Policies & Compliance
- Research Conduct
- Combatting Human Trafficking
- Research Security
- Research Handbook
- 1. Roles & Responsibilities
- 2. Standards for Conduct of Research
- 3. Overview of Sponsored Projects Administration
- 4. Funding Sources & Opportunities
- 5. Proposal Development
- 6. Budget Development
- 7. Procedures for the Submission of Proposals
- 8. Award Acceptance
- 9. Award Management
- 10. Research Related Regulations, Policies & Procedures
- 11. Other Conduct of Research Issues
- 12. Acronyms & Definitions
- 13. Glossary
- Procedure Library
- Regulations Library
Roles & Responsibilities
1.4 Principal Investigator
Eligibility to be designated as a Principal Investigator (PI) or Co-Principal Investigator (co-PI) is outlined in University Rule R7-200b: Principal Investigator Eligibility and Responsibilities in Sponsored Projects.
The process for requesting an exception to this rule can be found in the Procedure Library.
Faculty whose appointment start date is in the future may apply for proposals through the University, provided the project period start date is not before the appointment start date and the appointment has been approved.
Overview of PI Responsibilities
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The PI assumes the primary leadership role on a project. During proposal or project development, the PI (or PI’s mentor) is officially designated on the university proposal intake materials filed with the Office of Sponsored Projects. PIs are encouraged to discuss their proposal with cognizant department leadership and the OSP early in the development phase. The PI has responsibility for accurately completing the proposal intake materials filed with OSP. The PI is responsible for ensuring that the information provided is true and accurate and agrees to take responsibility for the proper conduct of the project as required by university regulations, the OSP Handbook for Research & Sponsored Activity, and terms and conditions of the project- specific award.
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Sponsored projects administration is a joint effort between the PI and the university. The PI is held accountable for proper conduct of the project, stewardship of research data and materials, fiscal management, and conduct of the project, in accordance with all federal regulations, state laws, and university regulations.
See also:
The university is held legally and financially responsible and accountable to the sponsor for the performance of the activity funded and the proper use of funds, but without the full cooperation and oversight of the PI and designee(s) (as applicable), the university would not be able to fulfill its role as the awardee. -
The PI is responsible to the university and to the sponsor for assuring that the scope of work for which the award was made is completed, that university policies and procedures are adhered to, and that funds are expended in accordance with the awarded budget and sponsor terms and conditions.
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While the PI may delegate some responsibility for day-to-day management of finances and other tasks, the PI remains accountable for compliance with university regulations, including but not limited to regulatory compliance with the Institutional Review Board (IRB), the Institutional Animal Care and Use Committee (IACUC), Environmental Health and Safety (EHS), the Institutional Biosafety Committee (IBC), Radiation Safety policies and procedures, Food & Drug Administration (FDA) policies, and project sponsor requirements.
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After the project has expired, the PI, in coordination with any Co-PIs, designee(s), and/or subrecipient PIs (as applicable), continues to be responsible for all close-out and intellectual property requirements of the university and the sponsor, including but not limited to all final technical reports, submission of invention disclosures, satisfaction of subcontract/consortium contractual requirement, data management and sharing, and other reports as required.
Changes in Principal Investigator Status
- A PI must notify OSP and their department or unit leadership immediately if any of
the following occur:
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The PI withdraws or intends to withdraw from the project entirely;
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The PI is uninvolved in the project for any continuous period of 90 days or more, regardless of whether sabbatical leave occurs during this period;
- The PI intends to separate from the university and therefore will need to transfer an award (whether or not they remain as Co-PI);
- The PI is criminally charged or convicted of sexual misconduct;
- The PI is involved in the Intergovernmental Personnel Act (IPA) program;
- The PI reduces the time devoted to the project by 25 percent or more from the level that was approved at the time of the award; or
- The PI is or has been debarred or suspended by the federal government.
Any PI who is or has been debarred or suspended is precluded from receiving federally funded grant or contract awards or from being paid with federal funds. - The PI is or has been debarred or suspended by an external foundation or other entity
associated with a sponsored project.
Any PI who is or has been debarred or suspended and seeks to obtain foundation or other sponsored funding shall first discuss with their department chair.
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The PI separates from the university;
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The PI is placed on administrative leave;
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The PI is criminally charged or convicted of sexual misconduct; or
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The PI is uninvolved in the project for any continuous period of 90 days or more, regardless of whether sabbatical leave occurs during this period.
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- A change in PI on a sponsored project can only occur with approval from the sponsor
and the university, in coordination with the Office of Sponsored Projects.
For further information on the faculty and PI roles and responsibilities at the University of Utah, please refer to the following:
