Procedure Library

PI Eligibility Waiver Request

Purpose

To request a waiver of the University of Utah PI eligibility requirements in order to comply with institutional policy.

Applicability

University employees who are not automatically PI-eligible but seek approval to serve as Principal Investigator on a sponsored project proposal or award.

Waivers are required when individuals do not meet the eligibility criteria outlined in University Rule R7-200B: Principal Investigator Eligibility and Responsibilities in Sponsored Projects.

Instructions

A PI eligibility waiver should be requested when:

• The proposed PI does not meet the required appointment status or rank for PI eligibility; or
• The individual is not a student or postdoctoral fellow applying to a program specifically designed for students or postdoctoral fellows.

In these cases, a PI-eligible faculty member must be designated as the internal PI on the eProposal DSS to ensure proper supervision.

In rare circumstances, a departing faculty member may request approval to continue as PI as an unpaid non-employee adjunct faculty member when an award cannot be transferred or transfer is inadvisable.

How to Request a Waiver

1. Submit the request in writing via email.
2. The request must come from the unit head (department chair, institute director, or center director)
3. The request must be addressed to the Vice President for Research and copied to OSP.

Required Components

Include the following:

• A clear justification for the exception
• Evidence of school/department commitment (space, resources, and administrative oversight if awarded)
• The proposed PI's curriculum vitae
• The proposed PI's uNID (needed for eProposal access, if approved)

Once a decision is made, confirm that OSP was copied on the VPR's response.

Suggested Language for the Request

[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 request approval for [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.

Additional Notes:

Under Rule R7-200B, adjunct faculty with tenure-line or career-line appointments do not require VPR approval.

• The must instead be approved by the department chair and dean, typically via an approved Document Summary Sheet (DSS).
• If an adjunct faculty member is not appearing as PI eligible in eProposal,  OSP can manually update their status once thier appointment is verified.
• Contact OSP and provide the adjunct faculty member's uNID, if this occurs.

Related Policies and Procedures

• Research Handbook > Roles & Responsibilities > Principal Investigator
• Rule R7-200B: Principal Investigator Eligibility and Responsibilities in Sponsored Projects