Office of Educational Assessment

OEA Principal Investigator (PI) Status Policy

Purpose

To clarify the criteria for Principal Investigator (PI) eligibility and provide a procedure for seeking eligibility on a case-by-case basis for those not automatically granted PI status.

Definitions

A PI is the individual responsible for the conduct of research or other activity described in a proposal for an award, including the responsibilities for fiscal management outlined in GIM 02.

Policy

Generally, the Office of Educational Assessment (OEA) does not apply to nor seek grant funding for original research or administrative purposes. Rather, OEA researchers typically serve as external evaluators or research consultants for grants with PIs from other UW departments or institutions. In the event that OEA pursues a grant requiring a PI, only UW employees with the following titles are automatically eligible to serve as a PI:

  • Director/Executive Director (grade 10 or above)
  • Assistant/Associate Dean

The following titles may also be eligible but must be considered on a case-by-case basis:

  • Research Scientist/Engineer 3
  • Research Scientist/Engineer 4

PI Status for RSE 4 can be granted by the employee’s direct supervisor, typically the Director/Executive Director of OEA. PI status for RSE 3 must be granted by the Executive Supervisor (e.g., Assistant/Associate Dean) and the Dean. PI status will be granted for a period of up to five years and is authorized as long as the individual continues to be employed by the college in a PI-eligible title and complies with all applicable sponsor requirements and university policies and procedures.  At the end of each authorized period, Executive Supervisor and the Dean will consider whether PI status shall be renewed (for RSE 3) or by the employee’s supervisor (for RSE 4).

Procedure

In order to be considered for PI status as an RSE 4, the employee must submit a request detailing the need for PI status along with their current CV to their supervisor. In order to be considered for PI status as an RSE 3, the Director/Executive Director of OEA must submit a request detailing the need for PI status, along with that individuals’ current CV, to the UAA Executive Office. Requests for review and consideration for approval should be submitted no later than 60 days prior to any specific anticipated proposal submission deadline to allow sufficient time for review. Exceptions to this 60-day notice may be requested when the individual’s first date of employment or promotion into a PI-eligible position is less than 60 days prior to the proposal submission deadline, or if documented notification of the funding opportunity was made less than 60 days prior to the proposal submission deadline.

Requests will be considered within 7-10 business days. Eligibility to serve as a PI does not guarantee the University will approve any particular proposal developed by the PI-eligible employee.

The University may exercise its discretion in designating the PI for any proposal, irrespective of the contributions of an individual to the development of the proposal.

Policy approved June 28, 2024.