Permanent Principal Investigator (PI) Status for Academic Staff

M E M O R A N D U M

TO:	Deans, Directors, and Department Chairs, Academic Staff Executive Committee, University Committee, Associate Deans for Research
FROM:	Martin T. Cadwallader Vice Chancellor for Research and Dean of the Graduate School
DATE:	13 September 2004
RE:	Permanent Principal Investigator (PI) Status for Academic Staff

On behalf of the Principal Investigator Committee (a list of current members is available on the Secretary of the Faculty's committee rosters page), I wish to remind you of the policies and procedures regarding Permanent Principal Investigator Status for Academic Staff. The Chancellor has delegated to the Vice Chancellor for Research and Dean of the Graduate School authority to grant PI status for academic staff to serve as principal investigators. Under present rules, academic staff may serve as principal investigators on extramural support proposals and awards by requesting Limited Principal Investigator Status on a project-by-project basis, or by requesting Permanent Principal Investigator Status, which eliminates the need to apply for PI status on an individual basis for future projects. In addition, permanent PIs are eligible to apply to the Graduate School Research Committee for funds through the Fall Competition.

Academic staff members who believe they meet the criteria for permanent PI status may request nomination for such status by submitting fifteen (15) copies of the following materials:

1. A letter summarizing their record satisfying the criteria attached to this memo

2. A current curriculum vitae

3. A grant history (a sample format is attached)

4. A letter of recommendation from the chair or director of the employing department/unit

5. Endorsement of the nomination by the relevant academic dean’s office.

Materials should be sent to the Principal Investigator Committee, c/o Peggy Ziebarth, The Graduate School, 333 Bascom Hall. Fall and spring semester deadlines are: October 15 and February 15 of each year.

If you have any questions, please contact your dean's office staff with research administration responsibilities.

xc:	College/School Research Administrators Principal Investigator Committee

Encl.

Process for Review of Permanent Principal Investigator Status Criteria for Permanent Principal Investigator Status Checklist: Request for Permanent Principal Investigator Status Sample Grant History

 

Process for Review of Permanent Principal Investigator Status

The University has many academic staff members who have very strong research records, including a significant number who have requested and been granted Limited PI Status on multiple occasions. The system described below provides a process whereby experienced academic staff may request Permanent PI status that is not tied to a specific project. Staff members granted Permanent Principal Investigator status under this process will no longer need to request permission to serve as PI each time a grant proposal is submitted.

1. A departmental recommendation for the granting of Permanent Principal Investigator status shall be transmitted by the Department Chair to the relevant Academic Dean for approval, and then to the Vice Chancellor of Research/Dean of the Graduate School. Supporting material and documentation are specified in the checklist at the end of this document.

2. Before approving or denying a request for Permanent Principal Investigator status, the Vice Chancellor for Research/Dean shall seek the advice of the PI Committee. The PI Committee will review the request for PI status according to the Criteria for Permanent Principal Investigator Status (below). The PI Committee Chair will assign a member of the committee to be the primary reviewer of the application. The reviewer will contact and interview the applicant’s department chair in order to clarify any ambiguities in the application. For academic staff who are not funded by nationally or internationally competitive grants, this interview will also provide an opportunity for the reviewer to learn about the funding mechanisms in the applicant’s discipline and to better assess the applicant’s academic stature. The reviewer will then report to the full committee and serve as an advocate for the applicant.

3. If the Vice Chancellor for Research/Dean of the Graduate School, after receiving the advice of the PI Committee, approves the departmental recommendation he/she shall transmit it to the Chancellor (or the Chancellor's designated representative). All advice of the PI Committee shall accompany the personnel papers through administrative channels to the Chancellor (or the Chancellor's designated representative).

4. If the Vice Chancellor for Research/Dean's action is contrary to the recommendation of the PI Committee, he/she should so inform the PI Committee and allow it to reconsider its original decision. Such reconsideration and the pursuant conclusions shall be made known to the Vice Chancellor for Research/Dean within 30 days.

5. The academic dean, department, and academic staff member shall be notified promptly of the final actions taken by the PI Committee and the Vice Chancellor for Research/Dean.

6. If the Vice Chancellor for Research/Dean disapproves a departmental recommendation for Principal Investigator status, the academic staff member concerned may request, or the department with the consent of the academic staff member may request, a written statement of the reasons to be provided within 20 days and may seek reconsideration of the decision.

A Permanent PI who moves to a position in a different department and/or school/college, and who does not enter the tenure track, should obtain approval for the transfer of PI status from the new department and school/college prior to submission of proposals through the new unit. The Chair of the new department should submit a letter requesting this transfer to the Dean or designee in the associated school/college. The Dean or designee should respond to the Department Chair and copy the Graduate School regarding the outcome of the request. If the transfer is approved, the Graduate School will revise the Academic Staff with Permanent PI Status list to show the individual's new affiliation. If the transfer is not approved, the Graduate School will remove the individual's name from this list.

Criteria for Permanent Principal Investigator (PI) Status

1. Any member of the category B academic staff (See Unclassified Title Guidelines for the definition of category B titles) who has fulfilled one of the following research accomplishments shall be eligible for Permanent PI status (emeritus faculty/staff are not eligible to apply for Permanent Principal Investigator status) :
   

   a. successfully served at least twice as a principal investigator on nationally or internationally competitive grants and/or contracts awarded to and carried out to completion at UW-Madison, or
   b. successfully served at least once as a principal investigator on a nationally or internationally competitive grant and/or contract having a duration of 5 years or more, or,
   c. secured and successfully administered grants or contracts that are not nationally competitive but which show other compelling evidence of high achievement and recognition in his/her discipline.

2. Permanent Principal Investigator status will be conferred to researchers who demonstrate a solid record of research accomplishment that is highly regarded by their peers and who show considerable promise of continuing outstanding research. The PI Committee shall review requests for Permanent Principal Investigator status in light of all the following criteria:
   

   a. a record of successful completion of the stated objectives of grants and/or contracts on which the academic staff member has served as principal investigator.
   b. a record of successful management of grants and/or contracts on which the academic staff member has served as principal investigator.
   c. a significant record of published research in refereed journals where appropriate, or an equivalent level of accomplishment in grant and/or contract-related pedagogy or outreach.
   d. Such evidence can include invitations to speak or consult; being invited to serve on review panels or chair meetings; invited publications; invitations to apply for funding, etc. This evidence should reveal a significant history of scholarly accomplishment that lends confidence that such activity will continue in the future.

Checklist: The request for Permanent Principal Investigator status must include the following:

___ 1. Letter from the applicant requesting PI Status.

This letter should set out pertinent facts that clearly indicate how the general criteria for Permanent PI Status have been met.

___ 2. Curriculum vitae for applicant.

This should include (but is not restricted to) the applicant's academic history and a list of refereed publications or other products that result from activity funded by grants or contracts. In multi-authored publications, the role of the applicant must be clearly identified. Identify publications arising from work under grants and contracts on which the applicant serves as PI and that are cited as the basis of this application. Provide information on stature of journals in the field.

___ 3. Grant/contract history of applicant.

This should include: title, source, amount, and duration of award. Provide information that the grant or contract was obtained in open regional, national or international competition; whether the applicant was invited to apply for the grant/contract and information on the role of the applicant if there are multiple PIs on the grant. The attached sample format may be used. Copies of the face page of all proposals would be helpful.

___ 4. Supporting letter from department chair.

The supporting letter should elaborate on the research record and needs to address specifically the professional stature of the applicant. The letter should comment on the applicant’s ability to manage and complete grants or contracts successfully. A departmental recommendation implies endorsement of the applicant's qualifications to be a PI.

___ 5. Co-signature of the supporting letter (number 4, above) by the Dean or designee of the appropriate school or college.

Sample Grant History for Permanent Principal Investigator Status Request

As Principal Investigator

Title:
Sponsor:
Amount:
Duration:
Type of Competition (i.e., regional, national, international):
Level of Participation:
Objectives:
Results:
Publications:

As Co-Investigator/Collaborator

Title:
Sponsor:
Amount:
Duration:
Type of Competition (i.e., regional, national, international):
Level of Participation:
Objectives:
Results:
Publications:

Grants in Preparation

Title:
Sponsor:
Amount:
Duration:
Type of Competition (i.e., regional, national, international):
Level of Participation:
Objectives:

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