Principal Investigator (PI) Eligibility

PI status allows a UC San Diego employee to submit an application for extramural support of research, training, or public service programs or projects officially in the name of the University.

The PI eligibility policy can be found here: PPM 150-10.

In accordance with UC policy, UC San Diego limits the employee title codes permitted to submit proposals for extramural support. Exceptions to the policy are made only in special circumstances when “the individual is highly qualified, when such action is in the best interest of the University, and provided that space and facilities can be assigned without detriment to the regular research, instructional, and public service responsibilities of the University” (PPM 150-10, Section III).

Please see the WHO QUALIFIES section for further information about title code eligibility.

1. Members of the Academic Senate
   Professor - all ranks; Professor in Residence - all ranks; Professor of Clinical X - all ranks but instructor; Research Professor; Professor Emeritus - all ranks; Senior Lecturer and Lecturer with Security of Employment; Acting Professor and Acting Associate Professor (but not Acting Assistant Professor); University Librarian (but no other librarians); Registrar and Chief Admissions Officer; Vice Chancellor; Chancellor
2. Salaried appointees in the Adjunct Professor series, with the exception of the Instructor rank.
   Note: The source of salary support may be state, extramural or other departmental funds.
3. Appointees salaried at 50% or more of full time in the Clinical Professor series, with the exception of the Instructor rank.
   Note: The source of salary support may be state, extramural or other departmental funds.
   
4. Appointees in the Research Scientist/Scholar series.
   At SIO, a review is required to increase the percentage of appointment of Research Scientists because of the commitment of institutional resources to Research Scientists.
   
5. Assistant, Associate and full Project Scientists/Scholars may serve as Co-PI with professorial and research scientist appointees.
   

Note: An appointee who qualifies from another UC campus may be named as a Co-Principal Investigator on a UC San Diego proposal.

List of UC San Diego Title Codes conditionally eligible:

If the individual has accepted the PI eligible appointment in writing, no PI Exception is required. If the individual has not yet officially accepted the PI eligible appointment in writing, an exception request is required.

Assistant, Associate and full Project Scientists/Scholars may serve as Co-PI (or NIH Multi-PI) with professorial and research scientist appointees without needing to request an exception.

If KR is still flagging the need for a PIE, department contacts can initiate the PIE request in Kuali Build and the system will automatically notify users when conditions are met for PI status eligibility. Click "Submit" and print the PIE approval to proceed with the proposal submission in KR.

By definition, researchers in the Project Scientist series serve as members of a research team, do not normally lead the research, and are not automatically eligible to be sole PI.

While a PI Exception form is still required, requests from Assistant Project Scientists are typically approved to encourage growth towards research independence and transition to a PI eligible title. Consider submitting a blanket PI exception request for Assistant Project Scientists (effective for up to two fiscal years) by selecting "Blanket Request" under the first question on the Kuali Build form. 

PI Exception requests for Associate or Full Project Scientist are not automatically approved and will be reviewed on a case-by-case basis. The request should address 1) why no regular faculty or research scientist is to act as Co-PI with the applicant; 2) any plan for the person to develop toward independence and conversion to a PI-eligible title; 3) why it may be appropriate for the Associate/Full Project Scientist to serve as PI on the particular grant or contract.

No. A PI Exception is not required for a person to be listed as a Co-Investigator on a proposal or award.

Yes. Postdocs may serve as PIs on fellowships as these are appropriate for their mentored, basic research training status. No PI Exception form is required for a postdoc to be PI on a fellowship.

Please see below for information about a postdoc interested in being PI on a grant or contract.

No. A postdoc would need a PI Exception form to be PI or Co-PI on any non-fellowship mechanism (i.e. grant, contract). The request would require additional explanation as to why this project would be appropriate for the postdoc in their current title. For instance, the funding opportunity may be specifically for a postdoc, as is the case with an NIH K99.

If the funding opportunity is not specifically for a postdoctoral scholar, requests for PI status for postdocs on General Campus and in the School of Medicine are routinely granted if the request proposes a change to the Assistant Research Scientist or Assistant Project Scientist title or other appropriate title before the start date of the grant. In this case, the individual must have demonstrated a strong potential for performing independent research.

At SIO, PI Exceptions will only be approved for postdocs who have completed at least 12 months of postdoctoral research at SIO at the time of submitting grant proposals. Sole PI status will only be approved up to 50% time, unless the proposal specifically calls for a postdoc. The call for proposal must be included with the PI Exception request. Co-PI status will be granted up to 100% effort if the Co-PI is the Postdoc sponsor.

Yes. Make sure to explain the appropriateness of the potential award with your current role.

While serving as PI on a traditional research project would not be appropriate for staff titles, other kinds of funding opportunities may be appropriate for high-level staff (MSP/director-level). PIEs will only be granted when the justification clearly explains how the project fits within the scope of the employee’s current job duties. Depending on the employee’s job description, appropriate funding opportunities could include projects related to educational training, community outreach, student support, or serving in an administrator/directing capacity of a program.

In certain cases, we would consider blanket PI exceptions for MSP staff titles when limited to funding opportunities and projects that the fall within the scope of the employee’s job description.

Examples of approved staff PIEs:

• Director of Student Engagement (MSP): approved PIE for industry funded grant for student travel and student scholarships.
• Executive Director for Community Health (MSP): approved PIE for outreach and engagement activity.
• Assistant Dean (MSP) in Center for Research: approved PIE for program evaluations and market research studies to determine the viability of programs being considered.
• Associate Dean (MSP) of Community Outreach: approved blanket PIE for education and community outreach, programs with local community libraries, and educational programs for high school students.

UC San Diego PI eligibility is based on appointment title, not visa status. However, it is advisable to check if the sponsoring agency has any visa restrictions.

Employees in appointments not automatically PI eligible may work with their fund manager/department personnel to request an exception. Exception requests are submitted using the Kuali Build platform (ucsd.kualibuild.com)

For employees in appointments conditionally eligible, Kuali Build will notify users when conditions are met for PI status eligibility. These include, Adjunct Professors with appointments greater than zero percent, Clinical Professors with appointments 50% or greater, and Project Scientists proposed as Co-PI with eligible PIs. Click "Submit" and print the Kuali Build approval to proceed with proposal submission in KR.

For employees in non-eligible job codes, the completed form will require the signature of the proposed PI and the Department Chair/ORU Director, prior to routing to the Vice Chancellor-Marine Science or Dean-Health Sciences (as applicable), and the Vice Chancellor for Research. Kuali Build facilitates the appropriate routing process depending on the unit, appointment, and type of request.

PI Exceptions will be required prior to proposal submission. Please allow at least 10 business days for processing with the Vice Chancellor for Research. Estimated budget totals may be used on the PI exception request if the budget is not finalized to meet this deadline. 

The submitter of the PIE request can check the status in Kuali Build

A viewable dashboard is being developed for Sponsored Projects Offices and other administrative personnel to view PI Exception requests. 

We encourage Assistant Project Scientists to submit blanket PI exceptions to minimize the administrative burden of requesting PI approval for each proposal. Blanket PI exceptions can be effective for up to two fiscal years depending on the appointment status of the individual.

To request a blanket exception for an Assistant Project Scientist via Kuali Build, select the “Blanket Request” option. The fund manager completes the cover page, then routes the form forward for the requesting PI to complete the questionnaire and sign the form. It then routes back to the fund manager for corrections and a final review.

The completed form will require an additional signature from the Department Chair/ORU Director, prior to routing to the Vice Chancellor-Marine Science or Dean-Health Sciences (as applicable), and the Vice Chancellor for Research. Kuali Build facilitates the appropriate routing process depending on the unit, appointment, and type of request.

NIH’s K99/R00 Pathway to Independence Award is intended to fund two years support at the K99 mentored phase with a potential of three years support at the R00 independent investigator phase.

On the PI Exception form, it is appropriate to indicate that the individual will remain a postdoc for the duration of the K99 portion. Any exceptions to this will require additional justification and potentially sponsor approval.

When explaining the plan for future appointment status for the R00 portion, the request should briefly discuss the candidate’s anticipated plan to transition to an independent researcher position.

We approve external Co-PI exceptions on NSF multi-institutional collaborative projects, at sponsor’s request, to acknowledge the true partnership between the collaborators.

To make this request, select the “External Co-PI Exception” option when initiating the PIE in Kuali Build. Once the fund manager completes the cover page, the form will route to the external Co-PI and the UC San Diego PI to complete a brief questionnaire and upload the non-UC San Diego faculty member’s CV/biosketch. The PI Exception form will require the signature of the external Co-PI, the Department Chair/ORU Director, and the Vice Chancellor-Marine Science or Dean-Health Sciences (if applicable), prior to routing for review and approval from the Vice Chancellor for Research. Kuali Build will facilitate the routing process.

Form initiators (fund manager/ department personnel) may initiate a PI exception request here.

For the most efficient responses to PI questions, please use the contact information below. Please do not email central campus rewievers directly.

Policy and request form questions to: piexceptions@ucsd.edu.

Health Sciences PI Exceptions, contact Rachel Cook at racook@ucsd.edu