Exceptional PI Status:
Policies and Procedures
The following explains the policy and procedure for requesting exceptional PI status, which is
necessary if you plan to submit a proposal where you need to have PI status to be eligible to
receive an award.
Exceptional Principal Investigator (PI) Status: Policy Criteria (per the Vice Chancellor for
Research)
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.
Procedure for Obtaining Exceptional PI Status
Requests for exceptions must include:
o A written request containing a full justification addressing the policy criteria
outlined above
o A copy of the recommended individual's current curriculum vitae
o A one-page abstract describing the research project
o A SPO Proposal Review Form with appropriate signatures
o A budget and budget justification
o A full narrative statement of the proposal is not required at this stage.
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 appropriate
Dean, or, in those cases where there is a direct reporting relationship, to the Vice
Chancellor for Research.
Research Enterprise Services (RES), 204 Stanley Hall, Berkeley, CA 94720-3220, 510-666-3383, res.berkeley.edu
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.
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.
In addition to SPO standard deadlines, three weeks should be allowed for
necessary review and decision once the request is received in the Vice
Chancellor's Office.
Every effort should be made to initiate requests on a timely basis in view of the
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.
*Please contact your RES grants analyst as early as possible to help you with this
process.
Please see http://research.chance.berkeley.edu/page.cfm?id=104 for the full policy
regarding this matter.
Research Enterprise Services (RES), 204 Stanley Hall, Berkeley, CA 94720-3220, 510-666-3383, res.berkeley.edu