Chapter 1-500: Principal Investigator Guidelines

1-510 Solicitation Authority

No solicitation or application for extramural support of research, training, or public service programs or projects shall be made officially in the name of the University without the prior approval of The Board of Regents or of an authorized Officer or official of the University, as set forth in Chapter 13, Legal Authorities and Principles, of this Manual. This approval should be based on a review of an adequately prepared written proposal, submitted by an individual authorized to do so in accordance with the following sections 1-520 and 1-530.

University officials empowered to approve proposals for research, training or development contracts or grants may authorize investigators to make informal approaches to extramural funding agencies for the purpose of determining whether preparation of a formal, written proposal for a specific project is warranted, providing that preliminary estimates of the full cost of the project (including employee benefits and indirect costs) have been made, and the project is otherwise in accord with University policy.

1-520 Leadership of a Sponsored Project

An essential qualification of the individual who proposes to head an extramurally supported research, training, or public service project is that he or she will personally participate in it to a significant degree. It is contrary to University policy, and is viewed with extreme disfavor by sponsoring agencies, to list as head of a project the name of an individual, however prestigious that person may be, who will contribute only a minimum or nominal portion of their own time and effort to the furtherance of the work. Within this basic qualification:

  1. The head of a research project is called a Principal Investigator. On occasion, he or she may have one or more Co-Principal Investigators who share with him or her responsibility for participatory conduct of the project.
  2. The head of a training or public service project may be also be called a Project Administrator or Project Director.
  3. The head of a program involving more than one project may be also be called a Program Administrator.

1-530 Who May Submit Proposals

A research project proposal may be submitted only by academic appointees (singly or jointly) who will personally participate in the project in a significant manner and also serve as the Principal Investigators. A training project proposal may be submitted only by an academic appointee who will personally participate in the project and also serve as the Project Director or Administrator. A proposal for a research, training or public service program involving more than one project may be submitted only by an academic appointee who will personally participate in the projects and also serve as the Program Administrator.

  1. Academic appointees in the following title groups are eligible to submit proposals for research or training contracts or grants, subject to conditions, restrictions, and review procedures which may be established by a Chancellor, the Vice-President--Agriculture and Natural Resources, or the Dean of University Extension after he or she has obtained advice from the appropriate committees of the Academic Senate. Such conditions, restrictions, and review procedures shall include considerations of educational policy and academic, fiscal, and physical planning. Furthermore, a Chancellor may restrict the privilege to submit proposals, by personnel not members of the Academic Senate and not appointees in the Agronomist series, to those individuals for whom special justification has been established. Those who submit proposals should be encouraged to plan the projects to be educationally and financially helpful to students whenever possible. Projects which interfere with the regular instructional and research responsibilities of the University shall not be accepted.
    1. Members of the Academic Senate, including emeriti.
    2. Appointees in the Agronomist series, including emeriti.
    3. Appointees at 50 percent or more of full time in the Adjunct Professor series.
    4. Appointees at 50 percent or more of full time in the Health Sciences Clinical Professor series.
    5. Appointees at 50 percent or more of full time in the Professional Research series.
    6. Appointees at 50 percent or more of full time in the Specialists in Cooperative Extension series.
  2. Upon receipt of the approval of the appropriate officer (Chancellor, Vice President--Agriculture and Natural Resources, Dean of University Extension), a person holding appointment in one of the following title groups may submit a proposal for a training or training-related research contract or grant.
    1. Supervisor of Physical Education series.
    2. Cooperative Extension Advisor series.
    3. Continuing Educators series.
  3. By exception, Chancellors, Vice Presidents, or the Dean of University Extension, or their authorized designee, may approve the submission of a contract or grant proposal by other appointees in special circumstances when such action is in the best interest of the University, and provided that space and facilities can be assigned without detriment to the regular instructional and research responsibilities of the University. In such cases, a written explanation of the approval should be included in the project file as a matter of record.