Policy Title: Principal Investigators
Policy Area: Research Policy
Owner: Policy Office
Approved by: UM6P President
Effective Date: December 22, 2023
SECTION 1: PRINCIPAL INVESTIGATORS
1.1. A Principal Investigator is the individual with primary responsibility for the design, conduct and reporting of a sponsored research project.
SECTION 2 : ELIGIBILITY
2.1 Eligibility to act as a Principal Investigator (PI) or Co-Principal Investigator (Co-PI) on research projects at UM6P is a privilege limited to full-time members of the standing, research, and associated faculty (assistant professors, associate professors, professors and research and education fellows). This limitation is in place because PI is responsible for determining the intellectual direction of scholarship and research, which in turn impacts the academic trajectory and public perception of the university. Given the critical role played by the PI, it is essential that only the actual leader of a research effort is designated as PI.
SECTION 3: EXCEPTIONS TO THE ELIGIBILITY RULE
3.1. Faculty in the lecturer series, adjunct faculty, visiting faculty and senior research staff may be granted a PI Status waiver on a case-by-case. Requests for PI eligibility for researchers who are not members of the faculty (e.g., academic research staff members, administrative staff) may be made on a case-by-case basis.
3.2. All requests for exceptions to the PI eligibility rule should be made to the head of department for review. The head of department has the authority to approve a request for PI eligibility by someone who is not a member of the faculty. The decision of the head of department may be appealed to the Research Committee. All appeals must include new or not previously considered information.
SECTION 4: PROCEDURE TO APPLY FOR AN EXCEPTION
4.1. To recommend a candidate for an exception to the PI eligibility policy, the sponsoring faculty or academic staff member must submit to the head of department the following materials:
4.1.1 A written request containing a full justification for the exception;
4.1.2 A copy of the recommended individual’s current curriculum vitae;
4.1.3 A one-page abstract describing the research project; and
4.1.4 A budget and budget justification.
SECTION 5: RIGHTS AND RESPONSIBILITIES OF PRINCIPAL INVESTIGRATORS AND OTHER RESEARCHERS
5.1. Rights
5.1.1. In order to accomplish the university’s research strategies, PI’s are guaranteed certain freedoms. PI’s have the right to academic freedom in the pursuit and support of research. Each PI has the right to know who is sponsoring the research and supporting his or her salary or stipend. PI’s also have the right to disseminate the results and findings of their research without suppression or modification from external sponsors beyond those provisions explicitly stated in the sponsorship agreement.
5.1.2 The PI is required to understand and comply (and ensure all research team members understand and comply) with all the provisions of a sponsored research agreement, including any limitations or guidelines placed on the publication or dissemination of research results. The PI must also understand and comply (and ensure research team members understand and comply) with requirements related to ethics, intellectual property disclosure and protection.
5.2. Responsibilities
5.2.1. The PI is responsible for research works fiscal oversight, and the overall management of the project, and he/she is obligated, together with the university, to comply with all terms of the research agreement.
5.2.2. Supervision of Staff and Students: The PI is responsible for supervision, management and training of research staff and students who are allocated or hired to support the PI’s research team. Disputes between staff members and students should be mediated in accordance with Human Capital (HC) and academic policies. A PI must be aware of their obligations to staff and students working as part of a research team. It is particularly important that, at least annually, each PI review the intellectual property rights and responsibilities (for management of data in all media, for proper authorship attribution, etc.) with all members of the group under his or her direction. The university is committed to providing a positive work environment and demonstrating support and appreciation for its staff. To that end, a PI is encouraged to provide staff development opportunities and, if possible, to develop a mentoring relationship for those in their group. It is expected that appropriate working relationships are maintained. Any disputes arising between a PI and a staff member or student should be mediated through the head of department.
5.2.3. Carrying out research projects: the PI is solely accountable to the sponsor (and the university) for carrying out the research project in the best possible conditions allowing the achievement of the expected results. He does what is necessary so that the project is carried out according to the planned program within the allotted time.
5.2.4. Non-disclosure: the PI ensures the confidentiality of the work carried out and the results obtained. He does what is necessary to raise awareness among the members of his team and have them sign the necessary commitments to guarantee non-disclosure of the results in accordance with the agreement concluded with the sponsor.
5.2.5. Health and Safety: Each PI is responsible for ensuring that members of the research team are familiar with all relevant health and safety policies and procedures of the Research Infrastructure & HSE Management Office including but not limited to State names of HSE policies. The PI must also ensure that members of his or her team have received training in the appropriate health and safety procedures for any facilities and resources the team member will utilize in support of the PI’s research. The PI is responsible for ensuring research staff under their supervision have received appropriate training on laboratory and other procedures specific to his/her laboratory area and type of research, and for management of those procedures in his or her laboratory or other workplace. The PI is also responsible to ensure the periodic inspection of lab facilities, and to cooperate in any inspections by university personnel or external agencies.
5.2.6. Fiscal Obligations: Although the legal agreement funding a sponsored project is between the sponsor and the university, the PI has overall responsibility for fiscal management of his or her sponsored projects and must manage it within sponsor funding limitations. Funds must be expended within the restrictions of the contract or grant, and if any overdraft should occur, it is the responsibility of the PI to clear the overdraft by providing an alternate account to charge the expense. Overall, the PI is responsible for:
a.Use of funds to carry out the project sources of funding;
b. Compliance with the budget and respect for its allocation, especially as regards recruitment;
c. Notifying the management control department in the event of a shortfall or change in the financial structure; and
d. Adhering to the principle of trust (Nya) in the management of the project budget.
5.2.7. Advance Spending: Spending in advance of an award is subject to prior approval from the Research Management Office, and assignment of a budget code to collect the expenses. The cost of proposal activities in support of new directions in research may not be charged to sponsored projects. Heads of departments must ensure that non-sponsored project funds are available to offset the portion of the PI’s and his or her staff’s salaries from sponsored projects for effort spent preparing proposals to support new directions in research. The cost of proposal preparation efforts for continuing research is appropriately charged to current projects.
5.2.8. Equipment Management: The PI is responsible for securing necessary approvals from the Research Infrastructure and HSE Management offices for the purchase of equipment, and for proper tagging, inventory, and disposal of equipment in accordance with university policies.
5.2.9. Research Ethics and Conflict of Interest: The PI must comply with the university’s Research Ethics policies (Research Integrity Policy), including but not limited to the disclosure of any situation that could lead to real or apparent conflict of interest. (see Conflict of Interest in Research policy).
5.2.10. Research Protocols: The PI also needs to ensure that approved research protocols for the use of Human Subjects and Animal Care and Use in research are obtained and followed. For more detailed discussion on these topics, please refer to the policies on Human Subject Research and Animal Use and Care.
5.2.11. Lab Notebooks and Recording of Data: The PI is responsible for ensuring that the data generated in the performance of a research project is properly recorded, organized, and secured.
SECTION 6 REVIEW AND MONITORING STATEMENT
6.1 This policy document is reviewed once every four (4) years, or more frequently when requested by the President or subsequent changes in regulations or accreditation requirements.