PI Eligibility Policy for Purposes of Assigning Accountability for Projects

To be eligible to serve as a principal investigator on the Proposal Data Form ("Gold Sheet"), which is used for externally-funded projects, an individual must be either a tenured or tenuretrack faculty member or a Professional and Scientific (P&S) employee on a continuous appointment at the level of P17 or above. For all other classifications, see the table for PI eligibility. This policy also applies to individuals submitting internal proposals as well as protocols for compliance-related activities, such as use of human subjects, animals, and biohazards, regardless of whether or not the project is externally funded.

Individuals appointed at a P&S classification level of P17 or above are routinely allowed to serve as Principal Investigators on research projects. This is because it is assumed that individuals appointed at this level have had to demonstrate successful independent scholarship and the ability to administer sponsored research funding in order to be appointed. When the University
assigns responsibility for the execution of research, it must be certain that the Principal Investigator has demonstrated capability for independent scholarship that is acceptable within the peer community.

There are times when it may be appropriate for an individual at a classification level of P16 or below to be shown as Principal Investigator on an external proposal. An example would be if an individual is applying to a dissertation research awards program. In these cases, the individual should be shown as a Co-Principal Investigator on the Proposal Data Form (Gold Sheet), and
the individual's supervisor or department head should be shown as principal investigator on the Gold Sheet. The Gold Sheet is an internal document that does not leave ISU. Any Co-Principal Investigator shown on the Gold Sheet is given full credit for the proposal and/or subsequent award in the ISU Office of Sponsored Programs Administration database.

If an individual at a classification level of P16 or below wishes to be shown as the Principal Investigator on the Gold Sheet for a research project and feels that he/she has a record of successful independent scholarship and experience in administering sponsored research funding, a request should be submitted by the individual's supervisor to the Vice President for Research and Economic Development. This request should include a copy of the individual's curriculum vita. As evidence of successful independent scholarship, a Ph.D. degree with a few publications in referred journals from that and subsequent work would be expected. In addition, a master's degree with an extensive record of independent scholarship accepted in referred journals would be expected. In either case, evidence of experience in grants management must also be provided.

If a project is for a non-research activity (i.e., public service, instruction, etc.), the same policy outlined above is applicable. However, if an individual is at a classification level of P16 or below and wishes to seek approval to be a Principal Investigator on the Gold Sheet, only evidence of experience in grants management must be provided to the Vice President for Research and Economic Development; information regarding evidence of successful independent scholarship would
not be relevant.

Questions regarding this policy should be directed to Sonja Klocker in the Office of the Vice President for Research and Economic Development 2610 Beardshear Hall, Ames, IA, 50011. 515-294-6344, skklock@iastate.edu.