Policies & Compliance
- Research Conduct
- Combatting Human Trafficking
- Federal Disclosure Requirements
- 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 serve 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 are provided in the Procedure Library.
Faculty with an approved appointment that begins in the future may submit proposals through the University, provided that the project start date does not precede the faculty appointment start date.
Overview of PI Responsibilities
Leadership and Proposal Preparation
The PI holds primary leadership for the project. During proposal development, the PI (or the PI's mentor, where applicable) is officially identified in the University's proposal intake materials submitted to OSP.
The PI is expected to:
- Engage early with department leadership and OSP during proposal development;
- Complete all proposal intake materials accurately and truthfully; and
- Accept responsibility for the proper conduct of the project in accordance with University regulations, the OSP Handbook for Research & Sponsored Activity, and the award terms and conditions.
Accountability and Compliance
Sponsored projects administration is a shared responsibility between the PI and the University. The PI is accountable for:
- Appropriate conduct of the project;
- Stewardship of research data, materials, and project deliverables;
- Fiscal management in accordance with the awarded budget; and
- Compliance with federal regulations, state laws, sponsor requirements, and University
policies.
For related guidance, see: - Role of PI in Post-Award Administration
- Role of PI in Subrecipient Monitoring
Although day-to-day financial or administrative tasks may be delegated, the PI retains
final responsibility for compliance with regulatory and institutional requirements,
including but not limited to:
- Institutional Review Board (IRB)
- Institutional Animal Care and Use Committee (IACUC)
- Environmental Health and Safety (EHS)
- Institutional Biosafety Committee (IBC)
- Radiation Safety
- Sponsor-specific regulations and terms
Close-Out Responsibilities
After project completion, the PI - together with Co-PIs, delegates, and/or subrecipient PIs - remains responsible for fulfilling all University and sponsor close-out obligations, including but not limited to:
- Submission of final technical reports;
- Disclosure of inventions;
- Completion of consortium/subcontract requirements;
- Data management and sharing obligations; and
- Any additional reports required by the sponsor or University.
Changes in Principal Investigator Status
The PI must notify OSP and their department/unit leadership immediately if any of the following occur:
-
The PI withdraws or intends to withdraw from the project;
-
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 needs to transfer an award (regardless of whether they remain as Co-PI);
- The PI reduces effort on the project by 25% or more from the level approved at the time of award;
- The PI participates in the Intergovernmental Personnel Act (IPA) program;
- The PI is or has been debarred or suspended by the federal government or by an foundation or external sponsor;
- The PI is criminally charged or convicted of sexual misconduct;
- The PI is placed on administrative leave; or
- The PI separates from the University.
Important:
A PI who is debarred or suspended is legally prohibited from receiving federally funded awards or salary support from federal funds. Faculty who have been debarred or suspended by a foundation or other external sponsor must consult with their Department Chair before pursuing additional sponsored funding.
Any change in PI requires approval from both the sponsor and the University, coordinated through OSP.
Additional Resources
For further information on faculty and PI roles and responsibilities at the University of Utah, see:
