1. Research at the University of Utah

1.1 Principal Investigator

Revised 1/29/03

1.1.1 Definition and Responsibilities

While the Principal Investigator(s)/ Project Director(s) coordinates the preparation of  the proposal and submission documents, proposals are officially submitted by the University of Utah. Awards are made to the University of Utah as the fiduciary/legal entity. Awards in support of research, instruction, or service arise because of the professional expertise and initiative of individual faculty members. The University assigns the Principal Investigator (PI) named in the award the primary responsibility for the proper conduct and management of the project. The responsibilities of the PI's are:

1. To manage the technical/programmatic aspects of the project. This includes:

• providing all deliverables that are required in the grant/contract on a timely basis, not deviating from the scope of work for the project unless changes are agreed upon by the sponsor; and
  
• overseeing the training and work of students and other personnel working on the project.

2. To manage the logistical/physical aspects of the project the PI must :

• understand the contract/grant terms and conditions, including any special or unusual conditions; and
  
• assure that the contractual conditions are met; and
  
• appropriately manage and utilize any space and instrumentation needed to complete the project; and
  
• assure appropriate laboratory management.

3. To understand (through training) and exercise responsible fiscal control, ensuring that funds are spent appropriately and within the sponsor and university/state guidelines. If for any reason an anticipated continuation or preliminary award is not funded, over-expenditures are incurred on a project for which the contract or grant is terminating or a cost disallowance during the project or after its conclusion, the principal investigator and cognizant department will be responsible for covering the cost of the sponsored project. This requires a working knowledge of, for example, OMB A-21 and the University's Cost Accounting Standards.

4. To assure regulatory compliance with policies such as Institutional Review Board (IRB), Institutional Animal Care and Use Committee (IACUC), Environmental Health and Saftey, Biosafety, Radiological Safety and FDA policies and others.

5. To conduct the project using the highest ethical standards following the policies relating to integrity in research (Misconduct Policy) and to declare any potential conflict of interest for themselves or any individual involved with the project that falls within the University Conflict of Interest Policy.

6. To complete all close-out and intellectual property requirements of the university and the sponsor; including but not limited to all interim and final technical reports, submission of invention disclosures, satisfying subcontract/consortium contractual requirement and other reports as required.

The PI is officially designated on the Document Summary Sheet that is sent to the Office of Sponsored Projects. By signing the document summary, the PI agrees to take responsibility for the proper conduct of the project, as delineated above. 

The chair and the dean sign the document summary to endorse the PI as follows: 

1. The Department agrees that the individual is eligible to be a PI at the University of Utah (see Section 1.1.2).

2. The PI has, in general terms, the knowledge, time and ability to work toward completion of the scope of work.

3. The Department will take responsibility for the conduct of the agreement if the PI is not capable, able, or willing to complete the terms of the agreement. This includes over-expenditures or non-payments, which are the result of fault by the PI.

4. The PI has the resources available which include equipment, space and support to complete the scope of work. If not, that support is requested in the proposal or there is a pre-negotiated agreement with all appropriate University parties that the space, equipment and/or support will be provided if the award is made. 

5. The Department chair is aware of a potential conflict of interest and is willing to manage, eliminate, or minimize as required by the conflict of interest policy and federal regulations.

6. The Department chair is aware of any cost sharing/matching commitments, is aware of the source of the cost share/matching and assures necessary commitments will be in place prior to the award.

7. The Department chair(s) of Co-PI's are aware of their participation and if needed have negotiated a F&A split if the Co-PI's are in different Colleges.

8. That the Co-PI's have the resources available similar to 4 above.

If the PI withdraws from the project entirely, is absent from the project during any continuous period of 3 months or more, including sabbatical leave or involved in the Intergovernmental Personnel Act (IPA) program, or reduces his/her time devoted to the project by 25 percent or more from the level that was approved at the time of award, he/she must notify the OSP and the awarding agency. For information on this process see Section 5.6.5.a Absence of Principal Investigator and/or Other Key Personnel.

Any PI who is or has been debarred or suspended by the federal government must immediately notify the Office of Sponsored Projects and is precluded from receiving federally funded grant or contract awards or from being paid with federal funds. See Section 7.7.1 Debarment and Suspension for more information.

1.1.2 Designation of Principal Investigator

1.1.2.a Faculty

A person holding appointment as either a regular or research faculty member may be designated as a principal investigator by the department head with the approval of the dean. The university faculty shall consist of the president, vice presidents, deans, directors of libraries, professors (including distinguished professors, presidential professors and university professors), associate professors, assistant professors, instructors (with appointments), librarians, associate librarians, assistant librarians, affiliate librarians, auxiliary faculty (research, clinical, lecturer, visiting, and adjunct) and emeritus appointments. For a more complete definition of University Faculty see the Policy and Procedure Manual: Faculty Regulations - Chapter II, University Faculty, Section 9-2.

1.1.2.b Non-Faculty

A person who does not hold a faculty appointment may be designated as a principal investigator only with the prior approval of the cognizant vice president.

Reference
Personnel Definitions

Policy and Procedures Manual, Section 2-0

Academic Freedom

Policy and Procedures Manual, Section 8-7.1

Professional Obligations

Policy and Procedures Manual, Section 8-12.4.C.1

Research Faculty

Policy and Procedures Manual, Section 9-2.4D1

Research Activities

Faculty Handbook, Chapter 3:21-25