Policy Regarding
Investigators
with Joint UK/VA Appointments
Two additions have been made to the
Administrative Regulation applicable to the administration
of sponsored projects (AR II-1.0-3). Paragraph G, shown
below, has been added to section VII and clarifies who may
serve as principal investigator of a sponsored project. A
new appendix has also been added to address investigators
with joint University of Kentucky and Veterans
Administration appointments. The appendix is included here
in its entirety. The changes were effective May 23, 2001
and should appear in the next update of the ARs at the UK
Web site.
If you have any questions, contact
Deborah Davis at 7-8311 in the Office of Sponsored
Projects Administration.
Section VII. Solicitation
of Agreements
G. Only regular, full-time UK employees
are eligible to serve as principal investigators on
externally funded sponsored projects. Any exception
requires a justification and approval by the appropriate
chair, dean and chancellor. Individuals with Veteran’s
Administration and university joint appointments may serve
as principal investigators in accordance with the policy
outlined in. Appendix II of this AR.
APPENDIX II
INVESTIGATORS WITH VA-UK APPOINTMENTS
POLICY AND PROCEDURE
The University has a number of faculty
who have Veterans Administration Medical Center (VAMC) and
University (UK) appointments (see AR II-1.0-1, L.). The
VAMC portion ranges from one-eighth to eight-eighths of
the faculty member's appointment.
This Appendix provides guidance on the
percentage of university effort available for funded
research activities and the appropriate documentation and
approval required prior to submission of a proposal.
1. Investigators holding joint VAMC and
UK appointments, regardless of the percentage effort at
the VAMC (i.e., up to and including eight eighths), are
eligible to submit grants through UKRF, following all
appropriate reviews and approvals.
2. The VAMC bases employee commitments
on a 40-hour week (e.g., a 1/8th appointment
means a five-hour commitment). However, this does not
limit the corresponding UK appointment to the difference
between 40 hours and the VAMC commitment. A work week of
up to 60 hours will be considered reasonable.
3. Prior to submitting a proposal,
investigators with joint appointments must have a
Memorandum of Understanding (MOU) that specifies the title
of the individual’s appointment, the responsibilities at
both the VA and UK, and the percentage effort available
for research. The MOU reflects 100 percent of the
individual’s combined VA and UK responsibilities. It
must be signed by the department chair, dean and
appropriate VAMC officials and must be updated at least
annually. The form includes a certification that there is
no possibility of dual compensation for the same work or
of an actual or apparent conflict of interest regarding
such work. The completed and signed form will be kept on
file in the dean’s office.
A pdf sample MOU is
available by clicking the link below. In the sample, the
investigator has a 20-hour commitment to the VAMC and
approximately 40 hours committed to UK. Ten hours of the
UK appointment, or 16.7 percent of the combined VAMC-UK
responsibilities, is designated for research activities
and is available to commit to sponsored projects.
4. Faculty who have a VA appointment of
less than 8/8ths will document their university effort
through the faculty effort reporting system. Faculty with
8/8ths VA appointments will document their effort outside
of the effort- reporting system by way of written
documentation (an information-only Distribution of Effort
form is appropriate for this purpose). A copy will be
maintained in the Chair’s and Dean’s offices and a
copy sent to Cost Accounting in the Controller’s
division.
MEMORANDUM
OF UNDERSTANDING (pdf)
