Policies and Procedures

Roles and Responsibilities of Research

Cost Sharing for External Grants and Contracts
The following policy establishes the procedures for managing cost share for sponsored agreements. “Cost sharing” shall mean the use of UCA's own resources, funds, or third-party contributions toward the total allowable costs of a sponsored project.

Allowable Costs for External Grants & Contracts
The following policy outlines the allowable costs for grants, contracts, and sub-awards at UCA. The policy matches OMB Circular A-21. The Cost Accounting Statements (CAS) and OMB A-21 provide the basic criteria to determine direct costs on federally sponsored projects. Regardless of the funding agency, costs for sponsored programs are based on answering the questions: Are costs allowable, reasonable, allocable, and especially consistent in like circumstances?

Cost Transfers for External Grants & Contracts
UCA has a stewardship responsibility for all sponsored funds; proper management of sponsored project expenditures is essential to meet the fiduciary responsibilities. The intention is to clearly communicate the UCA cost transfer policy and address timing as well as process.

Effort Certification
The purpose of this policy is to make UCA departments aware of the definitions of 100% effort and institutional base salary, and the procedures involved in capturing planned and actual effort of UCA employees for compliance with requirements of external agencies and internal entities.

Overload Policy for External Grants & Contracts
The following policy outlines the conditions of overload (additional compensation) funding with extramural  (federal, state, foundation and other) grants and contracts.

Export Control Policy
UCA, in the absence of extreme circumstances, accomplishes its teaching, research, and service missions without restrictions on publication and dissemination of results. Federal Export Control (EC) regulations, however, may require UCA to obtain authorization from the Department of State, the Department of Commerce, or the Office of Foreign Assets Control before allowing foreign nationals to participate in research involving specific technologies or before sharing research information with individuals who are not citizens of the United States or permanent resident aliens.

Sub-Recipient Monitoring
The following policy establishes the guidelines for monitoring the activities of sub-recipients who receive sub-awards from UCA Sponsored Programs' awards.

Intellectual Property & Technology Transfer Policy
The policy is designed to encourage the development of inventions and other intellectual creations for the best interest of the public, the creator, and the research sponsor, if any. This policy will permit the timely protection and disclosure of such intellectual property whether by development and commercialization after securing available protection for the creation, by publication, or both. The policy is further intended to protect the respective interests of all concerned by ensuring that the benefits of such property accrue to the public, to the inventor, to the university, and to sponsors of specific research in varying degrees of protection, monetary return and recognition, as circumstances justify or require.

Research and Grant Development Program
The fund is used to help faculty win a grant by providing matching funds to meet some grant agency requirements, or to help faculty be successful with a grant proposal in other ways. The fund does not exist to be the primary support mechanism for an individual’s research agenda. In consultation with the Provost/VP for Academic Affairs and Dean of the Graduate school, the Assistant Provost for Sponsored Programs may limit disbursement based on an individual’s history of requests and disbursements. Each support activity must be connected to winning grants from external agencies.

External Funding Incentive Program
The External Funding Incentive Program was established by the UCA Board of Trustees Policy 408.  To qualify for funds, the investigator must follow other guidelines such as contacting Sponsored Programs early, meeting internal and eternal deadlines, and obtaining IRB and IACUC approval as appropriate.

UCA Policy on Financial Conflict of Interest
The purpose of this policy is to promote objectivity in scholarly activities by establishing standards for identifying and managing significant financial conflicts of interest in sponsored scholarly activities. The expected result of the implementation of this policy is that the design, conduct and reporting of sponsored scholarly activities will not be biased by any conflicting financial interest of an investigator.

Policy for Responding to Allegations of Research Misconduct
It is the goal of the University of Central Arkansas to maintain an atmosphere of honesty and trust in which the pursuit and dissemination of knowledge can occur. Integrity in research and scholarship is a fundamental value upon which the University is founded. All members of the University community share responsibility for maintaining a climate of trust between scholars, researchers and students, and between the academic community and the public. Occasionally, however, researchers may, inadvertently or not, violate accepted norms of professional behavior, jeopardizing the reputation of the University, and possibly damaging their careers and those of colleagues. Therefore, a responsibility of the University of Central Arkansas is to establish and enforce policies and procedures that deal effectively and expeditiously with allegations or evidence of research misconduct.

This policy applies to all individuals paid by, under the control of, or affiliated with the University of Central Arkansas, such as the faculty; staff; graduate student assistants; undergraduate, and graduate students conducting research; postdoctoral fellows and postdoctoral research associates; faculty on sabbatical leave; visiting faculty; and adjunct faculty when performing University work. The policy will be followed when an allegation of possible research misconduct is received by an institutional official, although particular circumstances in an individual case may dictate variation from the normal procedures. Any change from normal procedures must ensure fair treatment to the respondent and informant of the allegation. Any significant variation should be approved in advance by the Deciding Official and the Research Integrity Officer (RIO) of the University of Central Arkansas, and if funding is involved, the funding agency and/or the federal Office of Research Integrity (ORI) will be notified and consulted.

Procedures for Responding to Allegations of  Research Misconduct
The purpose of these procedures is to provide advice to university officials on the methods and principles for assessing allegations and conducting inquiries and investigations related to possible research misconduct. These procedures also address requirements for reporting research misconduct investigations, adopting institutional actions in response to findings of research misconduct, and cooperating with the Federal Office of Research Integrity in its review of institutional actions and reports. These procedures are intended to guide institutional officials responsible for assessing allegations, conducting inquiries and investigations, and reporting the results to appropriate agencies. The procedures do not create any right or benefit, substantive or procedural, enforceable at law by a party against the institution, its agencies, officers, or employees. These procedures should be read and implemented in conjunction with the University of Central Arkansas Policy for Responding to Allegations of Research Misconduct.