RA03 Eligibility to Serve as Principal Investigator (PI)

Contents:

PURPOSE:

To identify the criteria for serving as a Principal Investigator (PI) or Co-Principal Investigator (Co-PI) any agreement processed through the Office of Sponsored Programs, the Office of Research Affairs (College of Medicine), or the ARL Business Office. Although the University is legally responsible to the sponsor as the actual recipient of a grant or contract, the PI is held accountable for the proper fiscal management and conduct of the project.

GUIDELINE:

Eligibility to serve as PI is contingent upon PIs fulfilling their responsibilities as articulated in RA02 - Stewardship of Sponsored Programs, including their responsibility to submit their reports in accordance with the terms and conditions of their awards. Only individuals holding full-time faculty rank of Assistant Professor and above may normally accept the role of a Principal Investigator. In all cases, eligibility to serve as PI also will be subject to any applicable sponsor-imposed rules or guidelines. All individuals, regardless of rank, must sign an appropriate Intellectual Property Agreement prior to serving as PI or Co-PI on a sponsored project.

NOTE 1. Service of emeritus or retired faculty as either a principal investigator or co-investigator is subject to adherence to RAG03 - Retired Faculty Participation and HR45 - Post-Retirement Appointments.

NOTE 2. Additional guidance regarding Visiting Non-Tenure Line Faculty (aka “Visiting Faculty” or “Visiting Professors”) can be found here: https://vpfa.psu.edu/faculty-recruiting-and-hiring-resources/. This category does not include Visiting Scholars, which are governed under AC01 – Visiting Scholars.

NOTE 3. The title of “Academic Affiliate” includes individuals with an academic affiliation with Penn State, but who are neither employed nor paid by the University. (See HR06 – Types of Appointments for a more detailed definition.) This category of individuals includes certain clinical faculty at College of Medicine, emeritus retirees, visiting scholars, and visiting faculty. Please see these specific categories in the grid above to determine eligibility to serve as PI or Co-PI.

NOTE 4. “Affiliate Academic Appointments” are granted to staff members who may occasionally perform educational services. Please see AC85 – Affiliate Academic Appointments for a more detailed definition. Affiliate Academics may not ordinarily serve as a PI or Co-PI on a sponsored project except to the extent they meet the requirements specified above for Staff.

NOTE 5. Graduate students are only allowed to serve as PI on programs specifically designated for graduate students, e.g., NSF DDIGs. Graduate students may be listed as PI on sponsor forms as appropriate, but the student's advisor will be listed as PI in all university systems.

NOTE 6. Staff cannot normally serve as PI on research awards. They may serve as PI on non-research awards (instruction, outreach) with approval of their Dean and/or administrative unit head. They also may serve as PI on ARL and Cooperative Extension awards.

NOTE 7. Collaborators from other institutions may sometimes be listed as Co-PIs on certain proposal documents (face pages, key personnel listings) if permitted under sponsor rules. Prior to listing a non-PSU collaborator on a proposal, Penn State must secure all required representations and certifications from the collaborator's institution.

Additional Notes:
•    The Office for Research Protections uses the term "Principal Investigator" to refer to the individual responsible for managing a research protocol (as in the case of human subjects research). The rules identified above are not intended to establish the criteria for serving as a PI on such protocols.
•    The College of Medicine continues to use certain academic titles no longer listed in AC21 - Definitions of Academic Ranks. Research Associates and Senior Research Associates at the College of Medicine may continue to serve as PI and Co-PI on sponsored projects. Instructors, Senior Instructors, and Clinical/Adjunct faculty members at the College of Medicine may serve as Co-PI and, with the approval of their Department Head and Dean, as PI.

FURTHER INFORMATION:

For questions, additional detail, or to request changes to this policy, please contact the Office of the Senior Vice President for Research or the Office of Budget and Finance.

CROSS REFERENCES:

AC01 - Visiting Scholars

AC21 - Definitions of Academic Ranks

AC85 - Affiliate Academic Appointments

HR06 - Types of Appointments

HR45 - Post-Retirement Appointments

RA68 - Postdoctoral Appointments

RAG03 - Retired Faculty Participation

Revision History:

• May 8, 2024 - Updated to include Visiting Scholars, Academic Affiliates, Affiliate Academics, Contingent Workers. Removed Adjunct Faculty as this term is no longer in use.
• December 4, 2018 - Updated faculty ranks to harmonize policy with AC21 Definitions of Academic Ranks
• September 11, 2017 - Noted eligibility of Cooperative Extension staff to serve as PI
• February 26, 2016 - New Policy