Purpose

To establish the role and responsibilities of a Principal Investigator of an Externally-Sponsored Activity; the categories of appointments for those individuals who are eligible to serve as a Principal Investigator; and an approval procedure to allow those individuals who are not included in the default categories to serve as Principal Investigators.

Scope

This policy applies to all campus community members (including but not limited to university faculty (tenure system, specialized, adjunct, visiting), staff, students, Postdoctoral Appointees, visiting scholars, and visiting scientists) who are engaged in Externally-Sponsored Activities conducted in campus facilities or at off-campus locations.

Authority

Vice Chancellor for Research and Innovation

Policy

The Principal Investigator (PI) is responsible for the design, scientific and technical conduct, administrative oversight, fiscal accountability, regulatory compliance, and reporting for an Externally-Sponsored Activity.  Furthermore, to fulfill their responsibilities as a Principal Investigator, the PI must have access to all data collected as part of an Externally -Sponsored Activity. If the sponsor allows, an activity may have Co-Principal Investigators who share the above authority and responsibility. If there are Co-Principal Investigators, each shall have the authority and be responsible for the proper conduct of the activity.

An individual with an appointment in one of the following categories, whether in regular or emeritus status, with a Significant Physical Presence on campus as defined below, may serve as a Principal Investigator without the need to seek approval under this policy:

• Professor (Assistant, Associate, and Full)

All other individuals not listed above must seek approval to serve as a PI of an Externally-Sponsored Activity in accordance with this policy.

The Vice Chancellor for Research and Innovation delegates the authority to provide and revoke approval to serve as a PI to academic deans, institute directors, and campus administrative officers.

Upon approval by the applicable academic dean, institute director, or campus administrative officer, an individual with a Significant Physical Presence on campus as defined below and who holds an appointment in one of the following categories may serve as a principal investigator:

• Specialized Faculty of the professorial rank: all ranks of Teaching, Research, and Clinical Professors
• Other Academic Appointment
• Postdoctoral Appointee
• Academic Professional
• Civil Service Exempt

An individual with an appointment in one of the following categories may not serve as a Principal Investigator of an Externally-Sponsored Activity:

• Undergraduate or graduate student employee
• Hourly employee

Eligibility to serve as a Principal Investigator of a compliance protocol (e.g., IRB or IACUC) that is not externally funded is the subject of a separate policy (see RP-18).

Definitions

Principal Investigator (PI)
An individual vested by the university with the primary responsibility to independently design, conduct, and supervise sponsored projects awarded to the university.Co-Principal Investigator (Co-PI)
Individuals who share the authority and responsibility as Principal Investigator on projects where the sponsor allows more than one Principal Investigator.Co-Investigator
Individuals who serve as key project personnel, but without the oversight responsibility of a Principal Investigator.Postdoctoral Appointee
An individual with an appointment as a postdoctoral associate, trainee, fellow, scholar or other postdoctoral position, who has received a doctoral degree (or other terminal degree), and is engaged in a temporary and defined period of mentored advanced training to enhance necessary professional skills and research independence to pursue his/her chosen career path.Externally-Sponsored Activity
A research, instructional, or public service activity that is funded by a sponsor external to the university.Significant Physical Presence
An individual is considered to have a Significant Physical Presence if they are routinely available at their assigned location. A visible and active presence is essential for appropriate oversight.

Processes/Procedures/Guidelines

A unit executive officer shall first decide whether or not to request approval for an employee to serve as a Principal Investigator of an externally-sponsored activity.  If not, then the process stops here. If so, then the unit executive officer shall submit to the applicable academic dean, institute director, or campus administrative officer a request for approval of an individual to serve as a Principal Investigator, which should include the following information:

• The category of appointment of the proposed Principal Investigator identifying their current appointment, planned appointment or changes in appointment, and the duration of the appointment.  The appointment of the proposed PI should be congruent with the needs of the project.
• A brief description of the proposed project, including the title, scope of work, and sponsor, and how the project aligns with the proposed PI’s responsibilities.
• A brief description of the qualifications of the proposed PI, and the level of mentorship available, if applicable.
• A confirmation that the proposed PI is able to provide the required significant physical presence for the duration of the activity.
• An affirmation from the unit executive officer that space and facilities will be provided without detriment to the regular instructional or research responsibilities of the unit in which the project will be performed.

The academic dean, institute director, or campus administrative officer should review all requests for approval taking into consideration the qualifications of the individual, the scope of work, the sponsor, and the level of mentorship available, if applicable. Depending upon the circumstances, the academic dean, institute director, or campus administrative officer may limit the approval to a specific sponsored project or subject to specific conditions. The academic dean, institute director, or campus administrative officer will document all approvals and make them available upon request to relevant units, including Sponsored Programs Administration, University Legal Counsel, University Audits, and other compliance units.

The academic dean, institute director, or campus administrative officer may revoke approval for an individual to serve as a PI for repeated and substantiated non-compliance.

For more information, refer to Office of the Provost, Communication 19: Sabbatical Leaves of Absence, Communication 25: Employment Guidelines for Specialized Faculty Holding Non-Tenure Systems Positions, and Communication 26: Promotion to Teaching, Research or Clinical Associate or Full Professor Titles.

For Frequently Asked Questions related to this policy, please see Business Policies & Guidelines.

Exceptions

The Vice Chancellor for Research and Innovation may approve exceptions to this policy.