{"id":2372,"date":"2022-08-31T15:45:21","date_gmt":"2022-08-31T19:45:21","guid":{"rendered":"https:\/\/research.ncsu.edu\/administration\/?page_id=2372"},"modified":"2025-08-29T11:28:03","modified_gmt":"2025-08-29T15:28:03","slug":"pi-eligibility","status":"publish","type":"page","link":"https:\/\/research.ncsu.edu\/administration\/policies-and-guidance\/pi-eligibility\/","title":{"rendered":"Principal Investigator Eligibility and Standing"},"content":{"rendered":"\n\n\n\n\n<h2 class=\"wp-block-heading\">Overview<\/h2>\n\n\n\n<p class=\"wp-block-paragraph\">The Board of Trustees, consistent with most institutions of higher education from around the country, has established a POL 10.00.02 that states, in part\u2026<\/p>\n\n\n<blockquote class=\"wp-block-ncst-blockquote\">\n    <p><strong>\u201c2. All tenure-track faculty members may submit proposals for support of research and scholarly projects. All proposals must be approved by a faculty member\u2019s unit or department head and Dean before submission to the Vice Chancellor for Research for final campus approval. Non-tenure-track faculty members and employees with termed appointments may submit proposals with prior approval of their Dean and the Vice Chancellor for Research.\u201d<\/strong><\/p>\n  <\/blockquote>\n\n\n\n<p class=\"wp-block-paragraph\">Furthermore, a principal investigator (PI) is\u2026<\/p>\n\n\n\n<p class=\"wp-block-paragraph\">The individual (or in the case of some NIH projects, the individuals) designated by [NC State University], and approved by [the sponsor], who will be responsible for the scientific or technical direction of the [entire] project.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\">Co-principal investigators or co-project directors (co-PI\/co-PD) are individuals designated by NC State University and approved by our sponsors who have substantively complementary responsibility for the scientific or technical direction of all or a portion of a project.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\">An individual can only be a PI or co-PI pursuant to the guidance articulated in the policy of the Board of Trustees defined above or as authorized under an approved exception as described below.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\">In accordance with the BME Charter, <strong>Biomedical Engineering (BME) Faculty<\/strong>: UNC-Chapel Hill faculty holding appointments in the joint Department of BME are eligible to serve as PI on NC State submissions.<\/p>\n\n\n\n<h2 class=\"wp-block-heading\">Special Cases and Exception Requests<\/h2>\n\n\n<div class=\"ncst-fancy-paragraph-fifty is-text wp-block-ncst-fancy-paragraph\">\n      \n<div class=\"text-only wp-block-ncst-fp-accompaniment\">\n    \n\n<p class=\"wp-block-paragraph\">This section describes common circumstances where investigator eligibility questions arise, and how individuals who are not automatically eligible to serve as Principal Investigators may request and receive an exception. Depending on the circumstances, exceptions may be granted for any\/all proposals, or on a one-time basis for a specific proposal.<br><\/p>\n\n\n  <\/div>\n\n\n<div class=\"wp-block-ncst-fp-accompaniment\">\n    \n<aside class=\"floated-spotlight-aside-container\">\n  <div class=\"floated-spotlight-contents\">\n    <a\n    class=\"ncst-content-card wp-block-ncst-fp-spotlight-card has-custombg-two-background-color with-cta\"\n    href=\"https:\/\/research.ncsu.edu\/administration\/policies-and-guidance\/pi-eligibility\/pre-hire-eligibility\/\"\n  >\n  \n    \n    <div class=\"content-card__text-container\">\n      \n                        <h3 class=\"content-card__headline\">Pre-Hire Eligibility<\/h3>\n              \n\n              \n\t      \t        <p class=\"content-card__teaser\">For investigator status prior to a faculty member&#8217;s start date, see the Pre-Hire process for Approved Investigators.<\/p>\n\t      \t    \n              <p class=\"content-card__cta\"><span class=\"text\">View Pre-Hire Process<\/span><span class=\"arrow-indicator\"><svg class=\"wolficon wolficon-arrow-right-bold\" role=\"img\"  aria-hidden=\"true\">\n\t\t\t\n\t\t\t<use xlink:href=\"#wolficon-arrow-right-bold\">\n\t\t<\/svg><\/span><\/p>\n          <\/div>\n\n  <\/a>\n  <\/div>\n<\/aside>\n\n\n  <\/div>\n\n\n    <\/div>\n  \n\n\n\n<h3 class=\"wp-block-heading\">How to Submit an Exception Request<\/h3>\n\n\n\n<p class=\"wp-block-paragraph\">All exception requests should be directed to Kevin Schroeder via email to&nbsp;<a href=\"mailto:kgschroe@ncsu.edu\" target=\"_blank\" rel=\"noreferrer noopener\">kgschroe@ncsu.edu<\/a><\/p>\n\n\n\n<p class=\"wp-block-paragraph\">The request should include the following: <\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li>approval for the request from the intending Principal Investigator\u2019s Department Head and Associate Dean of Research<\/li>\n\n\n\n<li>a copy of the intending Principal Investigator&#8217;s CV or resume<\/li>\n\n\n\n<li>a copy of the relevant RFP or equivalent document (if the request is for a specific proposal)<\/li>\n<\/ul>\n\n\n\n<p class=\"wp-block-paragraph\"><strong>Prior to consideration<\/strong>, all exception requests will be reviewed for research compliance, and any compliance deficiencies, including the <a href=\"https:\/\/research.ncsu.edu\/administration\/compliance\/research-compliance\/coi\/coi-procedures-and-guidance\/\" target=\"_blank\" rel=\"noreferrer noopener\">Conflict of Interest Annual Disclosure<\/a>, will need to be addressed prior to approval. If possible, individuals requesting an<br>exception should ensure that their Conflict of Interest Annual Disclosure is up to date prior to making a request.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\">If a request is approved, the individual\u2019s record will be updated allowing selection as PI or Co-I in NC State\u2019s internal proposal<br>record.<\/p>\n\n\n\n<h3 class=\"wp-block-heading\">Additional Considerations for Specific Types of Requests<\/h3>\n\n\n<div class=\"is-text wp-block-ncst-accordion\" >\n    <div class=\"accordion isLinked\" id=\"ncst-accordion-0hspmy\">\n          \n<details class=\"wp-block-ncst-accordion-item\" name=\"0hspmy\"  >\n      <summary class=\"accordion-item__header\">\n        <span class=\"accordion-item__expansion-indicator\">\n          <span class=\"ncst-plus-minus-toggle\"><\/span>\n        <\/span>\n        <h2 class=\"accordion-item__label h6\">Postdoctoral Associates<\/h2>\n      <\/summary>\n      <p>\n        \n\n<p class=\"wp-block-paragraph\"><strong>Postdoctoral associates<\/strong>&nbsp;on paid appointments are considered to be trainees or apprentices and generally are not eligible for a PI exception unless the program to which the institution is applying specifically requires that such an individual serve as the principal investigator, such as postdoctoral fellowship programs. Postdoctoral associates are eligible for exceptions to serve as Co-PI on projects where the department head and dean\u2019s office have determined that the anticipated contribution to the conduct of the work justifies that role, and the expected duration of the postdoctoral associate\u2019s appointment includes the project\u2019s period of performance.<\/p>\n\n\n      <\/p>\n  <\/details>\n\n\n<details class=\"wp-block-ncst-accordion-item\" name=\"0hspmy\"  >\n      <summary class=\"accordion-item__header\">\n        <span class=\"accordion-item__expansion-indicator\">\n          <span class=\"ncst-plus-minus-toggle\"><\/span>\n        <\/span>\n        <h2 class=\"accordion-item__label h6\"><strong>Students<\/strong><\/h2>\n      <\/summary>\n      <p>\n        \n\n<p class=\"wp-block-paragraph\"><strong>Students<\/strong>, including those on an assistantship, are not eligible for an exception unless the program to which the institution is applying specifically requires that the student serves as the PI, such as on certain graduate student fellowship applications. At least one faculty mentor should be listed as a Co-Investigator.<\/p>\n\n\n      <\/p>\n  <\/details>\n\n\n<details class=\"wp-block-ncst-accordion-item\" name=\"0hspmy\"  >\n      <summary class=\"accordion-item__header\">\n        <span class=\"accordion-item__expansion-indicator\">\n          <span class=\"ncst-plus-minus-toggle\"><\/span>\n        <\/span>\n        <h2 class=\"accordion-item__label h6\"><strong>Emeritus\/Emerita\/Emeritx Faculty<\/strong><\/h2>\n      <\/summary>\n      <p>\n        \n\n<p class=\"wp-block-paragraph\"><strong>Emeritus\/emerita\/emeritx faculty&nbsp;<\/strong>are eligible to serve as Principal or Co-Investigators, provided doing so does not conflict with the University\u2019s obligations to the sponsor (e.g., effort and intellectual property commitments). Maintaining Investigator roles may require a paid part-time appointment.<\/p>\n\n\n      <\/p>\n  <\/details>\n\n\n<details class=\"wp-block-ncst-accordion-item\" name=\"0hspmy\"  >\n      <summary class=\"accordion-item__header\">\n        <span class=\"accordion-item__expansion-indicator\">\n          <span class=\"ncst-plus-minus-toggle\"><\/span>\n        <\/span>\n        <h2 class=\"accordion-item__label h6\"><strong>Other Faculty Retirees<\/strong><\/h2>\n      <\/summary>\n      <p>\n        \n\n<p class=\"wp-block-paragraph\"><strong>Other faculty retirees<\/strong>&nbsp;may be approved to serve as Principal or Co-Investigators for purposes of winding down and transitioning their research programs, provided doing so does not conflict with the University\u2019s obligations to the sponsor (e.g., effort and intellectual property commitments).&nbsp; Maintaining Investigator roles may require a paid part-time appointment.<\/p>\n\n\n      <\/p>\n  <\/details>\n\n\n<details class=\"wp-block-ncst-accordion-item\" name=\"0hspmy\"  >\n      <summary class=\"accordion-item__header\">\n        <span class=\"accordion-item__expansion-indicator\">\n          <span class=\"ncst-plus-minus-toggle\"><\/span>\n        <\/span>\n        <h2 class=\"accordion-item__label h6\"><strong>Joint Appointments<\/strong><\/h2>\n      <\/summary>\n      <p>\n        \n\n<p class=\"wp-block-paragraph\"><strong>Joint appointments&nbsp;<\/strong>and other formal arrangements committing the professional effort of affiliated individuals to NC State&nbsp;<strong>may<\/strong>&nbsp;support a PI or Co-Investigator role. These include national laboratory joint faculty appointees and certain North Carolina Agricultural Research Service (<strong>NCARS)<\/strong>&nbsp;employees. Consult SPARCS for eligibility determination and proper characterization of effort in proposals.<\/p>\n\n\n      <\/p>\n  <\/details>\n\n\n<details class=\"wp-block-ncst-accordion-item\" name=\"0hspmy\"  >\n      <summary class=\"accordion-item__header\">\n        <span class=\"accordion-item__expansion-indicator\">\n          <span class=\"ncst-plus-minus-toggle\"><\/span>\n        <\/span>\n        <h2 class=\"accordion-item__label h6\"><strong>SHRA Employees<\/strong><\/h2>\n      <\/summary>\n      <p>\n        \n\n<p class=\"wp-block-paragraph\"><strong>SHRA employees<\/strong>&nbsp;are generally ineligible for PI status, except in unusual circumstances, or as may be necessitated by the requirements of a particular RFP.<\/p>\n\n\n      <\/p>\n  <\/details>\n\n\n    <\/div>\n  <\/div>\n\n\n\n<p class=\"wp-block-paragraph\">Certain&nbsp;<strong>other scenarios<\/strong>&nbsp;will naturally occur. All requests are considered by the Director of Sponsored Programs on a case-by-case basis.<\/p>\n\n\n\n<h2 class=\"wp-block-heading\">Investigator Eligibility Revocation<\/h2>\n\n\n\n<p class=\"wp-block-paragraph\">Academic administrators may also request the restriction of PI or co-PI status by outlining the reasons for such restriction, in writing, to the director of Sponsored Programs. The director of Sponsored programs will meet with the department head, dean and other responsible authorities, as well as the Vice Chancellor for Research and Innovation, to make and execute a decision to restrict PI and\/or co-PI status of otherwise eligible employees. Reasons for restriction include but are not limited to: (1) Findings of misconduct; (2) History of failure to meet deliverables or reports on current or past sponsored projects in a timely and orderly fashion; (3) Unmanageable impairment of objectivity; (4) Current investigation into possible misconduct; (5) Fiduciary improprieties; (6) Actions by third parties warranting such actions; etc.<a><\/a><\/p>\n\n\n\n<h2 class=\"wp-block-heading\">Policies and Regulations<\/h2>\n\n\n\n<ul class=\"wp-block-list\">\n<li><a href=\"http:\/\/policies.ncsu.edu\/policy\/pol-10-00-02\" target=\"_blank\" rel=\"noreferrer noopener\">NC State BOT Policy<\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/policies.ncsu.edu\/regulation\/reg-05-20-34\/\" target=\"_blank\" rel=\"noreferrer noopener\">Special Faculty Rank PRR<\/a>&nbsp;(Adjunct, Visiting, etc.)<\/li>\n<\/ul>\n\n\n<div class=\"layout-one-column is-text wp-block-ncst-link-list\">\n        <ul class=\"link-list__container\">\n      \n<li class=\"ncst-component__bold-link-container wp-block-ncst-bold-link\">\n      <a \n      href=\"https:\/\/research.ncsu.edu\/administration\/proposals\/pi-responsibilities\/\"\n      class=\"ncst-component__bold-link text-link\"\n                >\n    <span class=\"text\">Learn about PI Responsibilities<\/span><span class=\"arrow-indicator\"><svg class=\"wolficon wolficon-arrow-right-bold\" role=\"img\"  aria-hidden=\"true\">\n\t\t\t\n\t\t\t<use xlink:href=\"#wolficon-arrow-right-bold\">\n\t\t<\/svg><\/span>\n    <\/a>\n      <\/li>\n  \n\n    <\/ul>\n  <\/div>\n","protected":false},"excerpt":{"rendered":"<p>Overview The Board of Trustees, consistent with most institutions of higher education from around the country, has established a POL 10.00.02 that states, in part\u2026 Furthermore, a principal investigator (PI)&hellip;<\/p>\n","protected":false},"author":16,"featured_media":0,"parent":55,"menu_order":0,"comment_status":"closed","ping_status":"closed","template":"","meta":{"_acf_changed":false,"source":"","ncst_custom_author":"","ncst_show_custom_author":false,"ncst_dynamicHeaderBlockName":"ncst\/default-header","ncst_dynamicHeaderData":"{\"pageIntro\":\"Stewardship of knowledge is a privilege and obligation of faculty at all institutions of higher education. NC State University recognizes that faculty, who both impart knowledge to students and seek new knowledge, are central to its core research mission. The Board of Trustees has established criteria for the appointment of faculty and others to the positions of principal investigator (PI) and co-principal investigator (co-PI). The policy statements below complement the basic principle that PIs and co-PIs are expected to (1) be responsible in the stewardship of public resources, (2) be dedicated to advancing knowledge and (3) maintain the highest standards of conduct in research.\"}","ncst_content_audit_freq":"","ncst_content_audit_date":"","ncst_content_audit_display":false,"ncst_backToTopFlag":"","footnotes":""},"tags":[],"class_list":["post-2372","page","type-page","status-publish","hentry"],"acf":[],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.8 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Principal Investigator Eligibility and Standing - Research Administration and Compliance<\/title>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/research.ncsu.edu\/administration\/policies-and-guidance\/pi-eligibility\/\" \/>\n<meta property=\"og:locale\" content=\"en_US\" \/>\n<meta property=\"og:type\" content=\"article\" \/>\n<meta property=\"og:title\" content=\"Principal Investigator Eligibility and Standing - 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