Background

There are common circumstances in which investigator eligibility questions arise for individuals who are not automatically eligible to serve as Principal Investigators. Depending on the circumstances, exceptions may be granted for any/all proposals, or on a one-time basis for a specific proposal. Requests for PI eligibility in the College of Engineering (COE) are made to the Associate Dean for Research and Infrastructure (ADRI), who reviews the request, provides college endorsement if eligible, and forwards the request for final approval to the Director of Sponsored Programs within the University’s Office of Sponsored Programs and Regulatory Compliance (SPARCS).

Timing

PI eligibility requests should be submitted to the ADRI well in advance of any associated proposal deadlines. To ensure timely routing of proposals with correct PI information, PI eligibility requests should be submitted at least 12 business days before the sponsor receipt deadline.

Template Instructions

• College: Engineering
• Department: NAME OF DEPARTMENT
• Person for whom PI status is requested: FIRST NAME & LAST NAME
• Current Position: Position Title as recorded in HR systems
• Unity ID: UNITY ID
• Type of Request: Indicate if this is a one-time request for a specific proposal or a blanket request for all future proposals. 
• Current Proposal: Provide the RED PD record number of the pending proposal.  If such a record is not yet available, consider creating it now; this will help with cross-referencing.  If there is more than one current proposal, provide a RED PD record number for each.
• Faculty Leads/Senior Investigators: Who are the tenured or tenure-track faculty who are mentoring the person for whom PI status is requested?  Indicate the title and name for at least one, or multiple if there are more than one.  Please acknowledge that faculty mentors will actively mentor the person for whom PI eligibility is requested, ensuring they are prepared for success if the funding is received.
• Solicitation: Provide the RFP for each current proposal (cross-referenced by RED PD number if there is more than one proposal).  For situations such as graduate fellowships or postdoctoral fellowships, please provide the specific language regarding PI eligibility in this template and, if the RFP is in an attachment, please highlight this language for ease of cross-referencing.
• Solicitation information: In some cases, the sponsor’s eligibility requirements may include conditions that must be verified.  For example, a fellowship RFP may require that a student have completed specific courses or a minimum number of years of study.  Please identify and confirm any such eligibility requirements that are in the RFP.
• Rationale for Request: Please indicate why the person for whom PI eligibility is requested should be granted eligibility. 

• Examples:
  • For a fellowship application, does the sponsor require that the fellowship recipient apply as the PI?
  • Does the person for whom PI eligibility is being requested have directly pertinent, specific, or special expertise closely aligned with the RFP such that the proposal is most competitive if they are the PI?
  • Does the person have a track record of senior personnel roles (e.g., as a co-investigator) on prior proposals?
  • Please provide additional rationale for blanket requests.

• COI on File? Please report the date of the filing of the most recent conflict of interest/conflict of commitment disclosures.  If such disclosures have not been filed within the past 12 months, please ask the candidate to file before making the PI eligibility request.  If the COI/COC filing is soon to expire (e.g., within a month), please acknowledge the pending expiration and that a new COI/COC disclosure will be made before expiry.
• Proposed Duration: For each RFP identified above under “Current Proposal”, please indicate the period of performance in terms of start date and end date.  Please cross-reference by RED PD number.
• Candidate will be available for Proposed Duration: Please confirm that the candidate will be available for the period of performance.  If availability is contingent on funding, indicate whether the candidate is expected to be available if funding is awarded.   If the candidate is currently in a term or time-limited position (e.g., postdoc), please indicate intent if the period of performance exceeds the position term or time-limit (e.g., the candidate may be considered for another type of appointment at that time)
• CV Attached?: Provide a resume or CV.  There is no specific length limit.  A readily available two-page resume or CV is usually suitable.  However, please be sure that the title of the current position at NCSU, as indicated in the resume or CV, aligns with that given above for “Current Position” and that if there are any end dates given in the resume or CV for the current position, these are addressed as needed in the section “Candidate will be available for Proposed Duration”.

How to Request a PI Exception

• The department head, on behalf of the project’s potential PI, will need to request an exception from the college’s Associate Dean of Research and Infrastructure (ADRI), Dr. H. Christopher Frey, at [email protected].
• Email the questions below, along with your answers to H. Christopher Frey at [email protected], plus the potential PI’s current CV or Biosketch, and any applicable supporting documentation.
• Please ensure you carbon-copy Tracy Brown ([email protected]), Pat Hayes ([email protected]), and Laurinda Perez ([email protected]).
• Once vetted through the proper channels, the ADRI will provide the results. 
• Don’t forget to include approval notification in RED PD.

Department:
Person for whom PI status is requested:
Current Position:
Unity ID:
Type of Request:
Current Proposal:
Faculty Leads/Senior Investigators:
Solicitation:
Rationale for Request:
COI on File?
Proposed Duration:
Candidate will be available for the Proposed Duration:
CV Attached: