Principal Investigator Eligibility and Assurances Policy

This Principal Investigator Eligibility & Assurances Policy (“Policy”) applies to faculty and staff at Arcadia University who plan to lead a Sponsored Project.

The purpose of this Policy is to ensure that Sponsored Projects are led by qualified Principal Investigators who have the technical competence and administrative experience to assume responsibility for successful accomplishment of all aspects of the Sponsored Project.

It is the policy of the University that only Eligible Personnel (as defined below) may serve as Principal Investigators since there must be direct accountability to the University, the Sponsor, and any governmental regulators. Certain other individuals may serve as Principal Investigators as described under Section B below.

The University has designated the following personnel as eligible to serve as Principal Investigators on Sponsored Projects:

Under special circumstances other qualified individuals may be designated to serve as Principal Investigators. Such designation requires the approval of the Provost and must be endorsed by the Chair of the department and the Dean of the College in which the Sponsored Project is to be performed. If granted, this Principal Investigator designation is limited to the proposed Sponsored Project under consideration; it does not afford blanket status to serve as a Principal Investigator on other Sponsored Projects. To qualify for the Special Circumstances, the following criteria must be met:

Some faculty members may wish to continue their research programs after retirement from the University, but do not qualify for status as Principal Investigators because they are no longer University employees. Active retired faculty members may be allowed to submit proposals at the discretion of the Provost or his/her designee. The Principal Investigator Approval Form must be completed for this purpose.

The Office of Sponsored Research and Programs acknowledges the importance of permitting graduate students to lead Sponsored Projects where appropriate. There are several sponsors or funding agencies who offer grants where by the work is conceived and carried out entirely by a graduate student. In these cases, a full time faculty member must be identified to serve as mentor and over see the project on a nominal basis, and the Principal Investigator Approval Form must be completed.

There may be other sponsors or funding agencies for whom the need for submission of the proposal through the University is not required because the grant will be awarded to a student directly, and not to the University. In this case, the student may submit the application directly to that sponsor or funding agency without coordination with the OSRP.

The University for cause may withdraw the status of Principal Investigator. An academic administrator should submit such request in writing to the Provost or his/her designee.

The following reasons for withdrawal include, but are not limited to:

The University Routing Committee must approve all grant proposals before they are submitted to the Sponsor for consideration. When a Principal Investigator submits a grant proposal, the Principal Investigator assures by signing the Proposal Routing and Approval Form, available on OSRP website:

Appointment Letter is the University document that informs the eligible party that he or she has been appointed to the position of Principal Investigator for the Sponsored Project.

Principal Investigator is the individual designated by the University, pursuant to an Appointment Letter, or as stated on the Proposal Routing and Approval Form, to have the appropriate level of authority and responsibility to direct the Sponsored Project.

Co–Principal Investigator is designated in some circumstances and shares the authority and responsibility for leading and directing the Sponsored Project, intellectually and logistically. The Co-Principal Investigator is responsible and accountable to the Sponsor, and the University, for the proper conduct of the Sponsored Project including the submission of all required reports.

OSRP is the Arcadia University Office of Sponsored Research and Programs.

Principal Investigator Approval Form is the document that must be submitted by non-Eligible Personnel, when Special Circumstances exist that permit non-Eligible Personnel to serve as Principal Investigators. This form can be found on the OSRP website.

Significant Financial Interest (SFI) Disclosure Forms are required documentation by the University to ensure that all investigators who are responsible for the design, conduct, or reporting of research results and their immediate family members, do not hold significant financial interests which could influence the outcome of a Sponsored Project. This form can be found on the OSRP website.

Sponsor is the organization or funding agency that funds a Sponsored Project.

Sponsored Projects are externally funded activities in which a formal written agreement such as, a grant, award, sub-award agreement, cooperative agreement, contract, or fellowship is executed between University and the Sponsor.

University is Arcadia University, its colleges, schools, affiliates, divisions, and subsidiaries.

University Routing Committee consists of members nominated by the University. The Committee reviews all grant proposals that are to be submitted to the Sponsor for funding consideration.

This Policy is effective on the date that it is signed by the President

April 20, 2015