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Definition of a Principal Investigator
A Principal Investigator (formerly, project director) is the person designated on the Proposal Approval Form (PAF) as the individual responsible for the administrative and programmatic aspects of the proposed project.* The Principal Investigator must have the technical competence and substantive capabilities (scientific, administrative, and otherwise) to carryout a sponsored project.
The Standard Practice Guide states that a Principal Investigator has "ultimate responsibility for the administrative and programmatic aspects of the project including ensuring funds are spent in accordance with University and sponsor guidelines." The Principal Investigator must be treated by the appointing unit as an independent investigator and by the University as a non-temporary employee.
Under these broad criteria, tenure-track faculty (Instructor through Professor) and research faculty (Research Investigator through Research Professor) are eligible to serve as Principal Investigators (as are Emeritus appointments in these ranks). Clinical professorial staff at the Medical School/Hospital may also be appointed as Principal Investigators.
Regardless of experience and education, Research Associates, Research Assistants, and P&A staff are not considered to be independent investigators. In general, only on rare occasions will personnel who are not tenure-track or research faculty be permitted to serve as Principal Investigators on research projects.
Post-doctoral/Research Fellows are considered to be in training, and are neither permanent nor independent. Some sponsored programs, however, are directed specifically to the support of post-doctoral candidates and/or graduate students (e.g., fellowships, traineeships, grant-in-aid programs). The post-doctoral candidate or graduate student may be designated as the principal participant in proposals for such projects, under the overall supervision of a faculty member who would serve as the Principal Investigator and is so designated on the PAF.
Exceptions:
Each of the following are exceptions to the generally applicable PI eligibility limitations described above. DRDA Project Representatives will review each PI exception and grant approval of the exception on a case-by-case basis. In some situations DRDA will consider the exception only if certain conditions are met:
- Since Lecturers and Visiting and Adjunct appointments are not permanent, Visiting and Adjunct Faculty (instructional and research) will only be permitted to be Principal Investigators if the unit supports the appointment and the individual draws his or her salary through the University (i.e., they must be paid employees). Any request for exception requires a written document from the Dean supporting the PI assignment and explaining why the exception is necessary. The document must accompany each PAF to which the exception applies.
- Heads of non-research and non-teaching units are occasionally permitted to be Principal Investigators on projects considered to be within the scope of their duties.
- Proposals have been processed from individuals who are not permanent or independent but for whom the promotion to an eligible position, prior to award, is assured by the department and the school. This must be noted on the Proposal Approval Form (PAF).
Unit Heads are reminded that fiscal and program responsibility for the project may revert to their office if, for any reason, the Principal Investigator is unable to complete the assignment.
*This definition is used for extramural sponsored projects only. Other University units and programs also use the term Principal Investigator and may apply different eligibility criteria. Examples include the Institutional Review Boards and some internal funding competitions.
Last reviewed: November, 2003