SMU Research



Administrative Offices
The University’s Office of Research, Grant and Contract Accounting, Asset Management, and the Purchasing Departments.

Advance Expenditure Authorization
Documented authorization to incur Pre-Award Costs or Advance Expenditures which provides for alternative Funding resources in the event that an Award is not received or accepted by the University.

Advance Expenditures
Generally synonymous with "Pre-Award Costs" except that the term "Advance Expenditures" is generally used in connection with Contracts and "Pre-Award Costs" is generally used in connection with Grants.

Affiliated Personnel
Individuals who are not University faculty, employees, or students but have a professional relationship with the University, such as visiting faculty, visiting postdoctoral fellows, volunteers, and other scholars.

A disclosure of possible Research Misconduct through any means of communication.

Any live or dead vertebrate animal used or intended for use in biomedical or behavioral Research, Research training, teaching, or testing.

Animal Welfare Act
The Animal Welfare Act of 1966, as amended (7 U.S.C. 2131 et. seq.); the only federal law in the United States that regulates the treatment of Animals in Research, exhibition, transport, and by dealers.

Attending Veterinarian
The member of the IACUC who is a licensed Doctor of Veterinary Medicine as required by the Health Research Extension Act.

Auditable Fiscal Report
A detailed financial accounting of all income and expenditures associated with the project. This may include quotes, receipts and other documentation for individual expenditures.

A Grant, subgrant, Contract, subcontract, or Cooperative Agreement that provides for Funding.

Award Closeout
The process of documenting and assuring the fulfillment of the terms and conditions of the Award, of certifying University compliance with applicable regulations, and making final disposition of all Award by-products, such as final vouchers, reports, patent disclosures, property inventory, and the collection of outstanding accounts receivable and addressing deficit or residual balances.

Belmont Report
the report titled Belmont Report: Ethical Principles and Guidelines for the Protection of Human Subjects of Research created by The National Commission for the Protection of Human Subjects of Biomedical and Behavioral Research and published in the Federal Register April 18, 1979. The Belmont Report summarizes ethical principles and guidelines for Research involving Human Subjects. Three core principles are identified: respect for persons, beneficence, and justice.

An estimate of all project-related costs, including materials and supplies, other Direct Costs, and Indirect Costs, which are allowable, reasonable, allocable, and consistent per the OMB Uniform Guidance and SMU policy.

Budget Justification
A document providing a description and rationale for each Budget line item, including employees’ project roles, tasks they will perform, and the percentage of Effort required. The budget justification follows the order of the detailed Budget and must conform to the Sponsor's requirements.

Budget Period
The interval of time into which a project period is divided for budgetary and Funding purposes, and for which a Grant is made. A budget period usually lasts one year in a multi-year project period.

Clinical Investigation
Any experiment that involves a test article and one or more individuals who participate, either as a recipient of the test article or as a control; and that either is subject to requirements for prior submission to the FDA under sections 505(i) or 520(g) of the Food, Drug and Cosmetics Act, or is not subject to requirements for prior submission to the FDA under these sections of the Food, Drug and Cosmetics Act, but the results of which are intended to be submitted later to, or held for inspection by, the FDA as part of an application for a Research or marketing permit (21 CFR 50.3).

Committed Cost Sharing
A binding commitment of the University to provide resources for a Sponsored Project which the University must provide as part of the performance of the Award. Committed Cost Sharing may be Mandatory Cost Sharing or Voluntary Committed Cost Sharing. These costs must be documented and reported.

Companion Project
A separate project used to isolate costs that are not borne by the Sponsor. They may be funded by the University or a third party. A Companion Project may be used when Cost Sharing is extensive and/or related to specific items within a broader category.

Compensation for Personal Services
All amounts paid or accrued by the University to employees for services rendered during the Period of Performance under an Award. Such amounts include salaries, wages, and Fringe Benefits.

A person who in Good Faith makes an Allegation of Research Misconduct.

All confidential, proprietary, or non-public information of a party, whether expressed in writing or orally as confidential to another party, including as examples, biological materials, computer source codes, diagrams, electronic files, Trade Secrets, Patent applications, technical information, Research data, draft publications, License Agreement, terms, and so forth, which shall not be disclosed to a third party without the consent of the disclosing party.

The treatment of information disclosed in a trust relationship and with the expectation that it will not be divulged without permission to others in ways inconsistent with the understanding of the original disclosure.

An expert who has a special field of expertise or skill. The consultant provides professional or expert opinion, advice, or services regarding information or materials in his or her field of knowledge or training to assist others in making decisions or in performing tasks.

A legally enforceable agreement between the University and a Sponsor that provides Funding when a primary purpose is delivery to the Sponsor of property or services for the benefit of the Sponsor, in addition to the Research, educational or service benefit to the University.

Contract for Services Agreement
A formal legally binding agreement between a business and a self-employment individual. It is a Contract for a job undertaken by a self-employed person. While he or she may hire others to carry out (or help) in the work, he or she is solely responsible for the satisfactory completion of the job.

Cooperative Agreement
A legally enforceable agreement between the University and a Sponsor that provides Funding when substantial interaction between the Sponsor and the University is anticipated during the performance of the Sponsored Project.

The law of Copyright grants protection to the authors of literary, musical, artistic, dramatic, and other kinds of intellectual works.

Cost Sharing
That portion of the costs of a Sponsored Project not borne by the Sponsor. Cost Sharing may be in the form of Direct Costs (personnel or non-personnel) or F&A Costs subject to a Sponsor's restrictions. Cost Sharing may be In-Kind, Matching, Mandatory Cost Sharing, Voluntary Committed Cost Sharing, Committed Cost Sharing, or Voluntary Uncommitted Cost Sharing. These costs are borne by the University or other third parties (including non-federal third parties in the case of a federal Award), rather than by the Sponsor. Since faculty salaries at the University are usually paid for by a faculty member’s or staff member’s department, Cost Sharing of Effort represents a redirection of departmental resources from teaching or other departmental activities to support a Sponsored Project.

Cost Transfer
The reassignment of a cost to a Sponsored Project after the cost was initially charged to another Sponsored Project or non-Sponsored Project resource. Also included are reassignments of costs from one Sponsored Project to another Sponsored Project or to a non-Sponsored Project resource. Cost Transfers include reassignments of salary, wages, and other Direct Costs.

Course Buyout
Use of Grant funds to pay for a course release for a faculty member so that time otherwise devoted to teaching may be spent working on the project funded by the Grant. In order to receive a course buyout, the SMU Course Buyout Request Form is completed at the time of the Award.

Data Share Agreement
An agreement provided for Researchers to use when receiving or exchanging data. The agreement permits use(s) and disclosure of data, primarily through publication of Research results of the provided data and sets forth the data recipient’s responsibilities with respect to the data received.

Deficit Balances
Occur when cumulative expenses exceed the amount awarded by the Sponsor.

Department of Health and Human Services (DHHS)
A cabinet-level department of the US federal government with the goal of protecting the health of all Americans and providing essential human services.

Departmental Research
Research, development, and scholarly activities that are not organized Research and, consequently, are not separately budgeted and accounted for.

Direct Costs
Expenditures necessary to execute the objectives of the Research.

The time spent on Sponsored Projects and all other activities for which an individual is compensated by the University.

Effort Report
The report reflecting the percentage of time (Effort) an employee has spent on each specific activity for which the University compensates the employee. Also known as the Personnel Activity Report or PAR.

Effort Reporting
The process by which the University determines and documents the Effort expended on Sponsored Projects during each Effort Reporting period.

In relation to a Human Subjects Research project, an institution is considered engaged in a particular non-exempt Human Subjects Research project when its employees or agents for the purposes of the Research project obtain: (1) data about the subjects of the Research through Intervention or Interaction with them; (2) Identifiable Private Information about the subjects of the Research; or (3) the informed consent of Human Subjects for the Research.

Tangible or intangible property that can be used or consumed for more than one year, with a unit price of $5,000 or more. These items should be included as equipment in the Budget and are excluded from modified total Direct Costs (MTDC).

Equipment Loan Agreement
An agreement for researchers to use when Equipment is to be loaned by the University to another organization. This agreement ensures that the loaned Equipment is clearly defined, appropriately protected, and will be returned under the right circumstances. Additionally, this agreement can be modified for a loan from another organization to the University.

Any document, tangible item, or testimony offered or obtained during a Research Misconduct proceeding that tends to prove or disprove the existence of an alleged fact.

F&A Costs
Facilities and administrative costs. F&A costs are also referred to as "Indirect Costs."

The action of making up of data, results, or time and Effort, and recording or reporting such made-up data, results, or time and Effort.

Facilities Use Agreement
An agreement between the University and an outside entity which grants access to the outside entity for use of University laboratories and Research equipment.

The manipulation of Research materials, Equipment, processes, or time and Effort Reports ("Personnel Activity Reports"), or changing or omitting data or results such that the Research is not accurately represented in the Research Record or a Personnel Activity Report does not accurately report time and Effort.

Federalwide Assurance (FWA)
An assurance of compliance with the U.S. federal regulations for the protection of Human Subjects in Research that the University provides to DHHS. Among other things, the FWA obligates the University to review and approve Research involving Human Subjects in accordance with the ethical principles outlined in the Belmont Report and regulations at 45 CFR Part 46. An institution must have an FWA in order to receive federal support for Research involving Human Subjects. Each FWA must designate at least one IRB that is registered with OHRP.

Financial Conflict of Interest (FCOI)
Exists when a Significant Financial Interest could directly and significantly affect the design, conduct, or reporting of Research.

Food and Drug Administration (FDA)
A federal agency of the United States Department of Health and Human Services. Responsible for protecting and promoting public health through the control and supervision of food safety, tobacco products, dietary supplements, prescription and over-the-counter pharmaceutical drugs (medications), vaccines, biopharmaceuticals, blood transfusions, medical devices, electromagnetic radiation emitting devices (ERED), cosmetics, animal foods & feed, and veterinary products.

Fringe Benefits
Yearly calculation of non-salary employee compensation, such as medical insurance, expressed as a percentage of salary.

Financial support for a Sponsored Project, including money, property, services, or anything of value in lieu of money.

A transfer of funds or property to the University by a donor without expectation of a tangible or direct economic benefit to the donor, and without responsibility by the University to provide the donor with a product or service. Gifts are managed by SMU's Office of Development and External Affairs.

Gift Agreement
A Memorandum of Understanding, or a memorandum of agreement, between SMU and a donor signed by the donor, approved by the appropriate authorized official at SMU, and including a statement of donor intent, the source of funds, and directions as to how the funds will be used and the account will be administered.

Good Faith
Having a belief in the truth of one’s Allegation or testimony that a reasonable person in the Complainant's or the witness’s position could have based on the information known to the Complainant or the witness at the time. An Allegation of, or cooperation with, a Research Misconduct proceeding is not in Good Faith if made with knowing or reckless disregard for information that would negate the Allegation or testimony. Good Faith as applied to a member of a Committee of Inquiry or a Committee of Investigation means cooperating with the Research Misconduct proceeding by carrying out the duties assigned impartially for the purpose of helping the University meet its responsibilities under this policy. A committee member does not act in Good Faith if his or her acts or omissions on the committee are dishonest or influenced by personal, professional, or financial conflicts of interest with those involved in the Research Misconduct proceeding.

Graduate Research Assistant
Appointed and paid to perform Research (Sponsored Project) under the direct supervision of a faculty member. This Research experience is intended to complement the student's formal instruction, and may lead to a thesis, dissertation, or publication. Appointments are made for an academic year, for one semester, or for the summer.

a legally enforceable agreement between the University and a Sponsor that provides Funding when:
  • the Sponsor has no expectation of delivery of a specific product or service other than a final written report;
  • no substantial interaction between the Sponsor and the University during performance is anticipated; and
  • the agreement contains general terms and conditions that stipulate a Period of Performance and minimal reporting requirements.

The Guide
The Guide for the Care and Use of Laboratory Animals, published by the National Research Council, 8th Edition, 2011, as amended or superseded from time to time.

Health Research Extension Act
The Health Research Extension Act of 1985 (Public Law 99-158), which provides the legislative mandate for the PHS Policy. It directs the Secretary of Health and Human Services to establish guidelines for the proper care and treatment of Animals used in Research, and for the organization and operation of Institutional Animal Care and Use Committees.

Human Subject
A living individual about whom a University Investigator conducting Research obtains (1) data through Intervention or Interaction with the individual or (2) Identifiable Private Information (45 CFR 46).

Human Subjects Research
Any activity, whether or not it is subject to federal regulation, that meets the definition of Research and includes Human Subjects. Clinical Investigations always constitute Human Subjects Research.

The identity of a Human Subject is or may readily be ascertained by an investigator or associated with the subject’s information or biospecimen (45 CFR 46).

Immediate Family Member
With respect to any person, the spouse, domestic partner, parent, stepparent, child, stepchild, sibling, stepsibling, grandparent, step-grandparent, grandchild, step-grandchild, father-in-law, mother-in-law, daughter-in-law, son-in-law, aunt, uncle, niece, or nephew of such person and any person who resides in the same household with such person.

Improper Cost Transfers
Cost Transfers that violate the federal financial management requirements, such as Cost Transfers between or among Sponsored Projects for the purpose of:
  • using unexpended Funding;
  • avoiding or alleviating over-expenditure;
  • moving a cost that is unallowable on one Sponsored Project to another;
  • circumventing Award restrictions; or
  • reimbursing or making a temporary "loan" of Funding.

Incidental and Related Work
Contributes to and is integrally related to work under an Award, such as delivering special lectures about specific aspects of ongoing activity, writing reports and articles, developing and maintaining Protocol (human, Animals, etc.), managing substances/chemicals, managing and securing Sponsored Project-specific data, participating in appropriate seminars, consulting with colleagues and graduate students, and attending relevant meetings and conferences.

Indirect Costs (IDC)
Recurring expenses in support of Sponsored Projects in general that cannot directly assigned to a specific projects, such as administration, building maintenance, and security. Also referred to as "overhead" or "facilities and administration (F&A)."

The value of non-cash, third-party contributions (i.e., property or services) that directly benefit and are specifically identifiable to a Sponsored Project.

A preliminary information-gathering and preliminary fact-finding process to determine whether an Allegation or an apparent instance of Research Misconduct has enough substance to merit an Investigation. The outcome of an Inquiry is a determination as to whether or not an Investigation should be conducted.

Institutional Animal Care and Use Committee (IACUC)
The Institutional Animal Care and Use Committee appointed by the Institutional Official, which is charged with the responsibility of providing local review and oversight of Research and other scholarly activities using Animals.

Institutional Base Salary
The annual compensation paid by the University for an employee’s appointment, whether that employee’s time is spent on Research, teaching, or other activities and whether the individual is employed full-time or part-time. Institutional Base Salary does not include bonuses, one-time payments, or incentive pay. Also excluded from Institutional Base Salary is salary paid directly to the employee by another organization and income that an employee is permitted to earn outside of the employee’s University responsibilities under the University Policy on consulting projects and Sponsored Projects. Institutional Base Salary:
  • is established by the University in an annual letter and/or Pay Rate Change form regardless of the source of funds;
  • includes regular salary, a second assignment such as chair of a department or director of a program;
  • excludes bonuses, honoraria, and extra compensation; and
  • may not be increased as a result of replacing University salary funds with Sponsored Project funds.

Institutional Official (IO)
For the purpose of the Animal Care and Use Program, the University employee responsible for ensuring that activities using Animals at the University are humane and in compliance with all applicable laws, regulations, and University Policies relating to Animal care and use. For the purpose of the Human Subjects Research program, the Institutional Official is the Assistant Vice President for Research Integrity and Operations.

Institutional Review Board (IRB)
The University’s Institutional Review Board is established in accord with the federal policy for the Protection of Human Subjects, 45 CFR Part 46. The IRB is charged with the responsibility of providing local review and oversight of Research involving Human Subjects.

Intellectual Property (IP)
The term Intellectual Property includes inventions, ideas, Trade Secrets, writings, names and symbols and combinations thereof, which, because of their characteristics, are governed and protected by the body of law of Intellectual Property. The law of Intellectual Property includes the law of Patents, Copyrights, Trade Secrets and know-hows, Trademarks, and trade names.

Intellectual Property / Proprietary Agreements
Agreements for allocating between small business concerns and research institutions intellectual property rights and rights, if any, to carry out follow-on research, development, or commercialization. These agreements are used to protect a party’s proprietary information.

Includes communication or interpersonal contact between University Investigator and Human Subject (45 CFR 46).

Inter-Institutional Agreement (IIA)
An agreement between two academic institutions for the management of joint inventions that was created from their Research collaborations.

Includes both physical procedures by which data are gathered (for example, venipuncture) and manipulations of the Human Subject or the Human Subject's environment that are performed for Research purposes (45 CFR 46).

A formal examination and evaluation of relevant facts to determine whether Research Misconduct has occurred.

IRB Approval
The determination of the IRB that the Research has been reviewed and may be conducted at the University within the constraints and subject to conditions set forth by the IRB and by other University and applicable legal and regulatory requirements.

The Laboratory Animal Resource Center. LARC is the University-supported resource for all Research or teaching activities involving Animal subjects.

License Agreement
An agreement between an Intellectual Property rights owner (licensor) and another who is authorized to use such rights (licensee) in exchange for an agreed payment (fee or royalty).

Mandatory Cost Sharing
Cost Sharing that a Sponsor requires the University to provide as a condition of obtaining an Award. It must be included or a Proposal will receive no consideration for Funding by the Sponsor.

A type of Cost Sharing which involves a percentage or dollar equivalency relative to the agency-provided Budget. For example:
  • A 1:1 match would require $100 of University cost sharing for every $100 received from an agency.
  • A 30% match would mean that of a total budget of $100, the agency would provide $70 and the University would need to cost share $30.

Material Breach
A failure to comply with a state or federal law or regulation or a University policy in such a way that the act of noncompliance frustrates the purpose for which the state or federal law or regulation or University Policy was enacted or adopted.

Material Transfer Agreement (MTA)
A contract that governs the transfer of materials between institutions for use in Research.

Memorandum of Understanding (MOU)
An agreement to use when organizations collaborate on an unfunded or self-funded projects. This agreement broadly describes the responsibilities and understanding of both organizations.

No-Cost Extension (NCE)
A formal modification to a Funding agreement to extend the Period of Performance of the project without receipt of additional funds from the Sponsor.

Non-Disclosure Agreements (NDA)
A legally enforceable agreement used when organizations exchange Confidential and proprietary information with another party.

Office of Human Research Protection (OHRP)
The Office of Human Research Protection and provides leadership in the protection of the rights, welfare, and wellbeing of Human Subjects involved in Research.

Office of Inspector General (OIG)
The "Office of Inspector General" designates the division within each federal agency that is charged with the responsibility for addressing Research Misconduct in connection with Research funded by that agency. While OIG is the most common designation among federal agencies for the division charged with handling Research Misconduct, some agencies use other names. For example, the Public Health Service uses the name "Office of Research Integrity" ("ORI") and the Department of Veterans Affairs uses the name "Office of Research Oversight" ("ORO").

Organization Code (Org)
Represents a department or discrete operating unit within the University.

Organized Research
All Research and development activities of the University that are separately budgeted and accounted for. It includes Sponsored Projects that are categorized by the Office of Research as "Research" and University Research activities that are not sponsored Research, but are separately budgeted and accounted for by the University.

See Indirect Costs.

Pass Down Clause
A provision within a Contract between two parties that is also enforced in subcontracts involving additional parties.

Pass-Through Entity (PTE)
A non-Federal entity that provides a Subaward to a Subrecipient to carry out part of a federal program.

All kinds of inventions which are original, of first inventorship, novel, and "non-obvious" may be protected by a Patent. A Patent is a government grant made upon full written disclosure of the details of an invention and in compliance with other conditions, and permitting its recipient (owner) to exclude others for a term of years from making, using, or selling the patented subject matter, except in those instances where the owner grants a license.

Payroll Authorization Forms (PAFs)
Identify each individual, his/her employee identification number, frequency of pay, Sponsored Project to be charged, rate of pay, and time period during which each individual will be paid.

Period of Performance
The Uniform Guidance in 2 CFR 200.77 defines "period of performance" as the time during which the non-Federal entity (grantee) may incur new obligations to carry out the work authorized under the Federal Award. The Federal awarding agency must include start and end dates of the period of performance in the Federal Award.

All project participants, including faculty, post-doctorates, students, staff, and collaborators.

Personnel Activity Report (PAR)
See Effort Report.

PHS Animal Welfare Assurance
The certification signed by the Institutional Official making a commitment on behalf of the University that the requirements of the SMU Animal Care and Use policy will be met.

PHS Policy
The Public Health Service Policy on the Humane Care and Use of Laboratory Animals, published by the PHS, revised and reprinted 2015.

The appropriation of another person's ideas, processes, results, or words without giving appropriate credit.

That period of time after Grant Funding is approved by Grants and Contracts Accounting (GCA), and a project number is assigned.

Pre-Award Costs
Sponsored Project costs incurred prior to receipt and execution of a new Award or incurred on an existing Sponsored Project while awaiting incremental Funding or a no-cost extension of the end date of an Award. The term "Pre-Award Costs" is generally synonymous with "Advance Expenditures" except that the term "Advance Expenditures" is generally used in connection with Contracts and "Pre-Award Costs" is generally used in connection with Grants.

Pre-Award Project
A project established for use prior to the beginning of an Award or prior to the University’s receipt of a fully executed Award. The Pre-Award Project number will become the permanent project number when the Award is effective and no Cost Transfers will be required, necessary, or allowed. A "Pre-Award Project" is also referred to as an "At-Risk Project."

Pre-Award Spending Period
The period allowed by certain Sponsors prior to the official Sponsored Project start date during which costs can be incurred and considered allowable – normally a 90 day period.

Preponderance of the Evidence
Proof by information that, compared with that opposing it, leads to the conclusion that the fact at issue is more probably true than not.

Principal Investigator / Project Director
The individual solely responsible for technical conduct of a Sponsored Project, technical contact with the Sponsor, expenditure of Sponsored Project Funding, and fulfillment of technical performance and reporting obligations under an Award. The PI / PD is also responsible for adherence to Research Compliance requirements while conducting Research.

Private Information
Includes information about behavior that occurs in a context in which an individual can reasonably expect that no observation or recording is taking place, and information which has been provided for specific purposes by an individual and which the individual can reasonably expect will not be made public (for example, a medical record). Private Information must be individually Identifiable in order for obtaining the information to constitute Research involving Human Subjects.

Project Summary
A succinct and accurate description of the work proposed for a project in accordance with the announcement and/or agency specific instructions.

Proper Cost Transfers
Cost Transfers that are compliant with the federal guidelines that authorize Cost Transfers involving a Sponsored Project in the following instances:
  • when the Cost Transfer represents an adjustment for an erroneous charge;
  • when the Cost Transfer is for the purpose of assigning a portion of the cost to a Sponsored Project (split purchase); and
  • when costs are incurred in departmental or discretionary resources prior to receiving the fully executed Award. See Pre-Award Costs for the method to be used so that charges are made to a Sponsored Project as incurred.

The document submitted to a Sponsor requesting Funding for a Sponsored Project which includes, without limitation, (i) Financial Obligations, Regulatory Obligations, Reporting Obligations or Accounting Obligations, as described under "Sponsored Projects", (ii) a Statement of Work, and (iii) a Budget.

A document (including subsequent amendments) that describes the Research design or methodology to be employed, the eligibility requirements for prospective subjects and controls, the treatment regimen(s), and the proposed methods of analysis that will be performed on the collected data. A Protocol usually also gives the background and rationale for a Research activity involving Animal or Human Subjects.

Public Health Service (PHS)
A division of the US Department of Health and Human Services concerned with public health.

Publication Rights
Protects the rights of the investigator and the University to publish the results of the Research and establishes freedom from the imposition of restrictions by the sponsor. SMU must have full rights to publish Research findings.

Basic, applied, and demonstration inquiry within any academic discipline. Here, inquiry should not be confused with the information gathering process described under the investigative procedures of this policy. Research includes, but is not limited to, inquiry in the disciplines of the physical sciences, engineering, mathematics, technology, theology, art, humanities, economics, education, linguistics, medicine, psychology, social sciences, statistics, and Research involving Human Subject or Animals. The scope of the term "Research" includes, but is not limited to, pilot studies, data collection for theses and dissertations, and Research carried out for scholarly, consulting, or entrepreneurial purposes or a combination thereof. Research is defined differently by various governmental agencies. For example, the definition of Research involving Human Subjects (see 45 CFR §46.102) is different from the definition of the term found in the Federal Policy. The definition in this policy is an expansion of the definition of the term Research found in the Federal Policy. The intent of this expanded language is to ensure that the definition encompasses all scholarly Research conducted at the University whether by faculty, students, staff, or other Researchers.

Research Handbook
A document maintained by the Office of Research specifying current procedures and requirements for the proposal, acceptance, execution, and oversight of Sponsored Projects; Contracts and Technology Management; and Research Compliance.

Research Misconduct
Either (a) Fabrication, Falsification, or Plagiarism in proposing, performing, or reviewing Research, or in reporting Research results or time and effort; or (b) the material failure to comply with Federal requirements, University Policies, or both, for the protection of Researchers, Human Subjects or the public, or for ensuring the welfare of laboratory Animals. Research Misconduct does not include honest errors or honest differences in the interpretations or judgments of data. However, a finding of Research Misconduct must be rendered where a Preponderance of Evidence indicates that a person has (a) intentionally, knowingly, or recklessly departed significantly from the generally accepted practices within his or her academic discipline’s Research community or (b) committed a Material Breach of a governmental law or regulation, a University Policy, or both, for the protection of Researchers, Human Subjects, or the public, or for ensuring the welfare of laboratory Animals.

Research Policy Committee
The committee charged with providing guidance on the content of the Research Handbook and University Policies governing Research.

Research Record
The documentation of data or results that embody the results of academic inquiry, including, but not limited to, Research Proposals, laboratory records, both physical and electronic, progress reports, abstracts, theses, oral presentations, internal reports, journal articles, and Personnel Activity Reports.

Any individual engaged in Research, including, but not limited to, all University faculty members regardless of title or rank, scholars, scientists, trainees, technicians, staff members, students, fellows, guest researchers, or collaborators.

Residual Balances
The cash or unobligated balances remaining after Sponsored Project termination and after all appropriate expenditures have been charged against the Sponsored Project.

The person against whom an Allegation of Research Misconduct is directed or who is the subject of a Research Misconduct proceeding.

Responsible Parties
Faculty, staff, and other members of the University, regardless of title, who are responsible for the design, conduct, oversight, or reporting of Research at the University under Grants or Contracts funded by a federal, state, or local government agency or other external Sponsor, or negotiation of Research agreements or externally funded educational activities.

An adverse action taken by the University against a Complainant, witness, or committee member in response to a Good Faith Allegation of Research Misconduct or Good Faith cooperation with a Research Misconduct proceeding.

Signatory Official
The University employee responsible for oversight of Human Subjects Research, namely, the Assistant Vice President for Research Integrity and Operations.

Signature Authority
The power, delegated by the University president pursuant to the bylaws of the University or a board resolution, to execute contracts and thereby legally bind the University. Signature authority is distinct from specific "internal" authorization with respect to any particular contract, and it is therefore the responsibility of any University officers having signature authority pursuant to the bylaws of the University or a board resolution to obtain any internal approvals required under University policies and procedures, or the protocols of any University operating unit prior to executing a particular contract.

Significant Difference
A variance of 5% or more above or below an employee’s Total University Effort.

Significant Financial Interest
A financial interest consisting of one or more of the following:
  • With regard to any publicly traded entity, a "significant financial interest" exists if the value of any remuneration received from the entity in the twelve-month period immediately prior to or immediately following the disclosure and the value of any equity interest in the entity as of the date of disclosure, when aggregated, exceeds $5,000, or the equity interest in the entity represents more than five percent (5%) ownership;
  • With regard to any non-publicly traded entity, if the value of any remuneration received from the entity in the twelve-month period prior to or immediately following the disclosure, when aggregated, exceeds $5,000 in-kind of products or services, or the Responsible Party holds any equity interest; or
  • Intellectual Property rights, royalties from such rights, and agreements to share in royalties related to such rights.

Significant Residual Balances
Occur when the unexpended balance is 25% or greater than the total payments received for the Sponsored Project.

Soft Money Appointment
A staff position for which the compensation is derived from and dependent upon Funding from Sponsored Projects.

Any external entity that provides Funding to the University. Sponsors may be (i) governmental agencies (for example, federal, state or local governments or their administrative organizations); (ii) nonprofit organizations (for example, universities, nonprofit corporations, foundations or associations); (iii) for profit organizations (for example, corporations, partnerships, sole proprietorships and other business entities); or (iv) individuals.

All projects, programs, Research, training, public service and other activities that receive external Funding through Grants to the University or through Contracts or Cooperative Agreements between the University and a Sponsor, where one or more of the following obligations applies:
  • Financial Obligation. The University is required to comply with conditions imposed when a Sponsor awards Funding for the performance of services or delivery of products described in a Statement of Work;
  • Regulatory Obligation. The University is required to comply with Sponsor regulations;
  • Reporting Obligation. The University is required to provide to the Sponsor technical performance reports or regulatory or administrative reports; or
  • Accounting Obligation. The University is required to establish a separate accounting record of Sponsored Project expenditures to demonstrate allowability of costs, to maintain financial accountability, to make financial reports to the Sponsor, and to preserve appropriate records for audit.

Sponsored Research Agreement
A Contract between the University and a non-federal Sponsor for the purposes of Funding and conducting Research at the University during a specific defined time frame.

Statement of Work (SOW)
The component of a Proposal or an Award that describes the specific work to be undertaken and the products that will be produced by the Sponsored Project.

An Award provided by a Pass-Through Entity to a Subrecipient for the Subrecipient to carry out part of a federal Award received by the Pass-Through Entity.

Subaward Closeout
The process of documenting and assuring the fulfillment of the terms and conditions of the Subaward, of certifying Subrecipient compliance with applicable regulations and making final disposition of all Subaward by-products, such as final vouchers, reports, Patent disclosures and property inventory, and the collection of outstanding accounts receivable and addressing deficit or Residual Balances.

The legal entity to which a Subaward is made and which is accountable to the University for the use of the Funding provided in carrying out a portion of the University’s programmatic Effort under a Sponsored Project. The term may include institutions of higher education, other non-profit organizations, for-profit organizations, and foreign or international organizations (such as agencies of the United Nations), if approved by the Sponsor.

Summer Salary
Compensation to faculty for Effort performed beyond their period of appointment.

System for Award Management
A federally owned and operated website that provides information in support of the management of federal Grants and Contracts.

Technology Mediated Instruction
Instructional activities that use technological innovation in development and the delivery of course content to students in a traditional setting or through distance education.

Technology Transfer
A transfer of knowledge that transfers scientific findings from one organization to another for the purpose of further development and commercialization.

Total University Effort
All activity for which the University compensates an individual, whether on a full-time or part-time basis, including students who are working as teaching or Research Assistants.

Trade Secret
A legal term referring to any information or knowledge, whether or not patentable or copyrightable, which is not generally known or accessible, and which gives a competitive advantage to its owner. Trade Secrets are proprietary information. The law of Trade Secrets and know-hows covers any of an amorphous body of information, typically of an engineering or business nature, intended by its holder to be maintained in secret, and which is not in the public domain.

The law of trademark protects any work name, symbol, or device or combination thereof adopted and used by a manufacturer or merchant to identify his goods, and to distinguish them from those manufactured or sold by others.

Tuition Remission
Provides a waiver of tuition for courses taken by graduate students (Sponsored Project) and is granted based on the students’ qualifications as candidates for graduate degrees at the University. Tuition remission is an allowable direct cost on Awards under federal laws, regulations, and policies provided there is consistent treatment of students in a classification without regard to the source of funds used for direct compensation.

Uniform Guidance
Administrative requirements, cost principles, and audit requirements for Federal Awards summarized in Office of Management and Budget 2 CFR 200. The Uniform Guidance – a "government-wide framework for Grants management" – is an authoritative set of rules and requirements for Federal Awards that synthesizes and supersedes guidance from earlier OMB circulars.

United States Department of Agriculture (USDA)
The US federal executive department responsible for developing and executing federal laws related to farming, forestry, and food.

University Investigator
A faculty member, Principal Investigator/Project Director, research scientist, research associate, or other Researcher responsible for the design, conduct or reporting of the Research or other educational activity proposed for funding by a Sponsor or the University. This includes, but is not limited to, persons classified as University faculty, staff, and students.

University Policies
All University Policies included in the University Policy Manual and all other procedures, guidelines, and requirements of the Office of Research and the Office of Grants and Contract Accounting included in the Research Handbook, and the procedures, guidelines, and requirements of all University colleges, schools, departments, centers, institutes, and divisions.

Venue / Governing Law
The laws under which legal disputes would be resolved. In general, Texas law should govern University contracts. Venue/jurisdiction must be in the state or federal courts in Dallas County, TX (Collin County for Plano campus) and the contract must specify TX governing law (or Taos County, New Mexico for the SMU-in-Taos campus). Generally, contracts are not accepted for other venues unless the department assumes the cost of litigation should SMU need to enforce or defend the contract.

Voluntary Committed Cost Sharing
Quantified University resources offered in the Proposal by the University when the Sponsor does not require a specific contribution.

Voluntary Uncommitted Cost Sharing
Effort by University faculty (including senior Researchers) that is over and above that which is committed and budgeted for in an Award.

Waiver of IDC Form
The Waiver is an internal University document initiated by a Principal Investigator to request F&A cost recovery of indirect costs on a project budget. The PI can complete the Waiver of IDC Form for approval from the Associate Vice President for Research to waive the allocation of funds from F&A towards another cost account line.