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Principal investigator

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In many countries, the term principal investigator ( PI ) refers to the holder of an independent grant and the lead researcher for the grant project, usually in the sciences, such as a laboratory study or a clinical trial . The phrase is also often used as a synonym for "head of the laboratory" or "research group leader". While the expression is common in the sciences, it is used widely for the person or persons who make final decisions and supervise funding and expenditures on a given research project.

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32-605: A co-investigator (Co-I) assists the principal investigator in the management and leadership of the research project. There may be a number of co-investigators supporting a PI. In the context of United States federal funding from agencies such as the National Institutes of Health (NIH) or the National Science Foundation (NSF), the PI is the person who takes direct responsibility for completion of

64-453: A Pass-through entity that provides the federal assistance to another recipient. The Pass-through entity is still considered a recipient, but the assistance assigned to it may be "passed on" or "passed-through it" to another recipient. The entity that receives the assistance from a pass-through entity is a sub-recipient . This is allowed because certain federal programs may not have the organizational structure to provide assistance directly to

96-507: A directory and a dictionary , facilitating both recipients and the general public in finding information of a specific program. Currently, programs in the Catalog are being classified by the GSA into 15 types of assistance, which are then sub-classified into seven financial types of assistance and eight non-financial types of assistance: To help potential recipients locate a federal program,

128-506: A Federal agency that provides assistance or benefits for: (1) a State or States, territorial possession, county, city, other political subdivision, grouping, or instrumentality thereof; (2) any domestic profit or nonprofit corporation or institution; or (3) an individual; other than an agency of the Federal government". Therefore, programs (or "functions") can refer to any number of activities or services provided by agencies, such as building

160-405: A bridge, providing food or medicine vouchers to the poor, or providing counseling to violence victims. Programs are assigned to offices within a federal agency and may include administrative personnel who work directly or indirectly with the program. Each program is created with a specific purpose and has unique operations and activities, (i.e., no program is made for the same purpose and to operate

192-589: A contractor for a pharmaceutical company working on testing the safety and efficacy of new medicines. There were 20,458 PIs on NIH R01 grants in US biomedical research in 2000. In 2013, this number was 21,511. At the same time, the success rate for an applicant to receive an R01 grant went down from 32% in 2000 to 17% in 2013. Federal funding In the United States , federal assistance , also known as federal aid , federal benefits , or federal funds ,

224-457: A funded project, directing the research and reporting directly to the funding agency. For small projects (which might involve 1–5 people) the PI is typically the person who conceived the investigation, but for larger projects the PI may be selected by a team to obtain the best strategic advantage for the project. In the context of a clinical trial, a PI may be an academic working with grants from NIH or other funding agencies, or may be effectively

256-470: A program is called the "popular name". However, the official name of program is standardized within the federal government so that federal agencies can maintain better accountability of their assigned assistance. For example, an individual who receives rent assistance payments through the Section 8 Housing Choice Voucher program might not know the exact official name of the program, and may simply call it

288-415: A recipient may be considered a pass-through entity and a sub-recipient at the same time. Certain programs may require the original recipient to pass on the assistance to sub-recipients (i.e., the federal program requires that the assistance be provided to nonprofit neighborhood watch organizations, and the assistance passes recipient through sub-recipient until it reaches them), while others may require that

320-401: A rent assistance program usually tied to public housing projects, also engage in the activity of rent subsidizing. Programs administer assistance by "granting" or "awarding" a portion of the assistance to recipients. These are called Federal grants or awards. Recipients must first apply for the award directly to the federal agency that administers the program. The agency must then determine

352-427: A term of one year (although some may have a longer lifespan, even indefinitely), and the recipient must use the assistance within that timeframe. This is done because federal assistance is tied to the federal government's budget process, and any funds not used by a recipient within the specified time limit reverts to other uses. As a condition of receiving Federal awards or grants, recipients must agree to comply with

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384-569: A uniform and standardized system has been assigned to the U.S. General Services Administration (GSA) since 1984. There were precursor catalogs to this one, focusing on particular topics and maintained by other groups, such as the US office of education https://archive.org/details/ERIC_ED067776/page/n17/mode/2up pub. 1972 pg. iii. The GSA achieves these tasks by maintaining the Federal assistance information database, which incorporates all federal agency programs that provide grants and awards to recipients. The Office of Management and Budget (OMB) assists

416-426: Is defined as any federal program, project, service, or activity provided by the federal government that directly assists domestic governments, organizations, or individuals in the areas of education , health , public safety , public welfare , and public works , among others. The assistance, which can reach to over $ 400 billion annually, is provided and administered by federal government agencies , such as

448-456: Is not limited to, grants, loans, loan guarantees, scholarships, mortgage loans, insurance…, property, technical assistance, counseling, statistical, and other expert information; and service activities of regulatory agencies. To provide federal assistance in an organized manner, the federal government offers assistance through federal agencies. It is the agency's responsibility to adequately provide assistance, as well as manage, account, and monitor

480-626: Is part of, or located within, the United States and its territories and possessions. Recipients are grouped into six main categories, as established by the GSA: Every program is designed with a specific recipient in mind. Certain programs have restrictions on who may receive the assistance because of the nature of its activity or service. Examples include infrastructure programs and grants, which are usually restricted to States, local governments, and U.S. territories—because these are usually

512-526: The Code of Federal Regulations , with summaries and guidance for these regulations contained in OMB Circular letters. Given the enormous size of federal assistance provided, the Federal government has designed different types of grants, each with its own unique way of awarding and/or operating: A recipient of federal awards or funds is defined as any non-federal entity that receives federal assistance and

544-441: The U.S. Department of Housing and Urban Development and the U.S. Department of Health and Human Services , through special programs to recipients . The term assistance (or benefits ) is defined by the federal government as: The transfer of money, property, services, or anything of value, the principal purpose of which is to accomplish a public purpose of support or stimulation authorized by Federal statute,…and includes, but

576-479: The "rent subsidizing" program, due to its type of activity or service. However, there are many other federal rent subsidizing programs, which require standard program names to differentiate them. In this case, programs such as Supportive Housing for the Elderly (Sec. 202), which is a project-based rental assistance program exclusively for the elderly and Section 8 Housing Assistance Payments Program-Special Allocations,

608-534: The AGO, has become a pass-through entity and the cities and counties have become "sub-recipients", all the while the assistance is still serving the federal program's purpose to prevent crime. Sub-recipients may in turn pass on the assistance to another sub-recipient to serve the purpose required by the federal program, for example if the cities mentioned above pass on part of their assistance to nonprofit organizations dedicated to patrolling neighborhoods at night. Therefore,

640-577: The GSA in maintaining the database by serving as an intermediary agent between the Federal agencies and GSA. In addition to these tasks, the Federal Program Information Act requires the GSA to provide federal assistance information to the general public through the Catalog of Federal Domestic Assistance (CFDA), a free register, which incorporates both federal agency and federal program information. This register acts as both

672-532: The General Services Administration assigns a two-digit number unique to each federal agency authorized to provide assistance, and a three digit number to each federal assistance program within that agency. With these designations, a federal assistance program is identified by the combination of both numbers, which in turn creates a five digit number divided by a dot (55.555). The two digit numbers assigned to federal agencies are: Due to

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704-477: The amount of assistance to be awarded and notifies the recipient of the award. To be official, an award requires a contract or grant agreements between the agency and the recipient that details the use of the award and restrictions and limitations. Federal awards may specify a time period during which the recipient may use the assistance. This is called the Period of Availability of Federal Funds. Most grants have

736-484: The applicable laws and regulations related to the program and its agency, as well as any provisions included in the contracts and grant agreements entered between the recipient and the agency. Failure to do so may lead to sanctions, including fines and penalties, exclusion or suspension from participating in federal assistance programs and activities, and/or criminal charges. Most federal program regulations for which agencies and recipients must always comply are compiled in

768-412: The assistance they pass on. The following is a list of circular letters issued by the U.S. Office of Management and Budget that provide significant information and guidance for Federal agencies, recipients, auditors, and the general public over the use and management of federal funds, operations of federal assistance programs, and agencies' and recipients' compliance with laws and regulations imposed by

800-423: The assistance they received. Additionally, Federal agencies routinely visit recipients and inspect their records and statements to check for situations of noncompliance with laws and regulations, and require periodic financial and performance reports that detail recipient operations. Federal agencies also require pass-through entities to perform similar procedures to their sub-recipients, since they are responsible for

832-477: The extensive amount of assistance the federal government provides, federal agencies rely on numerous monitoring activities performed by themselves, pass-through entities, and external sources. The most common monitoring procedure is the Single Audit . This is an annual examination of a recipient's operations and records that determines whether or not the recipient complied with laws and regulations applicable to

864-578: The final recipient and requires support from other entities. For example, crime-prevention federal programs may be assigned to a State Attorney General's Office (AGO) (considered a State government). This State office may decide to assign part of its federal grant through sub-grants (also known as sub-awards ) to cities and counties within the State (considered local governments) for crime-prevention activities such as neighborhood watch programs or supplying new equipment to police forces. The original recipient,

896-442: The management of federal aid received. The federal government monitors the federal aid provided to any recipient and requires all pass-through entities to monitor the aid they pass on. Noncompliance of a federal regulation on the part of the sub-recipient may also be attributed to the pass-through entity because it is still responsible for the funds it passed on. The task of organizing and categorizing federal assistance programs into

928-401: The only entities that administer public roads, bridges, etc. Another example is health-related research grants, which individuals are eligible for as long as they satisfy certain criteria, such as that they have a professional or scientific degree, three years of research experience, and are a citizen of the United States. The federal government allows certain entities mentioned above to act as

960-531: The recipient not pass on the assistance (i.e., State must use the assistance entirely on its own). Some programs award assistance to a pass-through entity who is neither the direct applicant nor the ultimate beneficiary, such as the Pell Grant program where students apply and receive the aid but it is the university's responsibility to receive and administer the applications and disburse the aid. Pass-through entities and sub-recipients are equally responsible for

992-408: The responsible use of federal funds used for that assistance. The agencies then supply the assistance to beneficiaries (known as recipients , see below), such as States, hospitals, non profit organizations, academic institutions, museums, first responders, poverty-stricken families, etc., through hundreds of individual programs . These programs are defined by the federal government as: "any function of

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1024-499: The same way as a previously existing program) and it is assigned an official name to differentiate it from other programs. A program may be called by a different term than its official name by the general public, by an entity, or even by law or regulation—such as by the type of activity or service it engages, by a specific project name (e.g., the Big Dig tunnel project), or any other similar term. This type of name, title or term given to

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