Terms & Conditions of Grant Awards

American Health Assistance Foundation
Research Grant Programs

The American Health Assistance Foundation (AHAF) awards grants for basic research on the causes of and treatments for Alzheimer’s disease, Macular Degeneration, and Glaucoma. Its programs include Alzheimer’s Disease Research (ADR), Macular Degeneration Research (MDR), and National Glaucoma Research (NGR).

Definitions and Abbreviations

• ADR: Alzheimer’s Disease Research, a program of the American Health Assistance Foundation
  
  
• Agreement: The agreement defined in the present document unless represented as “Grant Agreement”, defined elsewhere in the section entitled Definitions and Abbreviations
  
  
• AHAF: The American Health Assistance Foundation
  
  
• Grant: Financial award of funds for research on the causes of and treatments for Alzheimer’s disease, Macular Degeneration, and/or Glaucoma.
  
  
• Grant Agreement: The agreement defined by the documents including the documents, entitled “Terms and Condition of Grant Awards”, and the “Patent and Intellectual Property Policy”. The granting agreement is understood to be made in support of the specific aims of the research formally proposed by the Principal Investigator through AHAF’s award application process.
  
  
• Grantee: The grant recipient of the AHAF award. The individual whose name appears as Principal Investigator for the AHAF Award.
  
  
• Grantee Institution: The college, university, organization or institution to which the Grant is awarded is granted.
  
  
• MDR: Macular Degeneration Research, a program of The American Health Assistance Foundation
  
  
• NGR: National Glaucoma Research, a program of The American Health Assistance Foundation
  
  
• No Cost Extension (NCE): An extension of a Grant term to expend unused Grant funds or allow for completion of proposed research.
  
  
• Official Written Correspondence: Written or electronically delivered communications reasonably understood to have originated from an identifiable individual representing either the Grantee, Grantee Institution, AHAF, or their agents. Such communications may be by written letter delivered through the postal system, or electronic representations of such communications provided as images bearing a facsimile of the sender’s signature.
  
  
• Principal Investigator: The individual designated as the lead researcher whose name appears as Principal Investigator for the AHAF Award on the Grant Application. This person shall also serve as the primary contact for all communications regarding the AHAF award.
  
  
• Reagent: A product used, by virtue of its mechanical, chemical or biological activity, to detect measure, examine, analyze, or produce other products (e.g., recombinant DNA clones, cultured cell lines, hybridoma cell lines, mutant or unique organisms, software, or equipment).
  
  
• Research Misconduct: An act of falsification, fabrication, or plagiarism of data or results or the omission of material data or results.

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Terms of Funding

[1] Funding Restrictions

AHAF will fund grants for research at non-profit organizations or institutions only. Each Grantee Institution must submit evidence of its tax-exempt status to AHAF prior to the distribution of any Grant including but not limited to, a tax determination from the Internal Revenue Service.

For foreign institutions: Each Grantee Institution must submit evidence of its tax-exempt status to AHAF prior to the distribution of any Grant, including but not limited to, a determination of tax-exempt or nonprofit status from their home country of origin.

Funds shall be awarded to the Grantee Institution and not to individual Principal Investigators. All Grants must be used exclusively for research and research equipment not for overhead, capital expenditures, administrative costs or other peripheral costs, except as set forth below. AHAF, in its discretion, may make an exception for costs associated with the publication of the results of the AHAF sponsored research in academic journals, or for costs associated with participation in academic conferences.

The AHAF Grant may pay for all or a portion of the salary of the Principal Investigator provided the salary request is justified in the Grant application and is in accordance with rules specified in the application guidelines. Acceptance of these terms and conditions shall constitute an affirmation that the Principal Investigator is of the professional rank or status required by the application guidelines.

[2] Discontinuation of Grant Funding

Although AHAF has committed grant funds for the stated term of the Grant, it reserves the right to terminate the Grant at any time prior to the end of the Grant term in the event the work performed is in breach of any of the terms and obligations stated herein. In the event of termination, no further Grant payment will be made and the Grantee Institution shall be required to return any Grant funds that have been advanced.

Either party may terminate the Grant Agreement upon thirty (30) days prior written notice to the other party. If terminated by AHAF, then AHAF is entitled to full repayment for all costs and non-cancelable commitments incurred as of the effective date of the termination. Non-cancelable commitments include, but are not limited to, all costs associated with expenditures such as a graduate student’s appointment within a given academic year.

Discontinuation of Grant Funding due to Research Misconduct or other malfeasance shall be treated as a special circumstance as described in separate sections of this document.

[3] Anti-Terrorism Compliance

Both the Principal Investigator and Grantee Institution hereby warrant and represent that neither have provided and will not provide support, information or resources to an individual or an entity that advocates, plans, sponsors, engages in, or has engaged in terrorist activity; or to anyone who acts as an agent for such an individual or entity. Support or resources include but are not limited to, currency or other financial instruments, financial services, lodging, training, safe houses, false documentation or identification, communication equipment, facilities, weapons, lethal substances, explosives, personnel, transportation, research data and any other services or physical assets. Any violation of this representation is grounds for immediate termination of the Grant Agreement and return to AHAF of all funds advanced to the Grantee.

In the event of termination for the reasons set forth above, the Principal Investigator and Grantee Institution shall be required to reimburse AHAF for all reasonable costs incurred by AHAF in obtaining the return of the Grant award funds, including but not limited to, reasonable attorney's fees, except as prohibited by applicable state law.

Any Principal Investigator determined to violate this Section shall be prohibited from seeking future funding from AHAF.

Any Grantee Institution determined to violate this Section shall be prohibited from seeking future funding from AHAF.

[4] Research Misconduct

The Grantee Institution identified in the Grant Agreement shall have in place adequate controls and systems for assuring the quality and integrity of research carried out under the supervision of the Principal Investigator so that Research Misconduct shall be prevented, and if not prevented, the conduct shall be detected and terminated forthwith. The Grantee Institution shall have effective mechanisms for identifying Research Misconduct and shall have clearly publicized rules and procedures for investigating allegations of Research Misconduct.

AHAF holds both material and intangible interests in all research conducted by scientists to whom AHAF has provided current or previous Grants. In the event that the Principal Investigator, research team, or staff is found to be guilty of Research Misconduct by the Grantee Institution, AHAF holds the right to terminate funding of any current Grant to that Principal Investigator, research team, or staff member.. Termination of the award may be initiated regardless of whether the perpetrator of the misconduct was the named Principal Investigator or any person under the supervision of the Principal Investigator, including but not limited to students, trainees and employees. Termination of funding may be initiated if the perpetrator of the misconduct is a collaborator or person under the supervision of a collaborator named on the AHAF proposal only if the Research Misconduct is directly related to the AHAF Grant.

Termination of the Grant Agreement due to Research Misconduct shall require the return of all Grant funds advanced to the Grantee Institution in the name of the Principal Investigator. In the event of termination for the reasons set forth above, the Principal Investigator and Grantee Institution shall be required to reimburse AHAF for all reasonable costs incurred by AHAF in obtaining the return of the Grant award funds, including but not limited to, reasonable attorney's fees, except as prohibited by applicable state law.

The interest of the American Health Assistance Foundation in any Grant awarded shall be understood to persist indefinitely following the expiration of the Grant. Should Research Misconduct be proven in relation to any prior AHAF Grant, AHAF shall have the right in its discretion the right to demand the return of all funds advanced to the Grantee Institution under the Grant and the reimbursement of all reasonable costs incurred by AHAF in obtaining the return of the Grant award funds, including but not limited to, reasonable attorney's fees, except as prohibited by applicable state law.

AHAF may, in its discretion, decline the application of, prohibit any investigator found to have been guilty of Research Misconduct from seeking future Grant funding from AHAF.

[5] Overlapping Grant Awards

AHAF awards funds with the express understanding that AHAF is the exclusive financial supporter of the research project for which Grant monies were requested. AHAF does not allow AHAF Grant funds to be used for research projects funded, in whole or in part by another source without express written permission. Failure to report the receipt of overlapping grant funds shall require the return of all monies awarded by AHAF to the Grantee Institution in the name of the Principal Investigator. In the event of termination for the reasons set forth in this Section, the Principal Investigator and Grantee Institution shall be required to reimburse AHAF for all reasonable costs incurred by AHAF in obtaining the return of the Grant award funds, including but not limited to, reasonable attorney's fees, except as prohibited by applicable state law.

[6] Use of Human Subjects or Vertebrate Animals for Research

Research projects involving human subjects and/or vertebrate animals must meet or exceed standards required for United States of America federal government funding including all rules and regulations developed by the National Institutes of Health. If the proposed research will involve the use of human or vertebrate animal subjects, a signed release from the appropriate committee of the Grantee Institution must be provided to AHAF to demonstrate approval of the proposed research protocol(s) before Grant funds are released.

If the project is to be funded through an award to a foreign institution or through an individual fellowship award that will support activities at a foreign institution, AHAF requires a statement of compliance from the Grantee Institution that the activities will be conducted in accordance with all applicable local laws and regulations in the foreign country. Such foreign protocols must meet or exceed standards required for United States of America federal government funding for research projects.

[7] Indemnity

The Principal Investigator and Grantee Institution agree to indemnify AHAF, its officers, directors, employees, agents, successors and assigns (the “Indemnitee”) from any loss, liability, damage, cost or expense including reasonable attorneys' and accountants' fees suffered by the Indemnitee arising out of, or connected in any way with any claims made against it due to activities involving the Principal Investigator or Grantee Institution's use, planned use, and/or proposed use, at any time, of human subjects, whether alive or dead, including but not limited to clinical trials, basic scientific experimentation or personal injury, bodily injury, and property damage and diagnostic trials, as well as for the breach of any of the representations, warranties, covenants and other agreements made pursuant to this Grant Agreement, except as prohibited by applicable state law.

[8] Sharing of Reagents

Reagents developed during the course of any research funded by AHAF Grants must be made available to qualified investigators following the publication of reports using or describing the Reagents. The Principal Investigator and the Grantee Institution shall provide the Reagents developed during the course of AHAF-sponsored research to other qualified investigators when reasonably requested to do so.

Unpublished Reagents shall be treated as described in the Patent and Intellectual Property Policy Agreement.

[9] Public Education

Acceptance of this Grant shall be deemed consent of the Principal Investigator and the Grantee Institution to the publication of information, including the title of the project, the name and institutional affiliation of the Principal Investigator, the amount of the award and the non-technical project summary. Therefore, the non-technical description should not contain confidential information.

[10] Confidentiality

Any information provided by the Grantee Institution and the Principal Investigator during the grant application process that is explicitly marked non-confidential shall be considered the property of AHAF and shall be used by AHAF for purposes of public education or marketing without further consultation with the Principal Investigator or Grantee Institution. Should AHAF make substantive changes to these materials, the Principal Investigator shall have the right to request permission to review and edit any new version of the document.

The Principal Investigator and Grantee Institution expressly releases AHAF and their agents, officers, directors, employees, licensees and assigns from any and all claims which the Principal Investigator and Grantee Institution have or may have for invasion of privacy, right of publicity, defamation, copyright infringement, or any other causes of action arising out of the use, adaptation, reproduction, distribution, broadcast, or exhibition of any information provided during the grant application process that is explicitly marked non-confidential.

[11] Publications

All publications resulting from research sponsored by AHAF Grants shall give the following or similar credit: Acknowledgement is made to the donors of the XXX, a program of the American Health Assistance Foundation, for support of this research..

Additional acknowledgement should be given to any Grant made in a memorial or honor of a named person. Notification of such memorials or honors shall be made to the Principal Investigator by Official Written Correspondence from AHAF.

[12] Publicity

Publicity of awards is an essential component of AHAF’s mission to educate the public concerning issues regarding AHAF’s program areas. By acceptance of the award, the Principal Investigator agrees to participate in targeted media opportunities such as public service announcements, media interviews, or video news releases, up to maximum of twice per year. Participation beyond the twice per year maximum shall be at the discretion of the Principal Investigator. Arrangements for participation of the Principal Investigator will be made in advance, respecting the schedules of the awardees. The Principal Investigator will not be asked to discuss any unpublished or confidential data, and will be reimbursed for any reasonable expenses associated with participation. Participation of the Grantee Institution in such publicity shall be governed by Grantee Institutional policy. Grantee Institutional representatives other than the Principal Investigator shall only be reimbursed for expenses at the discretion of AHAF.

[13] Renewals

All requests for renewal of AHAF support should be made by submission of a new application. However, for pilot project awards made under the Alzheimer’s Disease Research program, projects may be competitively renewed only by submission of a “Standard” award application.

[14] Requests For Supplemental Funding.

AHAF has an interest in the continued success of its investigators. At the termination of the Grant Agreement, if the Principal Investigator has been unable to secure additional funding for his or her laboratory, AHAF may at its sole discretion, and in rare circumstances, grant limited additional support to the Principal Investigator. Any Principal Investigator seeking such aide should contact the AHAF Research Grants Department for full guidelines and must make the request prior to the expiration of the Grant Agreement.

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Administrative Requirements

[15] Patent and Intellectual Property Policy

The AHAF Patent and Intellectual Property Policy (attached) is an integral part of the AHAF Terms and Conditions of Grant Awards and applies to all Grants provided by AHAF.

[16] Budget Revisions and Extensions of Grant Period

The transfer of more than $5,000 ($1,000 for Pilot or Research Fellowship Awards) from one budget category to another requires written approval from AHAF. Requests for such transfers must be made through Official Written Correspondence.

In the event that there is more than 15% of the total grant award remaining in the Grant account at the end of the Grant period, the Grantee Institution or Principal Investigator may request permission to extend the grant period for a period not to exceed one year with no increase in funding. Requests for such “No Cost Extensions” must be made through Official Written Correspondence.

[17] Transfer of Grants

In the event the Principal Investigator transfers to another university or research facility and wishes to transfer the Grant and equipment purchased with funds from the Grant, he or she must submit a formal request through Official Written Correspondence to the AHAF Research Grants Department for approval to pursue such a change. The new Grantee Institution shall be required to comply with the requirement set forth in this Grant Agreement and become a party to the amended Grant Agreement. The Principal Investigator shall not use Grant funds for any costs related to such transfer.

[18] Financial Reports

AHAF requires a certified financial report for each year of the Grant. The reports shall be prepared using the forms provided by AHAF on its website.

If the grant is for a period of time exceeding one year, a 12-month Interim Financial Report showing allocations and expenditures for the first Grant year (April 1 - March 31) must be submitted by June 1 of each year. This report must be signed by the Principal Investigator and a representative of the Grantee Institution and must show that Grant funds were used in accordance with the approved budget.

Delinquent reports will result in delays of scheduled award payments or, at the sole discretion of AHAF, termination of the Grant.

A Final Financial Report showing allocations and expenditures for the Grant year (April 1 - March 31) must be submitted by June 1 or two months after expiration of the Grant Agreement, if the grant has been extended. This report shall be made in lieu of the Interim Financial Report. This report must be signed by the Principal Investigator and a representative of the Grantee Institution and must show that grant funds were used in accordance with the approved budget.

AHAF shall have the right to decline to review future funding proposals made by any Principal Investigator who fails to submit the Final Financial Report required of a prior AHAF Grant until such reports are submitted to AHAF.

[19] Scientific Progress Reports

If the Grant is for a period exceeding of one year, the Principal Investigator must submit an Interim Scientific Progress Report detailing progress made towards the specific aims of the Grant. This report shall be signed by the Principal Investigator and must be submitted by February 15th of each year.

Delinquent reports will result in delays of scheduled Grant payments or, at the sole discretion of AHAF, termination of the Grant.

For all Grants, a Final Scientific Progress Report must be submitted within 60 days of the end of the Grant period. This report should be made in lieu of the Interim Scientific Progress Report in the final year of the award. This report must be signed by the Principal Investigator.

AHAF will provide forms for submission of the progress reports. Reprints of subsequent publications acknowledging support of AHAF should be submitted, as they become available.

AHAF holds the right to decline to review future funding proposals made by any Principal Investigator who fails to submit the Final Scientific Progress Report required of a prior AHAF Grant award until such reports are submitted to AHAF.

The Principal Investigator will be contacted in years 1, 2, and 5 following the expiration of the award. At this time the Principal Investigator will be asked to respond to a brief inquiry regarding any publications or other reportable outcomes that may have arisen from AHAF support.

[20] Document Retention

The Grantee shall retain copies of all Official Written Correspondence related to the AHAF Grant for a period of 3 years following expiration of the award.

AHAF, in some circumstances, accepts electronic or other facsimile copies of written letters. However, it does so only with the understanding that the original document remains in the possession of the sender of the correspondence and that the original document will be made available upon request by AHAF.

Research data and notebooks shall be maintained by the Principal Investigator or Grantee Institution in perpetuity.

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Last Reviewed On: 09/26/08