Policy On Eligibility For The Submission Of Extramural Support
Proposals And Procedures For Obtaining Exceptions*
* For more information regarding the policy or the procedure for requesting
exceptions please contact Laura Mays (510/642-9689) in the Office of the
Vice Chancellor for Research.
(Supersedes policy dated June 4, 2002 )
March 20, 2007
1. DEFINITIONS
Principal Investigator (PI): An individual who has primary responsibility for the design, execution, and management of a research project and who will be involved in the project in a significant manner.
PROJECT DIRECTOR: An individual who has primary responsibility for the design, execution, and management of a training or public service project and who will be involved in the project in a significant manner.
2. Policy
a. Proposals for extramural support of research, training or public service
projects may be submitted only by eligible Berkeley campus appointees
who have primary responsibility for design, execution,
and management of the project, who will be involved in the project in
a significant manner, and who will serve on a research
project as Principal Investigator or on a training or public service project
as Project Director.
In those instances when two or more Principal Investigators are listed in a proposal, the first person named will be responsible for the overall supervision and management of the proposed project.
In instances of multi-institutional projects, researchers who do not hold Berkeley campus appointments may be included as Principal Investigators Investigators for that portion of a project conducted under their direct supervision with project funds allocated or subcontracted to their home institution. In instances in which such subcontracting is impracticable, individuals without Berkeley appointments can be named as Principal Investigators but they can not be the first PI listed. The first Principal Investigator listed in the proposal must hold an eligible Berkeley campus appointment (see section 3 for eligibility criteria).
b. "Primary responsibility" as defined in paragraph "a" above may not be redelegated explicitly or implicitly to individuals who
do not qualify in their own right to serve as Principal Investigator or
Project Director.
c.Comprehensive proposals embracing more than one project may be submitted
only by an individual or group of individuals who meet the criteria in
paragraph "a" above for the entire program.
d. Principal Investigator status, granted by virtue of the appointment
held or through exception, is not determinative of the individual's academic
appointment in terms of level or period. All periods of University employment
are governed solely by an individual's appointment as approved by a designated campus official.
3. Eligibility for Submission of Extramural Support Proposals
Eligibility through appointment
Members of the Academic Senate, including Emeriti (see Attachment
#1).
Appointees in the Agronomist series, including Emeriti (see
Attachment #2).
Appointees in the Adjunct Professor Series
Appointees in the Continuing
Education series at ranks VII or VIII (for continuing education programs
only).
Cooperative extension specialists
Appointees in the Professional Research Series whose salaries are
drawn from central campus funds.1
Eligibility through exception approved by the Chancellor or his delegated
representative:
Clinical Professors
Appointees in the Professional Research series, funded from non-central
campus, extra-mural, funds.
Project series
Other appointees.
4. Exceptional Principal Investigator (PI) Status: Policy
Criteria
Eligibility exceptions normally are limited to a specific project. In
extremely rare and especially meritorious cases exceptions may be granted
to an individual on a continuing basis. Continuing status, once approved, remains in effect until revoked by the requesting department or unit
Approval of an exception requires demonstration that the proposed project
or program is sufficiently important to the achievement of educational,
research or public service goals of the submitting unit and of the University,
to justify an additional locus of independent project development and
the explicit or implicit allocation of University resources, given the
keen competition for the scarce financial and space resources controlled
by the administering unit.
The support of graduate students in the conduct of their research, and/or
the participation of undergraduate students in the research project, should
be a component of the project or program for which the eligibility exception
is being requested.
Individuals recommended for Principal Investigator status on a research
project must possess qualifications which satisfy the general standards
of research competence appropriate to the professorial rank and step comparable
to the non-Senate academic appointment held by the candidate. Recommendations
for service as Project Director on a training or public service
project will be evaluated in terms of individual competence in the program
area.
5. Procedures
a. Requests for exceptions must include:
A written request containing a full justification addressing the policy criteria in paragraph 4
A copy of the recommended individual's current curriculum vitae
A one page abstract describing the research project
A Proposal Review Form with appropriate signatures
A budget and budget justification
A full narrative statement of the proposal is not required at this stage.
b. Requests for exceptions are initiated by the head of the unit that will
administer the project or program and submitted through normal reporting
channels to the cognizant Dean, or, in those cases where there is a direct
reporting relationship, to the Vice Chancellor for Research.
Special attention should be given to the issue of resource
constraints. Requests must include a commitment on the part of the administering
unit to provide the laboratory and/or office space required by the project,
as well as a statement of ability on the part of the administering unit
to absorb any demands on staff workload that the project is likely to
produce.
c. The Deans will forward requests from within their jurisdiction, along
with their recommendations, to the Vice Chancellor for Research for decision.
Final decisions will be communicated back through reporting channels.
d. Three weeks should be allowed for necessary review and decision once
the request is received in the Vice Chancellor's Office.
e. Every effort should be made to institute requests on a timely basis
in view of sponsoring agency proposal deadline and the time required for
review and decision. In cases of unusual circumstances proposals may be
submitted in advance of final decision with respect to Exceptional PI
status. An appropriate qualifying statement shall be appended to the Sponsored
Projects Office transmittal letter, noting that the proposal will be revised
or withdrawn if approval of the exception is denied.
6. Coordination
The Office of the Vice Chancellor Research shall be responsible for maintaining
up-to-date records on all cases.
Graham Fleming
Vice Chancellor for Research
__________________________________________ 1. Appointees in the professional research series whose positions
are funded extra-murally must obtain principal investigator status through
exception.
ATTACHMENT #1
ACADEMIC SENATE - membership as excerpted from Regents Standing Order 105.1(a):
Membership
The Academic Senate shall consist of the President, Vice Presidents, Chancellors,
Vice Chancellors, Deans, Provosts, Directors of academic programs, the chief
admissions officer on each campus and in the Office of the President, registrars,
the University Librarian on each campus of the University, each lecturer
who has full time teaching responsibilities in any curriculum under the control
of the Academic Senate and whose academic title is Senior Lecturer with Security
of Employment or Lecturer with Security of Employment, and each person giving
instruction in any curriculum under the control of the Academic Senate whose
academic title is Instructor, Instructor in Residence, Assistant Professor,
Assistant Professor in Residence, Associate Professor, Associate Professor
in Residence, or Acting Associate Professor, Professor, Professor in Residence
or Acting Professor; however, Instructors and Instructors in Residence of
less than two (2) years' service shall not be entitled to vote.
Senate Discretion
Members of the faculties of professional schools offering courses at the graduate
level only shall be members also of the Academic Senate, but at the discretion
of the Academic Senate, may be excluded from participation in activities of
the Senate that relate to curricula of other schools and colleges of the University.
Membership in the Senate shall not lapse because of leave of absence or by
virtue of transference to emeritus status.
ATTACHMENT #2
Agronomist Series - appointments limited to Agricultural Experiment Station
- College of Natural Resources:
Assistant (Plant Pathologist) in the Experiment Station
Associate (Nutritionist) in the Experiment Station
(Entomologist) in the Experiment Station.
Copyright 2001-2004 - University of California, Berkeley
