Policy on Principal Investigator Eligibility on Sponsored Projects
Dr. David F. Steele
Director, Grants and Research Office
University of St. Thomas
Effective: January 1, 2003
Section I: Purpose
This policy has been developed as a guide for University of St. Thomas academic and fiscal leaders who are asked to review and sign off on grant proposals prepared for submission to external governmental agencies. It is designed to provide a framework for University officials as they determine eligibility of individuals seeking to serve as principal investigators on external grants.
Individuals may not seek nor accept external funds in the name of the University of St. Thomas unless they are eligible to serve as a principal investigator as delineated in this policy.
Section II: Definitions
Principal Investigator. A principal investigator? is an individual who is primarily responsible for, and in charge of, an externally funded sponsored project.
Regular Faculty. A regular faculty is an individual who has a full-time tenured or tenure-track faculty appointment to the University of St. Thomas, or who has a full-time limited-term faculty appointment.
Adjunct Faculty. An adjunct faculty is a non-tenured individual who has a part-time faculty appointment for a specific length of time at the University of St. Thomas.
Other Employees.An other employee is an individual holding a regular, full- or part-time non-faculty appointment at the University of St. Thomas.
Students. A student is an individual who is seeking a degree full- or part-time in an undergraduate, graduate, or professional school program at the University of St. Thomas.
Sponsored Project. A sponsored project is an initiative funded by an externally generated grant, contract, and/or a cooperative agreement.
Section III: Eligibility for Principal Investigator Status
Subsection 1. Regular Faculty. An individual who holds a full-time tenured or tenure-track faculty appointment or a full-time limited-term faculty appointment at the University of St. Thomas is eligible to serve as a principal investigator on a sponsored project, subject to the terms of this policy. An individual holding a limited-term faculty appointment is eligible so long as there is reasonable expectation that the principal investigator will remain a regular faculty member throughout the entire term of the sponsored project.
Subsection 2. Adjunct Faculty. An individual holding adjunct faculty status at the University of St. Thomas is eligible to serve as a principal investigator on sponsored projects at the approval of the departmental chair and dean of the unit in which the individual is employed. Departmental and unit leaders are discouraged from approving adjunct faculty as principal investigators unless there is reasonable expectation that the principal investigator will be serving as an adjunct faculty, regular faculty, or other employee throughout the entire term of the sponsored project.
Subsection 3. Other Employees. An individual holding a regular full- or part-time non-faculty appointment at the University of St. Thomas is eligible to serve as a principal investigator on sponsored projects at the approval of the head of the unit in which the individual is employed.
Subsection 4. Students. Degree-seeking undergraduate, graduate, and professional school students are eligible to serve as a principal investigator on sponsored projects when applying to programs in which the funding agency has stipulated that students are eligible to play that role. Students who are not formally seeking a degree from the University are not eligible to serve as a principal investigator. Students planning to serve as a principal investigator must have the written approval of the departmental chair and dean in which they are registered.
Section IV: Other Considerations
Subsection 1. Reporting Obligations. Adjunct faculty and students serving as a principal investigator must have a regular faculty member provide written confirmation that the regular faculty member will assume responsibility for all reporting obligations to the funding agency in the event that the student or adjunct faculty member fails to perform these duties as assigned by the funding agency and/or the University itself. This written confirmation must be reviewed and signed off by the appropriate dean.
Subsection 2. Changing Status. Any individual serving as a principal investigator on behalf of the University of St. Thomas must formally transfer his or her authority as a principal investigator to an eligible individual within 30 days of a change in status that makes him or her no longer eligible to serve as a principal investigator. This formal transfer of authority must be made in writing, with copies submitted to the funding agency, the Controllers Office, and the GRO. In the event that a principal investigator does not formally transfer his/her authority in violation of this policy, the appropriate dean will identify and appoint a new principal investigator in consultation with the GRO, the Controllers Office, and the funding agency.
Subsection 3. Rescinding Principal Investigator Authority. An individuals status as a principal investigator may be rescinded by the academic vice president for just cause, but the individual may appeal the decision in accord with applicable University policies and procedures.
Subsection 4. Co-Principal Investigators. For each award from an external agency, there is only one principal investigator of record. Principal investigators may, however, elect to designate one or more ?co-principal investigators? as a means of giving public credit to individuals who have contributed significantly to the development of the sponsored project or who plan to play a prominent role in the execution of the sponsored project. Decisions regarding the expenditure of funds, the coordination of the sponsored project, and all interim and final reporting obligations remain the responsibility of the principal investigator.
Section V: Defining the Nature of the Role of Principal Investigator
Subsection 1. Grants and Contracts Awarded to the University. Grants and contracts awarded to the University of St. Thomas in support of sponsored projects are awarded to the institution, and not to the principal investigator. Should a principal investigator lose his or her eligibility to serve in that role, the future of the sponsored project will be determined by the terms of the original award or agreement and/or the directions of the sponsoring agency and/or negotiations between the University and the sponsoring agency.
Subsection 2. Relationship Between the Principal Investigator and the University. The relationship between the principal investigator and the University of St. Thomas is determined by his or her appointment document. The approval of an individual as a principal investigator in no way affects the rights, claims, and duties of that person as may be specified in the tenure code or elsewhere.