Office of Research, UC Riverside

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Policy#: 527-3

Title: PI Eligibility

Effective: 6/1/2008

Link: http://or.ucr.edu/about/policies-ucr.aspx?k=6

Research Policy

Principal Investigator Eligibility

University of California, Riverside

References

Background and Purpose

The University of California, Riverside is an institution of higher education with an expansive and diverse research enterprise that is predominately funded through sponsored awards provided by external sponsors.

The purpose of this policy is to clarify the University of California policy regarding the eligibility of individuals to serve in the role of Principal Investigator, UCR Co-Principal Investigator, UC Co-Principal Investigator and Non-UC Co-Principal Investigator on sponsored programs at UC Riverside.

Applicability and Effective Date

This policy clarification is issued June 1, 2008 and supersedes previous policy clarifications issued prior to June 1, 2008.

Definitions

Principal Investigator means a UCR employee who is eligible (per UC policy or by an approved policy exception) to submit extramural proposals and who has primary responsibility for the design, conduct, management and reporting of a research, training or public service project, and who will be/is involved in the project in a significant manner. The title Program Director is generally used to denote the Principal Investigator of a training or public service project. Similarly, the titles UCR Co-Program Director, UC Co-Program Director and Non-UC Co-Program Director may be used to denote an individual’s role in a UCR training or public service project, consistent with the definitions noted below.

UCR Co-Principal Investigator means a UCR employee who is eligible (per UC policy or by an approved policy exception) to submit extramural proposals and who has responsibility for the design, conduct, management and reporting of a research, training or public service project, and who will be/is involved in the project in a significant manner.

UC Co-Principal Investigator means a University of California employee who is eligible (per UC policy or by an approved policy exception) to submit extramural proposals and lead sponsored programs at their home campus/location, who has responsibility for the design, conduct, management and reporting of a UCR research, training or public service project, and who will be/is involved in the project in a significant manner.

Non-UC Co-PI means an employee of a non-University of California academic institution who is eligible (per the individual’s institutional policy or by an approved policy exception) to submit extramural proposals and lead sponsored programs at their home institution, who has responsibility for the design, conduct, management and reporting of a UCR research, training or public service project, and who will be/is involved in the project in a significant manner.

Policy Statement

A project may be proposed and led by one or more eligible academic appointees in the role(s) of Principal Investigator, UCR Co-Principal Investigator, UC Co-Principal Investigator, or Non-UC Co-Principal Investigator. Academic appointees in the following title groups are eligible to be Principal Investigator, UCR Co-Principal Investigator or UC Co-Principal Investigator:

  • Members of the Academic Senate, including emeriti.
  • Appointees in the Agronomist series, including emeriti.
  • Appointees at 50 percent or more of full time in the Adjunct Professor series.
  • Appointees at 50 percent or more of full time in the Clinical Professor series.
  • Appointees at 50 percent or more of full time in the Professional Research series.
  • Appointees at 50 percent or more of full time in the Cooperative Extension Specialist series.
  • Appointees at 50 percent or more of full time in the Cooperative Extension Advisor series.

When a proposed project involves more than one investigator with an eligible academic appointment, the investigators will collectively determine which of them will serve as the primary individual responsible for the conduct, administration and financial management of the project, and that individual will be recognized by UCR as the Principal Investigator. UCR will recognize the other investigators as UCR Co-Principal Investigators, UC Co-Principal Investigators or Non-UC Co-Principal Investigators.

Some extramural sponsors make awards that recognize multiple principal investigators. In such cases, Principal Investigators and UCR Co-Principal Investigators may be named in a proposal as principal investigator, as that term is defined in the sponsor’s policy. Each investigator so listed must satisfy the eligibility criteria contained in both the sponsor’s and UCR’s policy. UC Co-Principal Investigators and Non-UC Co-Principal Investigators may also be named in a proposal as principal investigator or co-principal investigator, as those terms are defined in sponsor policy, provided:

  • that each investigator so listed satisfies the eligibility criteria contained in both the sponsor’s and UC’s policy (or their home institution policy, as applicable);
  • that their eligibility is verified by their home UC location or home institution; and
  • each UC Co-Principal Investigator and Non-UC Co-Principal Investigator named in a proposal as a principal investigator or co-principal investigator completes the same campus and sponsor certifications, representations and assurances as those required of Principal Investigators and UCR Co-Principal Investigators.

When a sponsor’s policy regarding eligibility to submit proposals is not congruent with UCR or UC policy, decisions relating to any matters resulting from conflicts between the policies shall be made by the Vice Chancellor for Research or his/her designate.

When an investigator is not eligible to submit extramural proposals and lead sponsored programs at UCR, their home UC location or their home institution, such individuals may serve as Principal Investigator, UCR Co-Principal Investigator, UC Co-Principal Investigator, or Non-UC Co-Principal Investigator (consistent with the above definitions) upon the approval of UCR’s Vice Chancellor for Research. The Request for Exception to Policy Regarding Principal Investigator Eligibility form is to be used to submit such requests.

If an individual’s primary employment is with an entity other than UCR, and the individual holds a UCR academic appointment (paid or unpaid), the individual’s eligibility will be determined first by their UCR appointment and then by their home institution appointment. In such cases, if the individual’s UCR appointment does not make them eligible for the role of Principal Investigator or UCR Co-Principal Investigator, the individual may request an exception to policy as described in the preceding paragraph.