Who can serve as a PI or Co-I and what are the definitions of these roles?

Serving as the Principal Investigator on a study, whether sponsored or not sponsored, is an enormous responsibility. There are literally hundreds of federal, state and institutional regulations and laws with which you must acquaint yourself in order to fully comply and fulfill your stewardship obligations. This page outlines just a few of the various ethical and fiduciary responsibilities you acquire when leading or participating in the conduct of scholarly exploration. This web site is IN DEVELOPMENT and represents a living and dynamic resource. It will be updated frequently. All questions or concerns regarding this site or your obligation as a leading, independent or supporting explorer at NC State University may be directed to the Director of Sponsored Programs, Sherrie Settle, via e-mail at sherrie_settle@ncsu.edu.

Do you wonder when you agreed to these sample obligations? They are part of your PINS, IACUC, and IRB approvals on the PINS Approval Certifications page.

Description of PI ResponsibilityHow to ComplyReferences
Ensure all work proposed, conducted and reported is free of falsification, plagiarism, fabrication or other non-scholarly conduct. Communicate, Document and Think Integrity in Scholarship
Propose only those objectives that are reasonable and attainable.Ask yourself, do you have the capability and wherewithal to do this project.Certifications
Verify that the collaborations you propose are genuine and have been carefully reviewed and approved by the stated collaborators.Secure an institutional authorization from your collaborator's institution before subcontracting Certification

All fiscal obligations, including cost sharing commitments from all university contributors and any and all third party contributors have been carefully reviewed and approved by those capable of making such commitments on behalf of their unit or enterprise.

Do not make commitments of human, financial or space resources without the approval and confirmation of proper authorities Certifications

Maintain a current and up to date conflict of interest disclosure and frequently self-examine your relationship with your project sponsors. Work to ensure such relationships are either free of a conflict of interest or consistent with a previously disclosed conflict of interest management plans.

Complete, certify and periodically update your Conflict of Interest disclosure. Also, consider your consulting engagements in light of your conflicts of interest management plans and your sponsorship. Conflict of Interest Management Systems
Carefully review the terms and conditions of resulting grants, contracts or cooperative agreements and comply with the terms. You will receive a copy of your sponsored agreement from your college research or business office or from the central sponsored programs office. You must read and understand the entire document prior to commencing work on the project. Seek guidance from your college research office or SPARCS if you do not understand any of the agreement terms. RADAR Database
Familiarize yourself with all University Policies, rules and regulations pertaining to the management of sponsored projects including Cost Accounting Standards and other fiscal matters associated with sponsored agreements, regulatory compliance matters such as the need to seek approval prior to engaging human subjects, animal subjects, use radiological materials or other hazardous materials, etc. Understand the policies and administrative regulations of NC State University with respect to its commitment to and compliance with the Drug Free Workplace act and the Equal Employment Opportunities act. Policies and Procedures
Fulfill your obligations to promptly disclose intellectual property pursuant to the intellectual property agreement in which you are bound as an employee of NC State University (which is consistent with the Bayh-Dole Act).  Office of Technology Transfer
You can not work on sponsored agreements, with animals or human subjects or other regulated materials if you are debarred or delinquent on any federal debt, including personal income taxes. If you become debarred for any reason, you must disclose such circumstances, in confidence, to Richard Best, the Director of Research Compliance, Research Integrity Officer for NC State University

e-mail Richard Best

or call 919-515-0158

Do not engage in lobbying the federal government to secure funding unless properly authorized to do so by the the office of Federal Affairs. Contact the Office of Federal Research Affairs, Director Matt Peterson. email Matt Peterson
Do not submit proposals and secure funding for the same work already funded (Current and Pending Support).  Certifications
All records generated from the work performed on any project are owned by NC State University and must be maintained for a minimum of 3 years OR as required by the sponsor, journal or patent disclosure whichever is longer. Records include all laboratory notebooks, final data sets, the proposal, technical reports, continuation. Scholarly Data & Notebooks Rules
You are responsible for the conduct, records and support of all of your subordinate scholars including technical staff, post doctoral associates, graduate students, etc.  Responsibility