TRI Awardee Responsibilities

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

Orientation: Awardees must attend an orientation session that reviews TRI’s expectations, available resources, and adherence to federal regulations and NIH policies.

Changes in Scope: Changes in the scope of work, key personnel, and significant budget changes must be approved in writing by TRI. The Principal Investigator (PI) indicated in the notice of award must notify 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 Heath Insurance Portability and Accountability Act (45 C.F.R. Parts 160 and 164) and other research and confidentiality requirements described in UAMS’ Administrative Guide.

Regulatory Approval: Prior to receiving funds and initiating research activities, the PI must obtain all necessary regulatory approvals (e.g., Institutional Review Board, Department of Occupational Health and Safety). Documentation of applicable approvals will be required before funds are disbursed.

Intellectual Property: Any potentially patentable inventions or software arising from the funded project must be disclosed to the University of Arkansas for Medical Sciences. Inventors will, if requested, assign rights to such inventions to 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: PIs are required to provide progress reports, as directed by TRI program staff, after each quarter of the grant period. Reports may be requested at other times as well. Failure to provide requested reports may result in suspension of the project and withdrawal of support. Expenditures will be tracked monthly.

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 TRI and permissions 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 OMB Circulars, State of Arkansas procurement regulations, and 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 relatedness of the expenses to the project.

Limitation on Costs: The TRI through UAMS is not, in the absence of a modification, 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 TRI becomes aware of supplanting, funding for the project will be terminated. Furthermore, supplanting violations may result in suspension of future funds and recoupment of monies provided under TRI’s funding programs.

Publicity/Citation Language: The PI must acknowledge support of TRI and the appropriate award number 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. You can find more specific information about how to properly cite TRI by visiting our Cite TRI page.

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

Scholarly Expectations: The PI is expected to submit a manuscript to a peer-reviewed scientific journal and/or submit a grant application to one or more external agencies as part of the successful execution of the project. Furthermore, the PI must inform TRI of all submitted articles, funding applications, Investigational New Drug (IND) or IDE Investigational Device Exemption applications, and legislative actions  resulting from, in whole or in part, TRI funding or infrastructure services.

Dissemination: Within 1 year of award completion, awardees are required to 1) present their study results to a stakeholder group and 2) develop a dissemination infographic in lay language that will be shared with lay audiences and community stakeholders. An annual workshop for awardees will include training on developing infographics.

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; or
  3. PI on written notice to 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 PI by TRI and/or discontinuation of further spending of funds by PI. The PI agrees to comply with the directions of TRI regarding the unexpended award funds when the grant is suspended.

Awardee Reponsibilities

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