Policy Information

Date Established: 2/19/2007
Date Last Updated: 9/24/2013
Category: Research
Responsible Office:
Sponsored Projects Services
Responsible Executive:
Vice President for Research and Economic Development

Policy Contents

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Principal Investigator Eligibility

Summary

Only eligible University at Buffalo (UB) faculty and staff may serve as a Principal Investigator (PI) on externally funded research, training, or other sponsored project.

Policy Statement

In the conduct of sponsored research, the Principal Investigator (PI) bears primary responsibility for the intellectual conduct of a project and accepts overall responsibility for directing the research, overseeing financial transactions, and compliance with the sponsor’s terms and conditions and relevant policies and procedures. To serve as a PI, the investigator must personally participate in the project.

UB faculty and staff eligible to serve as a PI include:

  1. Academic appointees who hold the following titles: Dean, Professor, Associate Professor, Assistant Professor; Research Professor, Associate Research Professor, Assistant Research Professor; Clinical Professor, Associate Clinical Professor, Assistant Clinical Professor; Librarian, Associate Librarian, or Assistant Librarian are automatically eligible to serve as a PI on externally sponsored projects.
  2. Academic appointees with the titles Emeritus, Adjunct, or Visiting Professor may serve as a PI on externally sponsored projects only with the prior written approval of the cognizant dean.
  3. Non-academic professional staff may serve as a PI on an externally sponsored project only with the prior written approval of the provost or cognizant vice president.
  4. Co-principal Investigators (Co-PI), other than students, must meet the same criteria for eligibility as a PI.
  5. Student eligibility for PI status is limited to a Co-PI with a faculty advisor or sponsor who independently qualifies as a PI. Applicants in this category require prior written approval of the appropriate dean of the college or school in which the student is registered.
  6. In rare circumstances in which a UB employee wishes to serve as a PI but does not meet the eligibility criteria set forth above, a request for an exception to this policy must be submitted to the provost for consideration.

Background

It is the intent of this policy that only UB faculty and staff with PI status apply for external funding for sponsored projects.

Applicability

This policy applies to all individuals seeking PI or Co-PI status on any sponsored project.

Definitions

Co-Principal Investigator

An individual collaborating with the PI in the scientific development or execution of a project may be a Co-Principal Investigator (Co-PI). The designation of a Co-PI does not affect the PI’s role as having primary responsibility for directing the research, financial oversight, and compliance with relevant university policies and sponsor terms and conditions.

Principal Investigator

A University at Buffalo (UB) faculty or staff member who bears responsibility for the intellectual leadership of a project. The PI accepts overall responsibility for directing the research, financial oversight, and compliance with relevant university policies and sponsor terms and conditions.

Sponsored Project

Any externally funded research, training, evaluative testing, or public service project directed by UB faculty or staff as part of their university work that requires the university to perform a specified program or deliver a specified.

Responsibility

Who should know this Policy

  • Provost
  • Vice Presidents and Vice Provosts
  • Deans and Associate Deans
  • Department Chairs
  • Principal Investigators
  • Sponsored Projects Services staff

Principal Investigator

  • Obtain eligibility to serve as PI prior to making an application for sponsored project funding
  • Comply with this and all other applicable UB policies

Department Chair

  • Promote faculty and staff awareness of this policy
  • Approve for submission only those sponsored project applications from individuals who qualify to serve as a PI under this policy

Dean

  • Approve PI eligibility for Emeritus, Adjunct, or Visiting Professors
  • Approve PI eligibility for students seeking Co-PI status

Vice President

  • Approve PI eligibility for non-academic professional staff

Provost

  • Approve PI eligibility for non-academic professional staff
  • On rare occasions, grant an exception to this policy

Sponsored Projects Services

  • Submit only those applications for sponsored project funding from an eligible PI or eligible Co-PIs

Contact Information

Sponsored Projects Services                                   
402 Crofts Hall                                               
Buffalo, NY 14260
Phone:  716-645-2634
Fax:  716-645-2760
Website:  www.research.buffalo.edu
E-mail:  info@research.buffalo.edu

History

September 2013
Updated to add deans to the faculty and staff eligible to serve as a PI in the Policy Statement.
March 2011 Updated to add and clarify the Principal Investigator’s overall responsibility in the Policy Statement.

Presidential Approval

Signed by President John B. Simpson

John B. Simpson, President

2/19/2007

Date