Awardee Responsibilities

Investigators awarded funding from the Translational Research Institute (TRI) must fulfill the following responsibilities:

Orientation Meeting: The principal investigator (PI) is required to attend a pilot awardee orientation meeting. The date/time of this meeting will be announced following the notice of award. Information regarding available TRI resources and services will be presented to the PI at this mandatory meeting.

Post-Award Presentation: The PI is required to present project findings to a stakeholder group at a post-award symposium or public research forum within two years after the award release. The date/time of this meeting will be announced at a later date.

Changes in Scope: Changes in the scope of work, key personnel, and significant budget changes must be approved in writing by the TRI Director. The PI indicated in the notice of award must notify the TRI in writing if they are unable to complete the project and must terminate the award.

Compliance: The PI and other project staff must comply with the Health Insurance Portability and Accountability Act (HIPAA) (45 C.F.R. Parts 160 and 164) and other research and confidentiality requirements described in the University of Arkansas for Medical Sciences (UAMS) Administrative Guide.

Regulatory Approval: The PI must provide documentation of all necessary regulatory approvals (e.g., Institutional Review Board (IRB) and Department of Occupational Health and Safety) before a pilot project account can be opened and must maintain approvals for the duration of the project

Intellectual Property: Any potentially patentable inventions or software arising from the funded project must be disclosed to UAMS. Inventors will, if requested, assign rights to such inventions to UAMS BioVentures, the university’s designated intellectual property management organization, and will execute all papers necessary to file patent applications on the inventions and to establish the federal government’s rights in the inventions.

Progress Reports: The PI is required to provide progress reports at six and twelve months (final report), and annual progress reports for the two years following the project completion date (this is required for post-award tracking of publications and external funding). The Program Manager will email the PI a progress report form, which should be completed by the PI and returned within seven business days. Depending on the progress in achieving appropriate milestones, the PI could be required to submit additional progress reports.

Progress reports should include specific information regarding: overall project progress; submitted applications for intramural and extramural funding; investigational new drug (IND) or investigational device exemption (IDE) applications; evidence of translation to practice for their research findings; legislative actions that result in whole or in part due to TRI funding or infrastructure services; and peer-reviewed publications resulting from TRI Pilot Awards. All publications of research supported by TRI must acknowledge the funding and resource support provided (see Publicity/Citation Language section below). Failure to provide any of these progress reports or to properly acknowledge TRI support will result in suspension of the project and the PI being ineligible to receive future support from any TRI program.

Method of Payment: Funding for the project will be provided by the creation of a separate account in the UAMS SAP accounting system. This account will be set up under the TRI, and permissions will be granted in SAP to allow departmental expenditures. All requisitions should be processed through appropriate UAMS channels.

Accounting and Audit: Accounting policies for the project will be consistent with those for the UAMS campus. All expenses must be allowable under the provisions of all applicable Office of Management and Budget (OMB) circulars, state of Arkansas procurement regulations, UAMS standards, and be consistent with the project’s budget. All financial records relating to TRI awards are subject to Arkansas legislative and OMB A-133 audit. Departments must maintain financial records consistent with UAMS guidelines. If requested, the PI must be able to describe the nature of project expenses and establish the relationship of the expenses to the project.

Limitation on Costs: The TRI through UAMS is not, , obligated to reimburse costs incurred in excess of the approved budget of the award amount.

Supplanting: Funds received may not be used to supplant other funds available to the PI. If the PI receives external funding for the same research project, the PI must notify the TRI immediately so that funding for the TRI pilot project can be terminated. Furthermore, supplanting violations may result in suspension of future funds and recoupment of monies provided under the TRI’s funding programs.

Publicity/Citation Language: The PI must acknowledge support of TRI and award number UL1TR000039 as the funding source in any news releases, articles, or publications relating to the funded project or its results. Furthermore, a copy of any such materials must be provided to TRI. Failure to properly acknowledge TRI may result in the PI being ineligible to receive future support from any TRI program. To comply with NIH grants policy, which requires both acknowledgement of NIH grant support and a disclaimer, TRI requests that you use the following language when acknowledging studies supported by TRI funding:

“The project described was supported by the Translational Research Institute, grant UL1TR000039 through the NIH National Center for Advancing Translational Sciences. The content is solely the responsibility of the authors and does not necessarily represent the official views of the NIH.”

All publications must also abide by the NIH Public Access Policy found at:

Scholarly Expectations: As part of the successful execution of the project, the PI is expected to submit a manuscript to a peer-reviewed scientific journal within two years after the award release, and submit a grant application to one or more external agencies within three years after the award.

Project Suspension: The grant may be suspended in whole or in part by:

  1. TRI on written notice to the PI if the PI has materially failed to comply with the terms and conditions of the award as outlined herein and as identified in the approved application.
  2. TRI and PI by written agreement.
  3. The PI on written notice to the TRI setting forth the reasons for such action, the effective date, and in the case of partial suspension, the portion to be suspended.

Suspension of the award may include discontinuation of payments to the PI by TRI and/or discontinuation of further spending of funds by the PI. The PI shall comply with the directions of TRI regarding the unexpended award funds when the grant is suspended.