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Code 103 Professional Research Personnel

Procedures for Granting Project Director/Principal Investigator Status to Code 103 Professional Research Personnel


  1. Departments recommend to the Dean or Institute Director.
  2. The Dean/Director makes the recommendation to the Provost


    1. OSP makes a recommendation to the Provost.
    2. If the request is approved, OSP will transmit to the Dean/Director and the Department approval.
  3. Dean/Director notifies the department.


Standards and Conditions for Appointment

Since Code 103 research personnel are annually appointed by the University, ongoing institutional responsibility has to be ensured. Departments will be responsible for the observance of University policies, such as the Patent Policy. Departments will also assume final responsibility for meeting the conditions of research awards, financial and technical reports, animal welfare and human subjects protection, etc.

The following questions should be addressed in any recommendation for the Project Director/Principal Investigator status:


  1. Does the individual have sufficient stature to compete for external funding with some chance of success?
  2. What has been the extent of the individual.s relationship with the University to date? How long is the relationship expected to continue?
  3. Are graduate or undergraduate students to be involved in the research program? If so, who will supervise their research with respect to grading and meeting degree requirements? If the PI leaves, what happens to a student.s project?
  4. Are postdoctoral fellows to be involved in the research? Will the award cover their stipends?
  5. Is the proposed research congruent with the interests of the department?
  6. Will departmental resources be required for the project? Additional space, equipment, supplies, equipment maintenance costs? Will space needs have an adverse effect on existing faculty space?
  7. Will award funds replace expenditures required by the department, e.g., salary support for technicians, etc.?

Code 103 Policy Addendum


Procedures for the Granting of Research Professorial Courtesy Titles to Code 103 Professional Research Personnel


  1. Using procedures established for faculty appointments departments recommend research professorial appointments to Deans or Institute Directors.
  2. If the recommendation is approved by the Dean/Director, a request, with supporting documentation (including curriculum vitae and letters of recommendation), is sent to the Office of the Provost.


    1. The Office of Academic Appointments sends copies of all pertinent documents to the Office of Sponsored Programs (OSP) which advises the Provost on such.
    2. If the request is approved by the Provost, OSP and the Dean/Director are notified by the Office of Academic Appointments.
  3. The Dean/Director notifies the department.
  1. Dates of official enactment and amendments: 06/06/09
  2. History:


  3. Cross References:


About This Policy

Effective Date: June 06, 2009
Issuing Authority: Senior Vice Provost for Research
Responsible Officer: Director, Office of Sponsored Programs
Office Name: Senior Vice Provost for Research

The purpose of this policy is to ensure that the process of policy development for University-wide policies (hereafter “University Policies”), as well as the form and dissemination of policies, meet University standards for consistency, compliance with laws and regulations, accessibility and understandability. Specifically, this policy guide defines the ultimate steps by which policies are promulgated at New York University (“NYU”). University Policies should be kept current, and made available to all relevant operating units in a timely manner. Policies that are properly developed and easy to find, read and understand promote:

  • excellence in our work;
  • operational efficiencies and best practices across the University;
  • compliance with applicable laws and regulations;
  • compliance with accounting and reporting standards.

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