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What you need to know
Certain programs or sponsors may indentify criteria for PI eligibility. Such criteria may include degree(s), awards/honors, tenure, how many times the individual has been a PI, faculty membership, etc. (see WI-DO-05). These qualifications should be reviewed carefully to ensure eligibility. In addition to the sponsor’s criteria, the potential PI must be aware of his responsibilities, have approval from his unit, and meet eligibility requirements as dictated by ASU policy.
The PI’s primary responsibilities include:
- Confirming his/her own eligibility by reviewing the sponsor’s requirements and university policies;
- Conforming to ASU’s Limited Submission process, when applicable;
- Identifying which project members have independent responsibility for design, conduct, and reporting on the sponsored project;
- Complying with all sponsor rules and regulations, including the submission of reports and deliverables.
Related policies and work instructions include:
- RSP 102: Principal Investigator Eligibility
- RSP 103: Principal Investigator Responsibilities
- RSP 301: Limited Submission of Proposals
Unit approval at the department and college (or equivalent) levels is required for any individual to serve as a PI on a sponsored project. Approving the proposal in ERA affirms that:
- The proposed PI is in fact eligible to fill the PI role;
- The PI will have an appointment for the full term of the proposed grant period;
- The unit will ensure completion of the project and delivery of all reports, etc. required by the sponsor.
Eligible ASU Personnel
Provided they meet the sponsor’s criteria, the following individuals at Arizona State University are eligible to serve as PIs on externally sponsored projects:
- Tenured, tenure-track, and non-tenure track faculty:
- Assistant Professors
- Associate Professors
- Emeritus Faculty
- President’s Professors
- Regents Professors
- Research Assistant Professors
- Research Associate Professors
- Research Professors
- Research Scholars
- Permanent staff (such as administrative, academic & professional positions, classified staff, etc.)
NOTE: IF THE ELIGIBLE PI DOES NOT HAVE AN ACTIVE PAID APPOINTMENT AT THE TIME OF APPLICATION, AND FOR THE DURATION OF THE PROPOSED PROJECT, AN INTERNAL PI MUST BE DESIGNATED.
The following individuals at Arizona State University are NOT eligible to serve as sole, primary PIs on externally sponsored projects; however, these individuals may serve as Co-PIs or key professional personnel with a lead PI who meets all the eligibility requirements outlined herein:
- Faculty affiliates who are not employees of the University
- Visiting scholars who are not employees of the University:
- Visiting Artists
- Visiting Assistant Professors
- Visiting Associate Professors
- Visiting Professors
- Visiting Scientists
- Visiting Writers
- Temporary employees:
- Adjunct Faculty
- Graduate and Undergraduate Students
- Postdoctoral Fellows / Appointees
A sponsor’s program guidelines may encourage or permit non-ASU employees and temporary employees to apply as PI for a specified program. In this case the sponsor’s application form will indicate the non-ASU or temporary employee as the PI and list a PI-eligible university employee as an investigator. For internal ASU purposes, the eligible ASU PI would be shown as PI on all internal ASU forms and would be responsible for supervising project activities of the non-ASU or temporary employee investigator (RSP 102).
Faculty Newly Joining ASU
Faculty who are joining ASU may wish to:
- Transfer in sponsored projects. See Transfer of Sponsored Projects to ASU page.
- Submit a proposal through ASU prior to their arrival. The following then applies:
- If the new faculty member has already signed their offer letter, the unit should obtain an ASU ID by creating a courtesy affiliate in PeopleSoft.
- New faculty members who, for some reason, cannot be input into PeopleSoft, must list an internal PI on ERA SmartForm 1.1, question 4.0.
- If the new faculty member has not yet signed their offer letter, they are ineligible to submit as an ASU PI.