Glossary

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F

Facilities and Administrative (F&A) Costs (or indirect costs)

Necessary costs incurred by a recipient for a common or joint purpose benefitting more than one cost objective, and not readily assignable to the cost objectives specifically benefitted, without effort disproportionate to the results achieved. To facilitate equitable distribution of indirect expenses to the cost objectives served, it may be necessary to establish a number of pools of F&A (indirect) costs. F&A (indirect) cost pools must be distributed to benefitted cost objectives on bases that will produce an equitable result in consideration of relative benefits derived. (See NIH Grants Policy Statement 7.3 Direct Costs and Facilities and Administrative Costs)

Faculty- or Student-owned Entity

A small business concern (SBC) that is at least 51% owned and controlled by one or more individuals that, at time of application, is either a faculty member or a student of an institution of higher education as defined in 20 U.S.C. §1001.

Fast Track

The simultaneous submission and concurrent review of a combined Phase I/Phase II SBIR or STTR grant application. This option is intended to reduce/eliminate the funding gap between SBIR/STTR Phase I and Phase II projects.

Federal Acquisition Regulations (FAR)

Laws regulating government contracting. Go to FAR.

Federal Advisory Committee Act (FACA)

A law enacted in 1972 to ensure that advice by the various advisory committees formed over the years is objective and accessible to the public.

Federal Agency

An "agency'' as defined at 5 U.S.C. 551(1) and further clarified by 5 U.S.C. 552(f).

Federal Audit Clearinghouse (FAC)

The clearinghouse designated by OMB as the repository of record where non-Federal entities are required to transmit the reporting packages required by Subpart F-Audit Requirements of 2 CFR 200. The mailing address of the FAC is Federal Audit Clearinghouse, Bureau of the Census, 1201 E. 10th Street, Jeffersonville, IN 47132 and the web address is: http://harvester.census.gov/sac/. Any future updates to the location of the FAC may be found at the OMB Web site.

Federal Award

Depending on the context, in either paragraph (1) or (2) of this section:
(1)(i) The Federal financial assistance that a non-Federal entity receives directly from a Federal awarding agency or indirectly from a pass-through entity, as described in 45 CFR 75.101; or


(ii) The cost-reimbursement contract under the Federal Acquisition Regulations that a non-Federal entity receives directly from a Federal awarding agency or indirectly from a pass-through entity, as described in 45 CFR 75.101.


(2) The instrument setting forth the terms and conditions. The instrument is the grant agreement, cooperative agreement, other agreement for assistance covered in paragraph (2) of Federal financial assistance, or the cost-reimbursement contract awarded under the Federal Acquisition Regulations.


(3) Federal award does not include other contracts that a Federal agency uses to buy goods or services from a contractor or a contract to operate Federal government owned, contractor operated facilities (GOCOs).

(4) See also definitions of Federal financial assistance, grant agreement, and cooperative agreement.

Federal Award Date

The date when the Federal award is signed by the authorized official of the Federal awarding agency.

Federal Award Identification Number

A unique number assigned to a financial assistance award to assist recipients in correctly reporting subawards. The public can use the FAIN and the CFDA number together to find one accurate result when searching on line in such databases as USASpending.gov and FSRS. The FAIN can be found on the notice of award. NIH implements the FAIN by deriving it from the core elements of the grant number. For example, the FAIN for 1R0lGM654321-01 would be R01GM654321.

Federal Awarding Agency

The Federal agency that provides a Federal award directly to another entity. See also Awarding IC.

Federal Demonstration Partnership (FDP)

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

Federal Financial Assistance

(1) For grants and cooperative agreements, Federal financial assistance means assistance that non-Federal entities receive or administer in the form of:

(i) Grants;

(ii) Cooperative agreements;

(iii) Non-cash contributions or donations of property (including donated surplus property);

(iv) Direct appropriations;

(v) Food commodities; and

(vi) Other financial assistance (except assistance listed in paragraph (b) of this section).

(2) For Subpart F of 45 CFR 75, Federal financial assistance also includes assistance that non-Federal entities receive or administer in the form of:

(i) Loans;

(ii) Loan Guarantees;

(iii) Interest subsidies; and

(iv) Insurance.

(3) Federal financial assistance does not include amounts received as reimbursement for services rendered to individuals as described in 45 CFR 75.502(h) and (i).

Federal Financial Report (FFR)

The Federal Financial Report (SF425) is a single form consolidating the collection of financial information previously collected on the Cash Transaction Report (SF 272 and the Financial Status Report (SF269). NIH grantees now required to submit all required expenditure reports using the FFR. Further all FFR expenditure reports must be submitted to NIH electronically through the eRA Commons.

Federal Funding Accountability and Transparency Act (Transparency Act)

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. For the purposes of this document, this term is used in the context of a Federal institution as a recipient. See also Awarding IC.

Federal Interest

For purposes 45 CFR 75.343 or when used in connection with the acquisition or improvement of real property, equipment, or supplies under a Federal award, the dollar amount that is the product of the: (1) Federal share of total project costs; and (2) Current fair market value of the property, improvements, or both, to the extent the costs of acquiring or improving the property were included as project costs.

Federal Laboratory

As defined in 15 U.S.C. §3703, means any laboratory, any federally funded research and development center, or any center established under 15 U.S.C. §§ 3705 & 3707 that is owned, leased, or otherwise used by a Federal agency and funded by the Federal Government, whether operated by the Government or by a contractor.

Federal Program

(1) All Federal awards which are assigned a single number in the CFDA.

(2) When no CFDA number is assigned, all Federal awards to non- Federal entities from the same agency made for the same purpose should be combined and considered one program.

(3) Notwithstanding paragraphs (1) and (2) of this definition, a cluster of programs.

The types of clusters of programs are:

(i) Research and development (R&D);

(ii) Student financial aid (SFA); and

(iii) "Other clusters,'' as described in the definition of Cluster of Programs.

Federal Register

An official, daily publication communicating proposed and final regulations and legal notices issued by federal agencies, including announcements of the availability of funds for financial assistance. Go to Federal Register.

Federal Share

The portion of the total project costs that are paid by Federal funds.

Federal Technology Transfer Act (FTTA)

Authorizes Government Agencies to enter into CRADAs with private companies.

Federal-Wide Assurance (FWA)

The Federal-Wide Assurance is the only type of new assurance of compliance accepted and approved by OHRP for institutions engaged in non-exempt human subjects research conducted or supported by HHS. Under a FWA, an institution commits to HHS that it will comply with the requirements set forth in 45 CFR 46, as well as the terms of assurance.

Final Peer-reviewed Manuscript

The author's final manuscript of a peer-reviewed article accepted for journal publication, including all modifications from the peer review process.

Final Proposal Revision (FPR)

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

Final Published Article

The journal's authoritative copy of the article, including all modifications from the publishing peer review process, copyediting and stylistic edits, and formatting changes.

Financial Assistance

Transfer by NIH of money or property to an eligible entity to support or stimulate a public purpose authorized by statute.

Financial Conflict of Interest

A financial conflict of interest exists when the recipient's designated official(s) reasonably determines that an investigator's significant financial interest could directly and significantly affect the design, conduct, or reporting of the PHS-funded research. See 42 CFR 50, Subpart F, Responsibility of Applicants for Promoting Objectivity in Research for which PHS funding is sought and NIH Grants Policy Statement: 4.1 Public Policy Requirements and Objectives 4.1.10 Financial Conflict of Interest.

Financial Management Plan

A Financial Management Plan, also known as Funding Policy, is a policy to establish consistency in funding which specifies levels for items such as the payline, programmatic reductions, and caps for re-competing grants.

Financial Status Report (FSR)

A financial report due 90 days after the end of each budget period for those awards 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 SF 269 and SF 269A. Note the FSR has been replaced with the FFR (SF425).

Financial Status Report (FSR) Role

In the NIH Commons, allows members of your staff to process Financial Status Reports (FSRs) for submission to the NIH electronically. An account with only the FSR Role assigned can perform FSR tasks. An account can include multiple roles, including that of FSR.

Fiscal Year (FY)

The annual period established for Government accounting purposes. A Fiscal Year begins on October 1 and ends September 30 of the following year. Example: FY2011-Started October 1, 2010 and ends September 30, 2011.

For-Profit Organization

An organization, institution, corporation, or other legal entity that is organized or operated for the profit or financial benefit of its shareholders or other owners. A for-profit organization is considered to be a small business if it is independently owned and operated, if it is not dominant in the field in which research is proposed, and if it employs no more than 500 persons. (Also see definition for small business concern.)

Foreign Component

The performance of any significant scientific element or segment of a project outside of the United States, either by the recipient or by a researcher employed by a foreign organization, whether or not grant funds are expended. Activities that would meet this definition include, but are not limited to, (1) the involvement of human subjects or animals, (2) extensive foreign travel by recipient project staff for the purpose of data collection, surveying, sampling, and similar activities, or (3) any activity of the recipient that may have an impact on U.S. foreign policy through involvement in the affairs or environment of a foreign country. Examples of other grant-related activities that may be significant are:

  • collaborations with investigators at a foreign site anticipated to result in co-authorship;
  • use of facilities or instrumentation at a foreign site; or
  • receipt of financial support or resources from a foreign entity.
Foreign travel for consultation is not considered a foreign component. (See NIH Grants Policy Statement: 16 Grants to Foreign Organizations, International Organizations, and Domestic Grants with Foreign Components).

Foreign Institution

An organization located in a country other than the United States and its territories that is subject to the laws of that country, regardless of the citizenship of the proposed PD/PI.

Foreign Organization

An entity that is:

(1) A public or private organization located in a country other than the United States and its territories that is subject to the laws of the country in which it is located, irrespective of the citizenship of project staff or place of performance;

(2) A private nongovernmental organization located in a country other than the United States that solicits and receives cash contributions from the general public;

(3) A charitable organization located in a country other than the United States that is nonprofit and tax exempt under the laws of its country of domicile and operation, and is not a university, college, accredited degree-granting institution of education, private foundation, hospital, organization engaged exclusively in research or scientific activities, church, synagogue, mosque or other similar entities organized primarily for religious purposes; or

(4) An organization located in a country other than the United States not recognized as a Foreign Public Entity.

Foreign Public Entity

(1) A foreign government or foreign governmental entity; (2) A public international organization, which is an organization entitled to enjoy privileges, exemptions, and immunities as an international organization under the International Organizations Immunities Act (22 U.S.C. 288-288f); (3) An entity owned (in whole or in part) or controlled by a foreign government; or (4) Any other entity consisting wholly or partially of one or more foreign governments or foreign governmental entities.

Freedom of Information Act (FOIA)

Requires dissemination, upon request, of Government documents while ensuring protection of proprietary and other privacy act information. Go to FOIA.

Full-Time Appointment

The number of days per week and/or months per year representing full-time effort at the applicant/recipient organization, as specified in organizational policy. The organization's policy must be applied consistently regardless of the source of support.

Funding Opportunity Announcement (FOA)

A publicly available document by which a Federal Agency makes known its intentions to award discretionary grants or cooperative agreements, usually as a result of competition for funds. Funding opportunity announcements may be known as program announcements, requests for applications, notices of funding availability, solicitations, or other names depending on the Agency and type of program. Funding opportunity announcements can be found at Grants.gov/FIND and in the NIH Guide for Grants and Contracts.
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Form Approved OMB# 0925-0648 Exp. Date 05/31/2021