College of Medicine Private Research Awards Policy

The College of Medicine encourages investigators to carry out original research in the biomedical sciences and related fields. To support original research, investigators must usually obtain extramural funding. One source of such support is private industry, particularly in the area of clinical research. Investigators may seek industry support for their research individually, or with the assistance of the Dean's Office through the Office of the Clinical Trials Coordinator. The primary motivation for scientific studies of this type must always be the acquisition of new and useful scientific knowledge, not the generation of monetary rewards.

All contractual research supported from private sources must conform with the procedures listed below:

1. While investigators are free to contact private funding sources at their discretion, all applications and resulting contracts at UAMS must be approved by both the Associate Dean for Research, College of Medicine, and the University's Office of Research Administration (ORA). This is necessary because only UAMS can formally contract for the use of facilities and personnel for research supported by any legal entity. Furthermore, nearly all such applications for funding require assurances that can only be approved by UAMS and not by the investigator.
   
   At the John L. McClellan Memorial VA Hospital, the Private Research Awards Policy of that institution should be consulted. A system is presently in place to negotiate joint private research contracts through the UAMS Office of Research Administration, with separate actual contracts signed by the responsible officials of each institution. The Biomedical Research Foundation (BRF) negotiates and administers private research contracts that are solely VA-based. Conduct of research at the VA Medical Center is subject to the approval of both the Research and Development committee and the relevant service chief.
   
   At Arkansas Children’s Hospital, the Private Research Awards Policy of that institution should be consulted. All applications must be approved by the Arkansas Children’s Hospital Research Institute and by the UAMS Office of research Administration.
   
   
2. Before an award is accepted by UAMS, the following must be approved and filed with the ORA:
   
   Research Plan
   Each application must have a Research Plan outlining the research to be conducted as well as a review procedure to allow verification of compliance by both the funding source and UAMS. The Research Plan should also contain a clear procedure for establishing closure of the grant or contract obligation (i.e. final progress report signed by the PI assuring that all obligations have been met). This Research Plan must be signed by the PI and an official of the funding agency. This is to prevent any possible future disagreements between the investigators (or the College of Medicine) and the funding agency as to the intent of the grant/contract. The Plan must state an end point for a UAMS grant or contract so that it is clear when the investigator (and UAMS) has met the terms of the contract.
   
   Budget
   No awards will be accepted without a clear understanding of the intended use of the funds. The budget must be justified in detail in the application and must be outlined on the UAMS Proposal Routing Form (blue sheet) when the contract is submitted to ORA. Signatories on the blue sheet must include the Principal Investigator's UAMS Department Chairperson, the Associate Dean for Research and the ORA. This ensures that salaries, fringe benefits, and other listed expenses are correct and in compliance with UAMS faculty policies. It is College of Medicine policy that all significant identifiable costs of carrying out the research should be included in the budget presented on the blue sheet, including components for investigator and other personnel time expended on the project, supplies, clinic and hospital costs, and so forth. Where cost sharing by the University is involved, this must be clearly identified on the blue sheet and documentation attached to indicate what benefits to the University justify such cost sharing. The budget must be approved by the ORA to ensure that indirect costs are included and correct, and that campus issues like chemical and radioactive waste disposal and biohazard review have been completed appropriately.
   
   Funds awarded to carry out the research will be placed in a individual UAMS research account accessible only to the PI or his/her designee. The University Foundation may not be used for research grants and contracts, because it is only for gifts to the University that do not have a contractual obligation. Research contracts and grants may only be administered through accounts supervised by the UAMS Controller. Unless there are written instructions to the contrary from the granting agency (filed at the time of awarding the funds), UAMS permits the PI to rebudget (transfer funds from one budget category to another) at his/her discretion upon written justification that such transfers of funds are required for appropriate completion of the research outlined in the Research Plan. If budgeted funds exceed expenses at the completion of the grant or contract, the excess from all unobligated budget categories will be combined and transferred, following the wishes of the PI, into either a UAMS General Research Account or into a Departmental "discretionary account". Funds in UAMS Research Accounts may be used only by the PI or his/her designee for any research project he/she chooses. Funds in "discretionary accounts" may be used for any purpose that is legal under the laws of the State of Arkansas.
   
   Publishing and Granting Statement
   There must be clearly written language that defines the understanding of both contractor and contractee of any conditions placed on publication of results or the ability to use data, results, procedures, etc., beyond the scope of the award. The language used must clearly address the principles listed below. Awards that do not follow these principles must be approved by the PI's UAMS Department Chairman and the Associate Dean for Research, College of Medicine.
   
   Most investigators working in the College of Medicine are faculty members of the University of Arkansas for Medical Sciences (UAMS). As faculty members, they may conduct their research at various locations. Publication of scientific discoveries (data or findings) is an expected part of their approved career activities, and in many cases is a prerequisite for career advancement. To both help the faculty meet their obligations to UAMS and to advance science and medicine, it is the intent of the College of Medicine to disseminate the results of research conducted under its purview in a timely manner through publication in scientific journals, books and other scholarly publications. Thus, rapid publication of research results in top quality scientific journals; use of data for applications to other extramural funding sources; education of medical or graduate students and the general public; and the general advancement of the academic or professional careers of our investigators are all important goals of the College of Medicine. In addition, the College of Medicine adheres to the same patent policy, scientific misconduct, and conflict of interest and commitment policies as UAMS.
   
   
3. UAMS private grant or contract budgets must include an indirect cost rate of 25%, based on a total direct cost method, unless negotiated otherwise with ORA. Recognizing that this may prevent the acceptance of awards from certain funding agencies (such as the March of Dimes, American Heart Association, etc.), and recognizing that under some circumstances this rate may prevent attracting some grants, a negotiation between such agencies and the ORA for modifying the 25% indirect cost may at times be undertaken.
   
   
4. Completion of a grant or contract is defined by submission of the final research report or summary to the funding agency. The final research report must be signed by the PI and the PI's UAMS Department Chairperson, signifying that all obligations outlined in the Research Plan of the proposal have been properly met and that any outstanding expenses will be paid by either the PI or his/her UAMS Department.
   
   
5. All research equipment, supplies, materials, and products awarded to the University become the property of UAMS and are subject to the equipment policy of the UAMS. Should the PI leave the University for any reason, these items will normally remain the property of the College of Medicine. Should an investigator wish to move such items to another research institution, an internal review will first be conducted to determine the nature of the equipment purchase and its current and future use and need, etc. The PI may then negotiate to transfer all or part of the equipment to another research organization, depending on the nature of the funds used to purchase the equipment, obligations to other faculty members, etc. It is the intent of the College of Medicine to negotiate a fair resolution. At the VA Medical Center, all equipment purchased through the BRF remains the property of the BRF.
   
   
6. Should the PI leave the College of Medicine for any reason, an internal review of the PI's UAMS accounts will be conducted to determine the nature of the award, current and future obligations to other faculty, etc. In the event that the PI leaves before the Research Plan of any grant is complete and while there are funds remaining in an individual research account, the ORA will work with the PI and the awarding agency either to transfer the funds with the PI to another academic/research institution, return the remaining funds to the funding agency, or work out some other arrangement after all expenses incurred by that project have been paid. The PI may negotiate for transferring all or part of General Research Account funds, depending upon the results of the review. It is the clear intent of the College of Medicine to negotiate a fair resolution of all remaining obligations and funds.
   
   
7. The College of Medicine and UAMS take no responsibility for funding research. No award will be accepted by the ORA to conduct research without having all expenses cost accounted in a clearly defined research budget. Thus, in the course of conducting the research, should it become apparent that the costs to conduct the research outlined in the Research Plan (or in any changes mutually agreed upon by the PI and the funding agency in the Research Plan) will exceed funds budgeted for the research, it is the PI's responsibility to obtain additional funds. Unless otherwise stated in writing at the time of the award, the PI may choose from three options: First, the funding agency may supplement the original award with funds sufficient to cover the entire cost of the research as outlined clearly in a revised budget, and a revised Research Plan where appropriate; second, the PI may choose to obtain other funding sources to complete the work (again with revised budget and research plan where appropriate); third, if the PI fails to obtain additional funds to complete the research, the funding agency may request a return of the remaining funds and the project will be terminated.

Adopted for the College of Medicine by the Council of Department Chairmen, 5/5/97, and by the Executive Committee, 5/15/97.