Section: 150-10
Effective: 3/10/95
Supersedes: 12/12/85
Issuing Office: Office of Graduate Studies & Research

PPM 150-10 Policy [pdf format]

1. REFERENCES

   1.  Bylaws and Standing Orders of The Regents of the University of California

   2.  University of California Contract and Grant Manual

   3.  Academic Personnel Manual

2. POLICY

   ``To accomplish its aims of providing higher education, advancing knowledge, and contributing to the welfare of the State, the University accepts funds and enters into agreements for research undertakings only when (1) such undertakings provide its faculty members with the opportunity to gain experience and knowledge of value for their teaching and research, and (2) the projects are suitable for the University because the involved faculty members may make worthy contributions to knowledge, in conjunction with students whenever that is possible, or because appropriate public service is performed.'' (Refer to Reference B, Section II.)
   

   1. Solicitation Authority
      

      No solicitation or application for extramural support of research, training, or public service programs or projects shall be made officially in the name of the University without the prior approval of The Board of Regents or of an authorized officer or official of the University (refer to Reference A, Section 100.4). This approval should be based on the review of an adequately prepared written proposal, submitted by an individual authorized to do so as stated below.

   2. Academic Policy

      A research proposal may be submitted only by academic appointees (singly or jointly) who will personally direct the research effort and also serve as the Principal Investigator or Co-Principal Investigator. (Note: Not all funding agencies allow Co-Principal Investigators.)

      A proposal for a training or public service project may be submitted only by an academic appointee who will personally direct the project to a significant degree and also serve as the project administrator. A proposal for a research, training or public service program involving numerous programs may be submitted only by an academic appointee who will personally oversee the programs in his/her capacity as the program administrator.

      A director of a sub-project of a multi-unit program must qualify by academic appointment or by an approved exception.

      It is contrary to University policy, and is viewed with extreme disfavor by sponsoring agencies, to list as head of a project the name of an individual, however prestigious he/she may be, who will contribute only a minimum or nominal portion of his/her own time and effort to the furtherance of the work.

   3. Use of Correct Titles for Academic and Staff Personnel

      Whenever a form or other document calls for use of a University of California employee's title in any official way, the correct payroll title must be used. Therefore, since proposals are official University documents, the academic appointee's title must be given in full. For example, a Visiting Professor, Adjunct Professor, Assistant or Associate Professor-In Residence, etc., may not be designated solely as a ``Professor.'' Titles of research appointees should specify Research Scientist or Project Scientist. In addition, the proper payroll title must also be used for staff employees. If an employee has a different working title, that title may be shown in addition to the payroll title.

      In addition, when referring to an individual in charge of a particular department, division, etc., the proper title, as it specifically relates to the academic unit or departmental (or equivalent) sub-unit, should be used; e.g., Professor John H. Doe, Chair, Department of Astronomy, or Professor of Medicine-In Residence Frank R. Smith, M.D., Head, Division of Physiology.

3. ELIGIBLE APPOINTEES AND EXCEPTIONS

   On or before the start date of a proposed project, the Principal Investigator and, if applicable, the Co-principal Investigator(s) must have formally accepted an appointment at UCSD in an eligible title, or qualify by exception approved by the Vice Chancellor for Research as noted below. A Summary of Eligibility Status is included as Exhibit A.
   

   1. Eligible Academic Appointees
      
      

      Academic appointees who currently hold a title in the following groups are automatically eligible by virtue of appointment to submit proposals for extramural support of research, training, or public service contracts or grants, subject to conditions, restrictions, and review procedures established by the Chancellor:

      1. Members of the Academic Senate:
         Professor - all ranks
         Professor in Residence - all ranks
         Professor of Clinical X - all ranks but instructor
         Research Professor
         Professor Emeritus - all ranks
         Senior Lecturer and Lecturer with Security of Employment
         Acting Professor and Acting Associate Professor
         (but not Acting Assistant Professor)
         University Librarian (but no other librarians)
         Registrar and Chief Admissions Officer
         Vice Chancellor
         Chancellor
         

      2. Salaried appointees in the Adjunct Professor series, with the exception of the Instructor rank.

      3. Appointees salaried at 50% or more of full time in the Clinical Professor series, with the exception of the Instructor rank.

         Note: The source of salary support for 2 & 3 above may be state, extramural or other departmental funds.

      4. Appointees in the Research Scientist/Scholar series.

         At SIO, a review is required to increase the percentage of appointment of Research Scientists because of the commitment of institutional resources to Research Scientists.

      5. Assistant, Associate and full Project Scientists/Scholars on the General Campus and School of Medicine may serve as co-PI with professorial and research scientist appointees.

         Note: An appointee who qualifies from another UC campus may be named as a Co-Principal Investigator on a UCSD proposal.

         An individual for whom a department proposes an appointment in one of the above series (1-4) requires a request for an exception prior to appointment, which normally is approved by the Vice Chancellor for Research. If the individual has accepted the appointment in writing, no PI exception is required.

   2. Exceptions
      
      By exception, the Vice Chancellor for Research may approve the submission of a contract or grant proposal by other appointees or candidates for appointments, in special circumstances when the individual is highly qualified, when such action is in the best interest of the University, and provided that space and facilities can be assigned without detriment to the regular research, instructional, and public service responsibilities of the University.
      
      If the request for PI exception is for more than one proposal, a page should be added showing for each proposal the UCSD number, agency, agency due date, proposal title, percent of salary from proposal, proposal period, and amount requested.
      
      Previous approval of an exception of principal investigator status is not a prima facie guarantee of approval of subsequent requests for exceptions. An exception is required for renewal of an existing project for which an exception was originally required and the PI still does not have a qualified title.
      
      

      Listed below are appointment series which require exceptions. Questions regarding qualifications of Principal Investigators should be referred to the offices of the Vice Chancellor for Research, Dean-School of Medicine, or Vice Chancellor-Marine Sciences.

      1. Academic Administrator/Coordinator

      2. Acting Assistant Professor

      3. Adjunct Instructor and Clinical Instructor

      4. Adjunct Professor - Non-salaried

      5. Clinical Professor - Non-salaried or salaried less than 50%

      6. Project Scientist

         Individuals in this series must request an exception to serve as sole PI on the General Campus and in the School of Medicine. At SIO, Project Scientists' requests for exceptions to act as co-PI with a qualified PI normally are endorsed. Specific justification is required for a Project Scientist to serve as a sole PI. If the project period exceeds the SIO maximum six-year appointment period, the appointment end date must be shown on the proposal and plans for future disposition of the funds must be explained.

         Demonstrated strong potential for conducting independent research is required for these appointees in order to qualify for an exception.

      7. Specialist

      8. Postgraduate Research (e.g., Physicist) or Postdoctoral Fellow

         At SIO, specific justification is needed when a proposal requests more than 50% of annual salary; normally, a PGR may not obtain more than 50% of salary from proposals on which she/he is sole PI.

         On the General Campus and in the School of Medicine, requests for PI status for PGRs are routinely granted if the requests propose a change to the Assistant Research Scientist/Scholar or Assistant Project Scientist/Scholar title on or before the start date of the grant and if the individual has demonstrated strong potential for performing independent research. Requests for a PGR to serve as a PI while remaining in the PGR title are rarely granted.

      9. Research Associate

      10. Research Fellow

      11. Lecturer, Senior Lecturer—without Security of Employment (SOE)

      12. Supervisor of Teacher Education

      13. Continuing Education Specialist

          A person holding an appointment in this series may submit a proposal for a training or training-related research contract or grant only.

      14. Staff

      15. Resident

      16. Undergraduate/Graduate Students

      17. Visiting ________________________________

      "Visiting" appointments are normally for short-term periods of up to one or two years and are subject to annual reappointment. Therefore, appointees to Visiting titles should submit proposals for a period of support that coincides with their current term of appointment. If the proposal end date exceeds the end date of the Visiting appointee's current appointment, the proposal should stipulate, by name, a qualifying Co-Principal Investigator who is willing and able to assume the functions as the Principal Investigator and devote adequate time to head the work should the "Visiting" appointee sever connections with the University prior to the proposal termination date.

   3. Procedure for Exception
      

      To request an exception, a written justification must be submitted by the Department Chair or ORU Director via the Dean, School of Medicine, or Vice Chancellor-Marine Sciences (if appropriate), to the Vice Chancellor for Research for approval. In order to insure timely review and final decision, requests should be received in the appropriate Vice Chancellor's or Dean's office ten (10) business days prior to the agency due date for proposal submittal. The written justification must include the information outlined in Exhibit B and a current curriculum vitae or bio-bibliography. A full-sized copy of the form may be requested by e-mailing aafsahi@ucsd.

4. RESPONSIBILITIES

   1. Department

      Comply with eligibility requirements for submission of proposals for extramural support, coordinate exception procedure, and prepare the written requests with documented justification.

      Assure that adequate salary support is requested commensurate with effort proposed, if applicable.

   2. Office of Contract and Grant Administration (OCGA)

      Verify that Principal Investigator is eligible or that exception has been approved prior to proposal submittal.

   3. Dean-School of Medicine and Vice Chancellor-Marine Sciences

      Review requests for exception, insure completeness and compliance with policy, and forward a recommendation to the Vice Chancellor-Research five (5) days prior to the agency due date.

   4. Vice Chancellor for Research

      Review and make final decision on Requests for Exception. Forward notification of approval to the Department, Dean/Vice Chancellor, and OCGA.

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Exhibit A

SUMMARY OF ELIGIBILITY STATUS
ACADEMIC ADMINISTRATOR/COORDINATOR	EXCEPTION
ACADEMIC SENATE MEMBER	QUALIFIED
ACTING ASSISTANT PROFESSOR	EXCEPTION - Not a member of the Academic Senate; appointment limited to two years.
ADJUNCT PROFESSOR	QUALIFIED - if salaried, with the exception of the Instructor rank.
CLINICAL PROFESSOR	QUALIFIED - if salaried at 50% or more of full-time, with the exception of the instructor rank.
CONTINUING EDUCATION SPECIALIST	(UNEX): EXCEPTION - May submit proposal for training or training-related research only
INSTRUCTOR - Any Title	EXCEPTION
LECTURER & SENIOR LECTURER (without Security of Employment)	EXCEPTION
NEW APPOINTMENT	EXCEPTION - IF P.I. or Co-P.I. has not formally accepted an appointment at UCSD in an eligible title. Note: For proposal submittal purposes, insert "pending" after title on signature page, and in each location where the title is required, when appointment paperwork is in process or appointment period has not begun. "To be proposed" must appear after each insertion of the title when appointment is contemplated but paperwork has not reached the Dean's/Director's office.
POSTGRADUATE RESEARCH/POSTDOC FELLOW	EXCEPTION
PROJECT SCIENTIST/SCHOLAR	QUALIFIED - As Co-P.I. on General Campus and SOM EXCEPTION - As sole P.I. on General Campus and SOM; as sole or Co-P.I. at SIO
RESEARCH SCIENTIST/SCHOLAR	QUALIFIED
RESEARCH ASSOCIATE	EXCEPTION
RESEARCH FELLOW	EXCEPTION
RESIDENT	EXCEPTION
SPECIALIST	EXCEPTION
STAFF TITLES	EXCEPTION
STUDENTS (UNDERGRADUATE/GRADUATE)	EXCEPTION
VISITING APPOINTEES	EXCEPTION
OTHER UC CAMPUS	QUALIFIED - P.I. from another UC campus who qualifies may be named as a Co-P.I.
NOTE: None of the Professorial Series (i.e., Professors, Acting, Adjunct, In-Residence, Clinical X, or Visiting Professors) should be paid 100% from extramural research support unless approved by funding agency, as it is University policy that a portion of their time be devoted to teaching, which normally requires University funds.

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Exhibit B

REQUEST FOR EXCEPTION TO SUBMIT PROPOSAL FOR EXTRAMURAL SUPPORT Request must be submitted to the appropriate Vice Chancellor or Dean ten (10) working days prior to agency due date.    ___ SOLE PI        ___CO-PI with_________    ___ STUDENT    ___STAFF Present payroll Title: ___________________________ % Time: _____ Effective Dates: ___________ Proposed payroll Title: ___________________________ % Time: _____ Effective Dates: _________ % Salary on Proposal: _____ % Effort on Proposal: _____ Period to be Paid from Proposal: ________ Agency: _____________________________ Agency Due Date: ____________________________ UCSD #: ___________________ Proposal Title: ________________________________________ Proposal Period : Begin Date: __________ End Date: ____________ Proposal Amount: __________ PLEASE ATTACH A CIRRICULUM VITAE OR BIO-BIBLIOGRAPHY, A TWO TO THREE SENTENCE DESCRIPTION OF THE PROPOSED RESEARCH, AND THE DEPARTMENT'S RESPONSES TO THE FOLLOWING QUESTIONS IN SEQUENCE: How will the project or program contribute to the "basic academic plan" and/or research programs of the department or orgrnaized research unit? What are the qualifications of the individual to undertake the proposed project or program? If the proposed PI is a project scientist, discuss his/her demonstrated strong potential for conducting independent research. If sole-PI status is requested, state why no regular faculty or research scientist is to act as co-PI with the applicant. What are the unit's plans for future appointment status of the inidividual through the end date of the proposed grant period and afterwards? Does adequate space for project exist within the unit for the duration of the project? What fund sources are budgeted to provide the balance of the person's salary when less that 100% salary is requested in the proposal? What fund source will provide support services ; e.g., secretarial support, supplies, duplication, telephones? If proposed project or program is not funded, what are the future plans for individual requesting this exception to policy? I understand the approval of this exception to policy does not imply that the University will extend or increase my surrent appointment period, nor does it obligate the University to do so. ________________________________ Signature of Proposed PI / Date APPROVALS ________________________________ Department Chair/ORU Director / Date ________________________________ Vice Chancellor-Marine Sciences / Date or Dean-School of Medicine ________________________________ Vice Chancellor for Research / Date CONDITION: ___ Approval is contigent upon appointment to the proposed title and favorable endorsement by the Affirmative Action Coordinator ________________________________ Name / Extension ________________________________ Email Address / Mail Code