Appendix I

10/23/18

SENATE COMMITTEE ON RESEARCH, SCHOLARSHIP, AND CREATIVE ACTIVITY

Revision of RA03 “Eligibility to Serve as Principal Investigator (PI)”

(Advisory/Consultative)

Implementation: Upon Approval By the President

Introduction and Rationale

At the April 24, 2018 meeting of the Senate Committee on Research, Scholarship, and Creative Activity, John Hanold (Director, Office of Sponsored Programs) presented information and answered questions regarding proposed revisions to Penn State policy RA03 Eligibility to Serve as Principal Investigator (PI).

These changes comprise a reconciliation of two existing policies. Federal regulations required a policy on serving as the Principal Investigator for funded research. Researchers with certain titles required prior approval before becoming eligible. However, with the recent changes to AC21 Definition of Academic Ranks, some of the titles in the table in RA03 were obsolete and needed to be changed.

This proposal simply makes the necessary changes and has already been endorsed by relevant parties. These revisions do not change anyone’s eligibility.

Recommendation

At its April 24, 2018 meeting, the Senate Committee on Research, Scholarship, and Creative Activity voted to endorse the proposed revisions to policy RA03, Eligibility to Serve as Principal Investigator (PI), and to recommend that the Senate also offer its endorsement of the revised policy.

SENATE COMMITTEE ON RESEARCH, SCHOLARSHIP, AND CREATIVE ACTIVITY 2017-2018

  • Thomas Andrews
  • David Atwill
  • Raghu Garud
  • Nathan Geiger
  • John Hanold
  • Kathleen Hodgdon
  • Janet Hughes
  • Dan Larson, Vice-Chair
  • Todd LaJeunesse
  • Kevin Luhman
  • Carleen Maitland
  • Siela Maxim
  • George Moldovan
  • Gavin Robertson
  • Andrew Schulz, Chair
  • Neil Sharkey
  • Jim Song
  • Kayley Swope
  • Regina Vasilatos-Younken
  • James Warren
  • Candice Yekel
  • Jong Yun
  • Christopher Zorn

SENATE COMMITTEE ON RESEARCH, SCHOLARSHIP, AND CREATIVE ACTIVITY 2018-2019

  • Michael Andreae
  • Arthur Berg
  • Kenneth Davis
  • Raghu Garud
  • Helia Hosseinpour
  • Kathleen Hodgdon
  • Janet Hughes, Chair
  • Spencer Katz
  • Charles Kupfer
  • Dan Larson
  • Kevin Luhman
  • Siela Maximova, Vice-Chair
  • Ira Ropson
  • Logan Rutten
  • Neil Sharkey
  • Gregory Shearer
  • Fariborz Tavangarian
  • James Tybout
  • Regina Vasilatos-Younken
  • James Warren
  • Christopher Zorn

Please note that the following contains bold text for additions and strikeouts indicating deleted text. Deleted text is notated with [Delete] [End Delete]. Added text is notated with [Add] [End Add].

RA03 Eligibility to Serve as Principal Investigator (PI)

Policy Status:

Active

Policy Steward:

Vice President for Research and the Corporate Controller

Contents:

  • Purpose
  • Guideline
  • Further Information
  • Cross References

PURPOSE:

To identify the criteria for serving as a Principal Investigator (PI) or Co-Principal Investigator (Co-PI) on a sponsored project. 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:

Only individuals holding full-time faculty rank above that of Senior Research Assistant 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.

Who may accept the role of Principal Investigator

RankCan Serve as PICo-PI
ProfessorYesYes
Associate ProfessorYesYes
Assistant ProfessorYesYes
Research ProfessorYesYes
Associate Research ProfessorYesYes
Assistant Research ProfessorYesYes
Clinical ProfessorYesYes
Associate Clinical ProfessorYesYes
Assistant Clinical ProfessorYesYes
Teaching ProfessorYesYes
Associate Teaching ProfessorYesYes
Assistant Teaching ProfessorYesYes
Senior ScientistYesYes
Senior Research AssociateYesYes
Research AssociateYesYes
LibrarianYesYes
Associate LibrarianYesYes
Assistant LibrarianYesYes
Professor of PracticeWith Dept Head and Dean approvalYes
Retired FacultyWith Dept Head and Dean approval*Yes*
Senior Research AssistantWith Dept Head and Dean approvalYes
Research AssistantWith Dept Head and Dean approvalYes
ResearcherWith Dept Head and Dean approvalYes
Visiting ProfessorWith Dept Head and Dean approvalYes
Postdoctoral Scholars or FellowsWith Dept Head and Dean approvalYes
Senior Instructor/ Senior LecturerWith Dept Head and Dean approval (e.g., teaching grants)Yes
Instructor/ LecturerWith Dept Head and Dean approval (e.g., teaching grants)Yes
Clinical LecturerWith Dept Head and Dean approvalYes
Adjunct FacultyNoYes**
Graduate StudentNo (except for 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 SIMS.No
StaffCannot normally serve as PI on research awards. May serve as PI on non-research awards (instruction, outreach) with approval of Dean and/or administrative unit head. May serve as PI on Cooperative Extension and Defense Related Research Units (ARL and EOC).Yes**
Non-PSU PersonnelNoNo***

*Service of emeritus or retired faculty as either a principal investigator or co-investigator is subject to adherence to RAG03 “Processing Sponsored Projects Involving Retired Faculty Participation” and HR45 “Rehire of University SERS and TIAA/CREF Annuitants.”

**With Department Head and Dean approval.

[Add] ***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.  [End Add] NOTE 1: 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.

[Add] NOTE 2: The College of Medicine continues to use certain academic titles no longer listed in AC21. Research Associates and Senior Research Associates at the College of Medicine may continue to serve as PI and Co-PIs on sponsored projects. Instructors, Senior Instructors, Research Assistants, and Senior Research Assistants at the College of Medicine may serve as Co-PIs and, with the approval of their Department Head and Dean, as PI. [End Add]

FURTHER INFORMATION:

For questions, additional detail, or to request changes to this policy, please contact the Office of the Vice President for Research, or the Office of the Corporate Controller.

CROSS REFERENCES:

AC21 – Definition of Academic Ranks

HR45 – Post-Retirement Appointments

RAG03 – Retired Faculty Participation (Formerly RAG09, Processing Sponsored Projects Involving Retired Faculty Participation)

Effective Date: September 20, 2017
Date Approved: September 18, 2017
Date Published: September 19, 2017

Most recent changes:

  • September 11, 2017 – inserted Cooperative Extension in the last row of the table of who may accept the role of Principal Investigator

Revision History (and effective dates):

  • February 26, 2016 – This new policy has been created as part of the policy reorganization brought about by implementation of the Uniform Guidance (2 CFR 200).

Clean Copy

RA03 Eligibility to Serve as Principal Investigator (PI)

Policy Status: 

DRAFT

Policy Steward: 

Vice President for Research and the Corporate Controller

Contents:

  • Purpose
  • Guideline
  • Further Information
  • Cross References

PURPOSE:

To identify the criteria for serving as a Principal Investigator (PI) or Co-Principal Investigator (Co-PI) on a sponsored project. 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:

Only individuals holding full-time faculty rank above that of Senior Research Assistant 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.

Who may accept the role of Principal Investigator

RankCan Serve as PICo-PI
ProfessorYesYes
Associate ProfessorYesYes
Assistant ProfessorYesYes
Research ProfessorYesYes
Associate Research ProfessorYesYes
Assistant Research ProfessorYesYes
Clinical ProfessorYesYes
Associate Clinical ProfessorYesYes
Assistant Clinical ProfessorYesYes
Teaching ProfessorYesYes
Associate Teaching ProfessorYesYes
Assistant Teaching ProfessorYesYes
LibrarianYesYes
Associate LibrarianYesYes
Assistant LibrarianYesYes
Professor of PracticeWith Dept Head and Dean approvalYes
Retired FacultyWith Dept Head and Dean approval*Yes*
ResearcherWith Dept Head and Dean approvalYes
Visiting ProfessorWith Dept Head and Dean approvalYes
Postdoctoral Scholars or FellowsWith Dept Head and Dean approvalYes
LecturerWith Dept Head and Dean approval (e.g., teaching grants)Yes
Clinical LecturerWith Dept Head and Dean approvalYes
Adjunct FacultyNoYes**
Graduate StudentNo (except for 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'sNo
advisor will be listed as PI in SIMS.
StaffCannot normally serve as PI on research awards. May serve as PI on non-research awards (instruction, outreach) with approval of Dean and/or administrative unit head. May serve as PI on Cooperative Extension and Defense Related Research Units (ARL and EOC).Yes**
Non-PSU PersonnelNoNo***

*Service of emeritus or retired faculty as either a principal investigator or co-investigator is subject to adherence to RAG03 “Processing Sponsored Projects Involving Retired Faculty Participation” and HR45 “Rehire of University SERS and TIAA/CREF Annuitants.”

**With Department Head and Dean approval.

***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.   NOTE 1: 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.

NOTE 2: The College of Medicine continues to use certain academic titles no longer listed in AC21. Research Associates and Senior Research Associates at the College of Medicine may continue to serve as PI and Co-PIs on sponsored projects. Instructors, Senior Instructors, Research Assistants, and Senior Research Assistants at the College of Medicine may serve as Co-PIs 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 Vice President for Research or the Office of the Corporate Controller.

CROSS REFERENCES:

AC21 – Definition of Academic Ranks

HR45 – Post-Retirement Appointments

RAG03 – Retired Faculty Participation (Formerly RAG09, Processing Sponsored Projects Involving Retired Faculty Participation)

Effective Date: September 20, 2017
Date Approved: September 18, 2017
Date Published: September 19, 2017

Most recent changes:

  • Spring 2018 – Updated faculty ranks to harmonize policy with AC21.
  • September 11, 2017 – inserted Cooperative Extension in the last row of the table of who may accept the role of Principal Investigator.

Revision History (and effective dates):

  • February 26, 2016 – This new policy has been created as part of the policy reorganization brought about by implementation of the Uniform Guidance (2 CFR 200).