Policy on Principal Investigator/Project Director Status
This policy applies to investigators in New York. It also applies to faculty at NYU global sites and at NYU Abu Dhabi and NYU Shanghai wherever any sponsored program is managed or administered by NYU’s Office of Sponsored Programs. The policy does not apply to investigators at the Robert I. Grossman School of Medicine or the Long Island School of Medicine.
Statement of Policy
The University (NYU) is the applicant of record for Principal Investigators/Project Directors (PIs/PDs) who propose, submit, and conduct sponsored research, training, or other sponsored activities on behalf of NYU, utilizing NYU facilities and resources. (For information on PIs versus PD’s, see the NYU Policy on Academic Conflict of Interest and Conflict of Commitment, Addendum.)
NYU is the party that is bound to any terms of agreement in undertaking the activity, and NYU is responsible for proper stewardship, performance, and administration of the sponsored project. The named PI/PD on a specific project is responsible to NYU for ensuring that NYU meets its obligations to sponsors for the design, conduct and reporting of research and other sponsored activities (see the Sponsored Research Guidelines). As such, the PI/PD bears primary responsibility for day to day performance and fiscal management of the project.
All applications to and awards from extramural sponsors must follow University policy. These applications and awards are also subject to policy and eligibility criteria from the sponsor.
Who May Serve as a PI/PD
a) Tenured/Tenure Track Faculty. NYU faculty with full-time, tenured or tenure-track appointments may serve as PIs/PDs.
b) Continuing Contract faculty. NYU Continuing Contract faculty may serve as PIs/PDs consistent with the PI/PD status that is conferred on Continuing Contract Faculty who seek external funding for activities relevant to their instructional roles, including training projects and related activities. To be eligible to serve as PIs in sponsored research, see the policy on Continuing Contract Faculty as Principal Investigators of Sponsored Projects and Programs.
c) Honorific Research Faculty. Employees who also hold faculty titles (i.e. Research Assistant Professor, Research Associate Professor, Research Professor, etc.) may serve as PIs/PDs. (See the Policy on Professional Research Personnel.)
d) Professional Research Personnel. Employees with professional research titles (Assistant Research Scientist, Associate Research Scientist and Senior Research Scientist, etc.) are eligible to serve as PI’s/PD’s for sponsored projects if the Office of Sponsored Programs determines they meet the Standards and Conditions set forth herein, and if recommended by the department chair, endorsed by the responsible Dean or divisional Director, and approved by the Vice Provost for Research or designee. (See the Policy on Professional Research Personnel.)
e) Emeriti and retired faculty. With the approval of the responsible department chair and dean or division head and subject to sponsor eligibility criteria and/or approval, retired faculty on whom the emerita/emeritus title has been formally conferred and who would have qualified as a PI/PD prior to retirement may continue to serve as PIs/PDs on existing awards and on proposals that were submitted prior to retirement. Requests from emeriti faculty to serve as PI/PD on new proposals or projects that are initiated after retirement will be considered on an individual basis, subject to the Standards and Conditions in this policy and subject to sponsor eligibility criteria, and will require the prior written approval of the Dean and the Vice Provost for Research, or designee. Retired faculty who do not have emeriti status and who would have qualified to serve as PI/PD prior to retirement are eligible to serve as Co-Investigators.
All Emeriti and retired faculty serving as PI/PD or Co-PI/Co-PD should be appointed as part-time with a job profile of “Visiting Professor (PT)” with an institutional base salary approved by the responsible department chair and dean or division head, with time and effort commitments across sponsored projects not to exceed 49%. For those who hold emeritus rank, the job title and business title can be “Professor Emeritus.” For all others it should be “Visiting Professor.” Note that Emeriti and retired faculty are the only individuals with part-time status who are eligible to serve as PI/Co-PI.
About This Policy
Effective Date Supersedes N/A Issuing Authority Vice Provost for Research Responsible Officer Associate Vice Provost for Research