Approved by the:

University Senate - April 22, 1999 Administration - July 1999 Board of Regents - November 12, 1999

PREAMBLE

University of Minnesota faculty on regular appointments are expected to contribute to the University's research, teaching and outreach mission. The following policy has been developed to provide guidance to department and collegiate officials in reviewing research and/or training applications to be submitted for sponsored support. Units may develop additional or more restrictive standards regarding this matter; however, the minimum standards of this policy must be incorporated into department or collegiate policies and procedures.

1. Faculty who hold regular appointments, including emeriti, are automatically eligible to serve as principal investigators.

2. Term and non-regular faculty, and other academic employees (such as P & A employees) may serve as principal or co- investigators on research grants and contracts and other sponsored projects upon approval by the department head and/or the dean of the unit in which the individual is employed, according to policies established by the unit.

3. Individuals holding "graduate student/professional training" academic appointments may serve as principal investigators on sponsored projects that the funding agency has specified as programs for which students are eligible. Applications in this category must receive the approval of the department head and/or the dean of the college or school in which the student is registered. The department head and/or the dean must inform the applicant that his or her position as principal investigator in no way affects his or her status as a student, nor does it commit the University to any future employment.

4. In unusual circumstances, employees holding non-academic titles may serve as principal investigators, subject to approval by the department head and/or the dean of the unit in which the individual is employed.

5. Some funding sources stipulate the criteria for principal investigators for their grants. Those criteria can be followed if they are compatible with the University's criteria.

6. Principal investigator roles and responsibilities are listed in the "Roles and responsibilities " section of the Vice President for Research's web site at: http://www.research.umn.edu/research.html.

SECTION II: DETERMINATION OF PRINCIPAL INVESTIGATOR STATUS

1. The responsibility for determining the status of an individual (other than regular faculty) as principal investigator rests with the department head or the dean who must exercise appropriate judgment regarding the individual's capability to provide the scientific/technical leadership and administrative management of the project. These must be the primary criteria for the determination of principal investigator status.

1. Responsibility for the approval for all research and training project proposals rests with department heads, deans or comparable University officers, and ultimately the Sponsored Projects Administration (SPA). The SPA will not forward any application for sponsored support without the approval of the appropriate department head(s) and dean(s).

2. At least three factors enter into the decision of department heads and deans when approving or disapproving the Proposal. The proposer must have Principal Investigator status and in addition, there must be space to house the project and resources available to conduct and complete the project.

3. Principal investigators must have completed all required training before any award documents will be released by the SPA.

1. Grants and contracts for sponsored research and training projects are awarded to the University of Minnesota, rather than to individual investigators. Should the principal investigator, of whatever title, leave the University prior to completion of the project, the future of that project shall be governed by the terms of that contract/grant agreement, the wishes of the sponsor, or negotiations among the sponsor, the University, and the principal investigator, as is appropriate in the specific circumstances.

2. The relationship of principal investigator to the University is governed by the appointment document. The approval of individuals as principal investigators or co-investigators in no way affects the rights, claims, and duties of such persons as may be specified in the tenure code or elsewhere. In particular, responsibilities as principal investigator or co-investigator do not imply any commitment on the part of the University of Minnesota to any subsequent appointment beyond the term of appointment then in effect.

3. Appropriate affirmative action/equal opportunity policies and procedures apply to hiring non-regular or term academic and non-academic staff on sponsored research and training projects. Regardless of the availability or presumed availability of sponsored support, staff may not be hired independent of appropriate affirmative action policies and procedures.

4. The status of principal investigator is granted by the department head or the dean before the approval of the proposal by the department head and/or dean and the SPA. However principal investigator status may be rescinded for just cause in accord with applicable University policies with the right of review through the Judicial Committee or the all-University grievance process as appropriate.