or, the department has purchased additional insurance coverage as part of the requirements under this award.


PaymentTiedProgRpt/Deliverable: Payment will not be made unless the technical report or deliverable is submitted.

Comments: Should be used when any payment is tied to submission of a technical report or deliverable by the PI to the sponsor. The explanation should specify the frequency of report submission.

Campus should communicate the submission of these deliverables to the appropriate RSP accountant.

Examples: Quarterly payment will be not be made until invoice and technical report are submitted to sponsor. Or, the sponsor will withhold 10% of the award until the final progress report is submitted.


Program Revenue Additive Metho: Program revenue is added to the budget - additional funds for spending.


Program Revenue Deductiv Metho: Program revenue is used to reduce funding.


Program Revenue Other Metho: See terms & conditions for prescribed method of handling program revenue.


Publications: The UW and its employees shall have the right, at their discretion, to release information or publish any writings or materials resulting from agreements. The UW may be asked to provide copy of such publications to the sponsor prior to publication for review and comment.

Comments: Should be inserted if the sponsor requires a review and comment period of longer than 30 days. Note that the maximum delay for review/comment and filing of patent paperwork should be no more than 90 days in total.


Publicity: If UW initiates advertising or publicity in which a sponsor is identified by name, UW may need to obtain written permission of the sponsor prior to releasing such advertising or publicity.

Comments: If prior written approval for advertising or publicity involving the Sponsor is required, this term should be used. The PRESS/Publicity term is only applicable to advertising, publicity, promotions, or products. Note also that UW may be required to disclose the existence or terms of an agreement.


Re-Budgeting Internal Approval: Any deviation from original approved budget does not need prior sponsor approval but may need approval by RSP staff.

Comments: Such a revision may require internal UW approval. If an award is made under FDP, then this term should be used, unless the budgetary change involves a 25% effort reduction or a subcontract with a foreign entity.


Record Retention: The award specifies an excessive period of time during which records are required to be maintained.

Comments: Should be used when the retention period required by the sponsor exceeds State requirements. For federal awards, State requirements are that non-fiscal records (awards, proposals, etc.) must be retained for three years after the date of submission of the financial report or close of grant. Fiscal records (ledgers, vouchers, etc.) must be kept for seven years (current fiscal year + six years). For non-federal awards, State requirements are all fiscal and non-fiscal records must be maintained for seven years after the close of grant. See the following link for more information: http://www.uwsa.edu/gc- off/records/schedules/UWS.Fiscal.Accounting.General.Schedule.Spreadsheet.FINAL.2008.pdf


Refund of Unexpended Balances: For awards where pre-payment of any amount is made to the UW and any unexpended funds must be returned to Sponsor.

Comments: Should be used when a refund is specified in the award terms or sponsor guidelines.


Research Terms & Conditions: The FDP terms have been extended and renamed the Research Terms and Conditions. This is a set of standard administrative terms and conditions that can be used by research agencies on research and research-related awards that are subject to OMB A-110.

Comments: Research Terms and Conditions are available at: http://www.nsf.gov/awards/managing/rtc.jsp. Should be used when awards invoke this set of terms.


RSPRespClinicalTrialBilling: RSP Post-Award Accountant is responsible for invoicing sponsor for the clinical trial.

Comments: Should be used when RSP must submit invoices for clinical trial agreements. Typically, departments are responsible for sending invoices to sponsor as patients are enrolled in clinical trials. For select clinical trials, for instance, CTAs for the Dept. of Biostatistics, RSP is responsible for sending the sponsor invoices based on a pre-determined schedule. To have RSP billing sponsors for CTAs is the rare exception, not the rule.


Special Invoice Instructions: The sponsor requires documentation beyond one of the UW's standard invoice formats.

Comments: Should be used when the sponsor needs something in addition to UW's standard invoice. This may be the sponsor's invoice form, supporting documentation, etc. RSP Post- Award may need to obtain such detailed information from the department.


Streamlined Non-Competed Awd: NIH grant awards may be subject to Streamlined Non-Competing Award Process (SNAP). SNAP includes a number of provisions that modify annual progress reports, Notices of Award, and financial reports. A SNAP progress report (submitted in the eSNAP module of the eRA Commons) is a streamlined version of the annual progress report requirements and is due no later than 45 days before the next budget start date. RSP submits an FFR only at the end of a competitive segment rather than annually. RSP is also required to submit a quarterly FFR to PMS to report cash transaction data.

Comments: Should be used when the NIH Notice of Award explicitly states that the grant is subject to SNAP. Additional guidance can be found at: http://www.rsp.wisc.edu/fednih.html and http://era.nih.gov/services_for_applicants/reports_and_closeout/esnap.cfm and section 8.4.1.2 of the NIH Grants Policy Statement (10/10).


Termination Notice Required: This means that if the Sponsor or UW wishes to terminate the award, advance notice is required.

Comments: This term should be used when advance written notice does not comply with terms of UW's Standard Research Agreement.

Example: Aurora Health Care requires a 30-day written notice to terminate the agreement.


Time Extension Not Allowed: Time extension or additional time is not allowed.

Comments: This means that the period of performance will not be granted an extension. All work must be completed by the agreed upon end date.


Travel Restricted: Written pre-approval from the sponsor required for travel or other possible limits on travel. See terms & conditions for specific requirements.

Comments: Include a reference to where these terms can be located in the agreement.


Unallowable Exp DomesticTravel: This means that award funds cannot be used for any travel expenses within the US.


Unallowable Exp - Equipment: This means that award funds cannot be used to purchase any equipment.

Comments: EVERY sponsored project must have an equipment title term entered.


Unallowable Exp Foreign Travel: This means that award funds cannot be used for any foreign travel expenses.

Example: American Heart Association does not allow any travel outside the U.S., Canada, and Mexico.


Unallowable Exp - Fringe: This means that award funds cannot be used to pay fringe benefits for individuals working on the project.

Example: Research Corporation does not allow fringe to be charged to its awards; only FICA and Medicare of 7.65% for graduate/undergraduate stipends is allowed.


Unallowable Exp - Other: This means that award funds cannot be used for other specific items not otherwise listed as an option.

Comments: On Federal awards, OMB Circular A-21 is the standard for allowable expenses on awards. If other categories or items above A-21 are included, they should be listed here.

Examples: American Heart Association does not allow membership fees, personnel recruitment, payments for visas, books, or construction of buildings to be charged to their awards.

American Cancer Society does not allow tuition, secretarial or administrative salaries, membership fees, or office and laboratory furniture to be charged to their awards.


Unallowable Expd - Tuition Rem: This means that award funds cannot be used for Tuition Remission.

Example: American Heart Association does not allow tuition costs on awards.