Procedure Library

PI Eligibility Waiver Request

Purpose

Request waiver to meet compliance with University of Utah policy.

Applicability

All Principal Investigators (PIs) who plan to be the project director or PI on a proposal or award.

Waivers are required under certain circumstances as part of University rule on eligibility to assume the primary leadership role in a sponsored project. The Handbook states that "A person who does not hold a faculty appointment (regular or career line) may be designated as a PI if they are a University employee holding the position of 'Director' or with prior approval of the Vice President for Research."

Instructions

1. Request a waiver to the University rule on PI eligibility when a proposal PD/PI:
   
   1. Does not meet the required appointment status and rank permitted to be the PD/PI on a sponsored proposal and award, or
   2. Is not a student or postdoctoral fellow applying for sponsored funding specifically designed for students or postdoctoral fellows.
2. To request a waiver:
   
   1. Make the request in writing via email.
   1. This language is a basic framework for the request. Alter the language to reflect your particular circumstances. As you're putting together your request, consider whether it should be an across the board exception or a one-time exception and modify accordingly.
      
      [Date]
      
      Attn: Vice President for Research
      
      Re: Request for PI Status Exception
      
      Dear Dr. Jensen,
      
      I am writing to request an exception to [name, title, department, uNID] to submit as a PD/PI. 
      
      The proposal [title], is being prepared in response to [RFP] for the [sponsor] with a deadline of ______.  The corresponding DSS number [if known] is _________ .
      
      I am requesting an exception to allow [name] to act as PI on this project [provide justification and state what their role will be on the project. Also provide information regarding their status as an employee of the U and participation in other projects, if applicable.] Thank you for your time and consideration of this request.
   2. The complete request should come from the unit head (either the department chair, institute director, or center director) and be directed to the Vice President for Research with a copy to OSP.
   3. Include strong justification for the request.
   4. Include evidence that the school and/or department is committed to support the proposed PI by providing appropriate space, resources and administrative oversight in the event that the award is made.
   5. Attach a curriculum vitae of the proposed PI.
3. Once a determination has been made, please check to see that OSP was copied on the VPR's reply.
4. If approved, send OSP the investigator's uID so that he/she can be added to eProposal; without it, he/she can only be named on the application externally.
5. Adjunct faculty do not need VPR approval. However, he/she will need to be approved by the department chair and dean. This can be done with an approved Document Summary Sheet. If the adjunct faculty member is not showing up as PI eligible in eProposal, he/she will need to be manually added by OSP. Please contact us and provide the adjunct's uNID, if this is the case.

Related Policies and Procedures

• Research Handbook > Roles & Responsibilities > Principal Investigator