A Letter from Provost Phelps

July 2002

To all University of Rochester Principal Investigators,

The Principal Investigator (PI) role at the University of Rochester brings significant rewards and responsibilities. PI's are responsible for the intellectual direction of research and scholarship as well as for the education and training of students. PI's are also responsible for the financial oversight of their awards and for compliance with laws and regulations regarding all aspects of the research enterprise.

The University of Rochester has been fortunate to enjoy a significant increase in research funding in the last several years. Increased funding brings increased responsibilities. Funding agencies are focused on compliance, ranging from human subjects protection to timely and accurate financial reporting. Noncompliance has resulted in significant monetary penalties to universities, and even individual criminal penalties in egregious cases. All research intensive universities are evaluating how they provide necessary information on sponsored programs compliance to their researchers and administrators, and what educational mandates should be required. It is imperative to understand the rules and regulations related to your research. This web site is an excellent source of such information; I recommend that you review this web site in detail. Only with compliance and responsible stewardship can we continue in our tradition of research excellence.

Charles E. Phelps
Provost
University of Rochester

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