Principal Investigator Eligibility

The University at Buffalo (UB, university) is committed to meeting its obligations to sponsors and complying with all applicable requirements to establish, administer, and monitor sponsored activity. In the conduct of sponsored activity, the Principal Investigator (PI) bears primary responsibility for the intellectual leadership of a project and accepts overall responsibility for directing the project’s progress, overseeing financial transactions, and complying with sponsor terms, conditions, policies, and procedures. To serve as a PI, the investigator must personally participate in the project.

All proposals in support of sponsored activity require approval of the PI’s department chair before submission to the sponsor. Approval acknowledges that:

• The proposed PI has the necessary skills and authority to perform the proposed work;
• Appropriate facilities and effort will be made available by the department/school for the sponsored activity; and
• Project and budgetary oversight will be provided by or for the benefit of UB.

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

• Academic appointees who hold the following titles are automatically eligible to serve as a PI on a sponsored project: Dean, Professor, Associate Professor, Assistant Professor; Research Professor, Associate Research Professor, Assistant Research Professor; Research Scientist, Principal Research Scientist, Senior Research Scientist, Clinical Professor, Associate Clinical Professor, Assistant Clinical Professor; Librarian, Associate Librarian, or Assistant Librarian.
• Academic appointees who hold the following titles may serve as a PI on a sponsored project only with the prior written approval of the PI’s dean: Emeritus, Adjunct, Postdoctoral Associate, or any Visiting Faculty title.
• Non-academic professional staff may serve as a PI on a sponsored project only with the prior written approval of the provost or PI’s vice president.
• Co-PIs, other than students, must meet the same criteria for eligibility as a PI. The appointment or designation of a Co-PI does not alter the PI’s role or responsibilities under this policy.
• Students may serve as PIs if the sponsor explicitly permits students to serve as a PI and recognizes them as such. A faculty mentor is required in all cases. Additionally, students must obtain prior written approval from both the dean of their college/school and their faculty mentor.

Failure to comply with this policy may result in unfavorable review, denial of funding, request for documentation, additional terms and conditions, as well as enforcement actions imposed by the sponsor and/or the university, including corrective action up to and including termination of employment.

The role of a PI carries with it full authority for the administrative, scientific, technical, and financial management of a sponsored project. The PI must be an approved representative of the university and must meet all eligibility criteria outlined in this policy in order to fulfill their role as an award recipient. Only UB faculty and staff that the university has designated as having a PI status may apply for external funding for a sponsored project.

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

Co-Principal Investigator or Co-PI
Individual who collaborates with a PI in the scientific development or execution of a sponsored project, and who is designated as a Co-Principal Investigator (Co-PI), Co-Investigator, or another title, as permitted or recognized by the sponsor.

Faculty Mentor
UB faculty member who is independently eligible to serve as a PI under this policy and who agrees to provide oversight, guidance, and administrative accountability for a sponsored project on which a student serves as PI. The faculty mentor is responsible for ensuring the student's compliance with sponsor requirements and all applicable university policies throughout the life of the project.

Principal Investigator or PI
UB faculty or staff member who bears responsibility for the intellectual leadership of a project.

Sponsor
A government agency, corporation, foundation, or other organization external to the university that provides funding in support of a sponsored activity through a formal written agreement such as a grant, cooperative agreement, or contract. Sponsored activity funding cannot be made to UB anonymously; the sponsor must always be identified.

Sponsored Activity
Any activities required under a sponsored project.

The externally funded research, training, evaluative testing, or public service work performed by UB faculty or staff under a sponsored project.

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 provide specific deliverables.

• Meet all eligibility requirements to serve as PI or Co-PI, as applicable, prior to making an application for sponsored project funding; provide exception documents as needed. Eligibility requirements may be imposed by the sponsor, university, and/or the PI’s chair.
  
• Provide intellectual leadership for the sponsored project.
• Direct the research, oversee financial matters, and ensure compliance with relevant university policies and sponsor terms and conditions.
• Comply with this and all other applicable UB policies. 

• 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.

• Approve PI eligibility for individuals with the titles of Emeritus, Adjunct, Postdoctoral Associate, or any Visiting Faculty title.
• Approve PI eligibility for students seeking Co-PI status.

• Approve PI eligibility for non-academic professional staff.

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