To: PPSS3DS@listserv.arizona.edu

Subject: Status as a "Principal Investigator"

 

Office of the Vice President for Research and Graduate Studies

Administration Bldg., Rm. 601 - PO Box 210066

Tucson, Arizona 85721-0066

 

PHONE: (520) 621-3513 - FAX: (520) 621-7507

 

http://vpr2.admin.arizona.edu

THE UNIVERSITY OF ARIZONA ®

TUCSON ARIZONA

 

MEMORANDUM

 

April 30, 2003

 

TO: Deans, Directors, and Department Heads

 

FROM: Richard C. Powell, Vice President for Research and Graduate Studies

 

SUBJECT: Status as a "Principal Investigator"

 

Recently it has been brought to my attention that there is confusion about who may serve as a principal investigator on projects being conducted under the auspices of the

University of Arizona. The principal investigator is the individual bearing primary responsibility for all essential aspects of the work being carried out, including technical

compliance, completion of programmatic work, fiscal stewardship of sponsored funds, and compliance with administrative requirements of the project. With the oversight

responsibility implicit in the University's acceptance of outside funds for a project, the University must be in a position of authority over the principal investigator's actions. The general rule is that a principal investigator must be an employee of the University of

Arizona.

 

In the research context, employee means that, either:

 

1. The University has issued and the individual has signed an annual Notice of Appointment or Notice of Reappointment, whether or not the

    individual receives state funding or receives funding through the University from outside sources such as grants, contracts or other non-

    state sources of funding; or

 

2. The individual

 

    a. has received a Notice of Association from the President of the University; and

    b. has a contractual relationship with an entity affiliated by contract with  the University (for example, University Physicians Inc., Veterans

    Administration, Scottsdale Healthcare or others); and

    c. agrees to be bound by and subject to all policies and rules that apply to all UA employees related to their conduct of such projects; and

    d. has signed an agreement with the University in which the responsibilities for claims arising out of research activities and

    professional services are clearly delineated, which agreements shall be reviewed by the University Attorneys' Office prior to their execution;

    and

    e. has an appointment in a College in which such project(s) would be conducted most appropriately, which appointment does not violate

    any other policies, practices or agreements of that or any other College.

 

Notices of Association and affiliations that do not require such individuals to sign an

agreement annually such as that set forth in paragraph 2.d. above with either the

University of Arizona or one of its contractually affiliated organizations do not confer

employee status.