PI Eligibility and Waiver Process

Overview

The Research Policy Handbook (section 2.1) specifies the eligibility to serve as Principal Investigator (PI) on a sponsored project. This page includes the criteria for obtaining PI waivers for those without PI eligibility, the various types of PI waiver exceptions and the procedures and checklists for preparing PI waiver memo requests.  All PI waivers in the School of Medicine are submitted to your Research Process Manager (RPM).

How to determine PI eligibility

Eligibility to act as a PI or co-principal investigator (Co-PI) on externally funded projects is a privilege limited to members of the Academic Council and to the MCL faculty. This policy limitation is in place because PIs are responsible for determining the intellectual direction of the research and scholarship, and for the training of graduate students. More 

The designation of "PI" or "Co-PI" for any member of the Academic Staff, or other individual who is not a member of the University's Academic Council or MCL faculty, requires specific approval by the relevant department chair, school dean and, in some cases, the Dean of Research, by obtaining PI Waivers as described under PI Waiver Exception Types.

 Less 

How to identify PI waiver exception options

Researchers who are not members of the Academic Council or the MCL faculty may be approved to serve as PIs on a class of projects generically referred to as Career Development Awards, whose stated purpose is to advance the individual's scientific career. Such petitions may be approved if the project is to be carried out under the mentorship of an established faculty investigator, who is named in the proposal, and if the project can be conducted within the overall intellectual scope and laboratory space of the faculty mentor. Typically, in these cases the awards cover only the individual's salary and incidental expenses, but not incremental staff or students. More 

Exception requests are subject to the following:

  1. Written approval of the faculty supervisor (who must be a member of the University Tenure Line, Medical Center Line, or Nontenure Line Research professoriate), the relevant department chair, center or institute director (if no departmental resources are to be used), and the School of Medicine Dean's Office.
  2. A guarantee of space and resources for the duration of the grant by the faculty mentor or department chair.
  3. The understanding that the grant may not, under any circumstances, support a graduate student.

 

If the grant proposes funding to appoint a postdoctoral scholar, the PI would be responsible for the day-to-day research supervision of the work of the postdoctoral scholar. However, the overall career mentoring of the postdoctoral scholar would be the responsibility of an Academic Council or Medical Center Line faculty member.

There are 7 PI waiver exception categories listed below.

 Less 

How to identify PI Waiver options by position type

  Type of Position

PI Waiver Exception Types*

 

Eligible for a PI waiver?

Expanded Career Development PI Waiver Program

Career Development

Clinician Educator

Conferences and
Workshops

Early PI ship

Inter-disciplinary Project

Faculty with acting appointments

Yes

 

 

 

 

X

 

Academic Staff-Research:
Research Associates
Senior Research Scientists
Senior Research Scholars

Yes

 

X

 

X

 

X

Clinician Educator (CE) Faculty

Yes

 

 

X

 

 

 

Clinician Educator (CE) Assistant Professors

Yes

 

      X

X

 

 

 

Clinical Instructors (CE)

Yes

 

X

 

 

 

 

Clinical / Medical Fellows

Yes

 

X

 

 

 

 

Instructors
Instructors with M.D. , M.D./Ph.D., and Ph.D. degrees are eligible for the Expanded Pilot Career Development PI waiver program

Yes

X

X

 

 

 

 

Postdoctoral Fellows
PI waivers not needed for Fellowships; but for Fellowships which are mentored career development grants.

Postdocs with M.D., M.D./Ph.D. and Ph.D. degrees are eligible for the Expanded PI Career Development waiver program.

Yes

X

X

 

X

 

X

How to request a PI waiver

The designation of "PI" or "Co-PI" for any member of the Academic Staff, or other individual who is not a member of the University's Academic Council or MCL faculty, requires specific approval by the relevant department chair, school dean and, in some cases, the Dean of Research, by obtaining PI Waivers as described under PI Waiver Exception Types. More 

Waivers must be obtained before submitting a proposal for a sponsored project or entering into an agreement.

  1. Consult the PI eligibility policy to determine applicable waiver category
  2. Obtain the applicable PI waiver letter template from the resource section below.
  3. Submit the PI waiver signed by your Dept Chair with the required attachments to your RPM or CT RPM. (link to assignments webpage).
  4. RPM reviews the application, submits for review to the School of Medicine Senior Associate Dean for Research for approval and then notifies the requestor of the outcome.

 Less 

Policy