Principal Investigator's Eligibility, Project Leadership and Exceptions

Proposals submitted for extramural funding of research, training, and public service projects, and extramural awards received for such projects, must name an eligible employee of UCI to serve as Principal Investigator.

Definitions

Principal/Co-Principal Investigator (PI) - The UCI employee/s who is/are responsible for the design, scientific/technical conduct, administrative conduct, and reporting of research, training, or public service projects supported by extramural funding. An essential qualification of the PI is that he or she will personally participate in the project to a significant degree. It is therefore contrary to University policy, to list as head of a project the name of an individual, however prestigious that person may be, who will contribute only a minimum or nominal portion of their own time and effort to the furtherance of the work.
Lead PI - The PI of a project as designated by a sponsor in accordance with its policy.
Investigator - A UCI employee who is responsible for a portion of the design, scientific/technical conduct, administrative conduct or reporting of a research, training, or public service project supported by extramural funding, without undertaking or assuming the responsibilities of PI.

Project Leadership

All UCI PIs are expected to lead their projects in accordance with University of California Statement of Ethical Values and Standards of Ethical Conduct and UCI Administrative Policies and Procedures Section 480-2.1: Responsibilities for Conduct & Administration of Research for Principal Investigators and Lead Researchers.

Multiple PIs - In the absence of contrary sponsor policy, UCI routinely considers all PIs listed in the proposal/funding application and/or in the award document to be equal with regard to project leadership. For multiple PI projects, UCI designates the first PI in the funding application or resulting award as the “corresponding” or "contact” PI responsible for technical communications with the sponsor's personnel.
Lead PI(s) - If a sponsor’s policy conflicts with UCI’s routine practice of recognizing multiple PIs, UCI will recognize the individual(s) named in the sponsor’s award
document as the Lead PI(s). In doing so, UCI also recognizes the authority of the Lead PI(s) over other PIs and Investigators participating in the project.
However, for proposal and award record keeping purposes, UCI continues to associate all PIs listed in the proposal/funding application with the award.

Who is Eligible to Serve as Principal Investigator

PI eligibility is determined in accordance with the University of California Systemwide Contract and Grant Manual (Subchapter 1-500). In addition, and with the approval of the appropriate campus official noted below, a person holding an appointment in one of the following title groups may serve as PI of a training or training-related research project:

Supervisor of Physical Education (APM-300) - Vice Chancellor for Research approval
Cooperative Extension Advisor (APM-335) - Vice Chancellor for Research approval
Continuing Educator (APM-340) - Dean, Division of Continuing Education approval

Who is required to Obtain a Request for Exception to Principal Investigator Status?

Anyone who wishes to serve as Principal Investigator, but does not meet the eligibility criteria set forth above, must obtain a Request for Exception to Principal Investigator Status. This Exception, when approved, allows an otherwise eligible individual to submit proposals and lead awarded projects, and entrusts that individual with all the responsibilities and obligations incumbent upon PIs.

Authority to Approve a Request for Exception to Principal Investigator Status

Only officials delegated authority to do so in IDA 569 may approve an exception to the PI eligibility requirements contained in UCI Administrative Policies and Procedures 480-5: Principal Investigator Eligibility and Project Leadership or rescind a previously approved exception.

Procedures for Requesting an Exception to Principal Investigator Status

In accordance with the UCI Administrative Policies and Procedures 480-5.1, each official with delegated authority from IDA 569 is responsible for establishing implementing procedures within their coordinating point for:

requesting, analyzing (determining whether the request is in the best interests of the unit and UCI) and approving PI eligibility exceptions;
determining the duration of such approvals; and
rescinding an approved exception if a PI-by-exception does not comply with UCI/UC and/or sponsor policies, and applicable laws, regulations and governmental rules.

Notification of PI Eligibility

The approval by the Dean or ORU Director of a proposal in Zot IRB will serve as the notification that the Principal Investigator(s) is eligible to submit the proposal or an exception has been approved.

Principal Investigator and Department Chair Roles in Sponsored Projects

This section outlines the respective responsibilities of Principal Investigators (PIs) and Department Chairs in the management and oversight of sponsored projects at UC Irvine. These roles are defined by University of California policy, including the UC Contracts and Grants Manual, Chapter 10-300: Contract and Grant Administration: Responsibilities and Duties.

Principal Investigator Responsibilities

The Principal Investigator serves as the primary individual responsible for sponsored project management and must ensure compliance with all applicable requirements. As outlined in University of California guidelines, the Principal Investigator has primary responsibility for:

Scientific and Project Management

Scientific integrity and management of the sponsored project
Design and ethical conduct of all research activities
Ensuring project execution aligns with approved scope and objectives

Financial and Administrative Oversight

Financial management of project funds in accordance with University Policy 6-440
Administrative management including proper documentation, record-keeping, and personnel oversight
Identification of appropriate funding sources for project costs not covered by sponsor funds

Compliance and Reporting

Adherence to all internal University policies governing research conduct and administration
Compliance with externally imposed sponsor terms and conditions as specified in award documents
Timely submission of all required reports including technical, financial, and compliance reports
Maintenance of accurate records per sponsor and University requirements

Department Chair Oversight and Accountability

University of California guidelines establish that Department Chairs are accountable for the performance of Principal Investigators within their units. This accountability encompasses:

Pre-Award Responsibilities

Determining individual eligibility for Principal Investigator status per Policy 1-530
Evaluating consistency of proposed projects with departmental educational, research, and public service objectives
Assessing appropriateness of faculty time, space, equipment, and university financial commitments

Post-Award Oversight

Ensuring project scope remains consistent with University of California policies and sponsor requirements
Monitoring PI performance and project compliance
Providing guidance and support for project management challenges

Critical Accountability Framework

The Principal Investigator maintains primary responsibility for all project aspects. This responsibility cannot be delegated or transferred without formal procedures. In circumstances where a Principal Investigator cannot fulfill these obligations, the following protocol applies.

Immediate Notification: The PI must promptly notify the Department Chair of any inability to meet project responsibilities. University of California Academic Personnel Manual, section 245, states that the Chair is responsible for reporting any failure of a faculty to carry out responsibilities and to recommend appropriate action.
Resolution Options: The Department Chair will work with appropriate offices too:
- Identify and approve a qualified replacement Principal Investigator
- Coordinate with Sponsored Projects Administration for project termination if no suitable replacement is available.