Principal Investigator

Principal Investigator Definitions

Principal Investigator: Any Researcher who has primary responsibility within the University for the design, conduct, and reporting of research.

Researcher: Any person affiliated with USU whose role statement, job description, employment assignment, area of study, or function within the University, either in whole or in part, includes conducting research/creative endeavors or other activities overseen by the Office of Research. This includes faculty, professional research staff, research assistants, laboratory and clinical personnel, and others as may be designated by the Vice President for Research.

Co-Investigator (Co-I): Any Researcher who makes a significant scholarly or technical contribution to a sponsored project and shares responsibility with the principal investigator (PI) for the design, execution, and management of the project.

Who is Eligible to Serve as a Principal Investigator?

To be eligible for this role, a Principal Investigator must hold, or be expected to hold by the time USU receives an award, an appointment as a faculty member, postdoctoral fellow, adjunct professor, research associate, research faculty, or visiting faculty (if their position spans the entire period of the award governing their project) and be designated as a Principal Investigator by their department head and dean.

University department heads, center directors, and deans or vice presidents (in cases where the prospective Principal Investigator is employed by USU under a non-academic unit) determine who may serve as a Principal Investigator. All Principal Investigator designations may be subject to review by the Vice President for Research.

USU students may not serve as a Principal Investigator but may serve as a co-Principal Investigator on a project.

If you are unsure who should serve as PI on a proposal, please reach out to your Sponsored Programs Office (SPO) Pre-Award Contact.

Responsibilities of a Principal Investigator

The Principal Investigator is primarily responsible for the overall programmatic and financial administration throughout the lifecycle of the project. These responsibilities include the following items:

Pre-Proposal

• Completes required trainings (e.g. RFAST & Research Security Training).
• Identifies funding source(s) for the project. 
• Identifies which Proposal Development Specialist and SPO Pre-Award Contact to coordinate with.

Develop Proposal

• Reviews Request for Proposal (RFP) to determine the required format and items for proposal submission.
• Reviews RFP to determine whether the project involves Controlled Unclassified Information (CUI).
• Creates proposal to adhere to the requirements of the RFP and USU policies and procedures – coordinates with applicable Proposal Development Specialist.
• Submits proposal for approval in accordance with USU’s Internal Deadline for proposal submission.
• Follows-up with approvers to ensure Kuali proposal continues to move through the approval queue to reach SPO on time.
• Coordinates with SPO throughout the review/submission process to ensure errors are corrected in a timely manner prior to submission.

Set Up Project

• Provides SPO with a copy of the notification that the proposal has been selected for funding.
• Provides SPO with any communication that occurred after the proposal was submitted, but before the proposal was selected for funding (e.g. revised scope of work or budget documentation).
• Completes Conflict of Interest Disclosure.
• Completes Compliance Protocol processes (e.g. IRB, IACUC).
• Reviews agreement and completes PI acceptance form in a timely manner.
• Signs/Routes forms as needed for the finalization of the award (e.g. Guarantee of Expenditures Form, Letter of Guarantee, Publication Restriction Form, etc.).

Manage Project

• Completes the scope of work in adherence to the terms and conditions of the agreement.
• Conducts the project using the highest ethical standards following the policies relating to integrity in research.
• Reviews expenses charged to the award to ensure that expenses are allowable per federal regulations, sponsor specific terms and conditions, and USU policies and procedures. 
• Manages the budget of the Sponsored Program to prevent overspending or unallowable costs.
• Monitors expenditures monthly to ensure errors are corrected in a timely manner consistent with the requirements of Utah State University Policy 4102: Cost Transfers on Sponsored Awards.
  
  • Coordinates with Business Services if corrections to expenses need to be made.
• Meets reporting requirements in a timely manner consistent with sponsor requirements.
• Coordinates with SPO if changes to the contract need to be negotiated:
  
  • Change of scope
  • No cost extension needed
  • Additional funding is received or required
  • Change of PI/PD
  • Transfer of award to another institution
  • Leave of absence for PI and/or Co-I
  • Budget Modifications
• Ensures that cost share commitments are met during the project period.
• Adheres to all applicable laws, policies, procedures, and terms and conditions associated with the agreement and any related agreements (e.g., data use agreements or Non-Disclosure Agreements).
• Ensures others working on the project (e.g., Co-Is, graduate students) adhere to all applicable laws, policies, procedures, and terms and conditions associated with the agreement and any related agreements (e.g., data use agreements or CDAs) coordinating with SPO and Sponsored Programs Accounting , as needed, to maintain compliance.
• Prepares and submits additional Kuali proposals when additional funding is being received for an existing project.

Close Out Project

• Coordinates with SPO to request an extension if work will not be completed by the final day of the approved project period.
• Manages the budget of the Sponsored Program to prevent overspending or unallowable costs.
• Ensures the final expenses are posted to the project index(es) in a timely manner so that final invoices can be submitted according to the contractual due date.
• Avoids charging expenses that would be considered audit “red flags:”
  
  • Equipment within the last budget period
  • Large purchases of supplies or other expenses at the end of the project to spend down available funds.
• Submits required technical/progress reports on time according to the sponsor deadlines.
• Provides a copy of the final report to SPO for uploading into Kuali.
• Coordinates with SPO to submit reports (non-financial) that require signature from an authorized official.
• Coordinates with Sponsored Programs Accounting to close out the award in Banner.
• Coordinates with SPO to close out the award in Kuali.

Subawards

• Pre-Award
  
  • Identifies the appropriate collaborating outside organizations (not individual consultants) to serve as Subrecipients/Subawards under the sponsored project.
  • Obtains the Subrecipient’s proposal and integrates it into the Kuali proposal submitted to the sponsor.
• Post-Award
  
  • Submits the Subaward Initiation Form to SPO via KualiBuild.
  • Monitors and oversees the work of Subrecipients, reviewing and approving Subaward invoices, and coordinating with SPO for the initiation and modification of Subaward agreements.
  • Notifies SPO of any problems or issues with the subrecipient’s performance on the project.
  • Requests amendments to the subaward using the Subaward Initiation Form via KualiBuild.

Designation of PI Status

The PI is designated in the Kuali proposal submitted for internal review by the appropriate Department Head/Director and Dean/VP. By approving the Kuali proposal, the PI agrees to the responsibilities outlined above throughout the lifecycle of the award.

Any PI who is or has been debarred or suspended by the federal government must immediately notify Sponsored Programs and is precluded from receiving federally funded grant or contract award or from being paid with federal funds.

All principal investigators may serve as a project PI only with the prior approval of their Department Head/Director, and Dean/VP and may be subject to review by the Vice President for Research.

Co-Investigator Definition and Status

Like a Principal Investigator, a Co-Investigator (Co-I) must be designated as such in the Kuali proposal and must be approved by the applicable Department Head/Director and Dean/VP. Though many sponsors only recognize one individual with primary responsibility for proper conduct of the project, some sponsors have recognized a role for other key individuals conducting certain tasks within a larger program. Co-Is are held responsible for the portion of the project under their control. A Co-I may conduct program activities in a PI’s absence with approval of the program sponsor. Like the PI, Co-Is must not be debarred or suspended by the federal government.

Responsibilities of a Co-Investigator

Pre-Proposal

• Completes required trainings (e.g. Research Security Training).

Develop Proposal

• Reviews Request for Proposal (RFP) to determine the required format and items for proposal submission.
• Assists with proposal creation to adhere to the requirements of the RFP and USU policies and procedures – coordinates with applicable Proposal Development Specialist.
• Coordinates with SPO throughout the review/submission process to ensure errors are corrected in a timely manner prior to submission.

Set Up Project

• Completes Conflict of Interest Disclosure.
• Assists with the completion of Compliance Protocol processes, as needed (e.g. IRB, IACUC).

Manage Project

• Completes the scope of work in adherence to the terms and conditions of the agreement.
• Conducts the project using the highest ethical standards following the policies relating to integrity in research.
• Assists with meeting reporting requirements in a timely manner consistent with sponsor requirements.
• Adheres to all applicable laws, policies, procedures, and terms and conditions associated with the Sponsored Program agreement and any related agreements (e.g., data use agreements or Non-Disclosure Agreements).
• Ensures others working on the project (e.g., graduate students) adhere to all applicable laws, policies, procedures, and terms and conditions associated with the Sponsored Program agreement and any related agreements (e.g., data use agreements or CDAs) coordinating with SPO and Sponsored Programs Accounting, as needed, to maintain compliance.

Close Out Project

• Assists with the submission of required technical/progress reports on time according to the sponsor deadlines, as needed.