I.                     REFERENCES

 

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

 

B.                            University of California Contract and Grant Manual

 

C.                            Academic Personnel Manual

 

II.                   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.)

 

A.                            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.

 

B.                            Academic Policy

 

A research proposal may be submitted only by academic appointees (singly or jointly) who will personally direct the research effort and 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 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.

 

C.                            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.

 

III.                 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 and Innovation as noted below. A Summary of Eligibility Status is included as Exhibit A.

 

A.                            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

Teaching Professor – all ranks

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 series.

 

5.       Assistant, Associate, and full Project Scientists 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 and Innovation. If the individual has accepted the appointment in writing, no PI exception is required.

 

B.                            Exceptions

 

By exception, the Vice Chancellor for Research and Innovation 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 if space and facilities can be assigned without detriment to the regular research, instructional, and public service responsibilities of the University.

 

In rare cases, a blanket exception request may be submitted for consideration. Assistant Project Scientists are encouraged to submit blanket PI exception requests to minimize the administrative burden of requesting PI approval for each proposal. A blanket PI exception can be effective for up to two (2) fiscal years depending on the appointment status of the individual.

 

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 and Innovation, Executive Vice Chancellor, Vice Chancellor – Health Sciences, 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. Project Scientists must request an exception to serve as a co-PI if the other co-PI is not otherwise qualified.

 

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

 

7.       Specialist

 

8.       Postdoctoral Scholar (Employee, Fellow, or Paid-Direct)

 

At SIO, PI Exceptions will only be approved for postdoctoral scholars who have completed at least 12 months of postdoctoral research at SIO at the time of submitting grant proposals. Sole PI status will only be approved up to 50% time, unless the proposal specifically calls for a postdoc. The call for proposal must be included with the PI Exception request. Co-PI status will be granted up to 100% effort if the other co-PI is in a PI qualified title.

 

For General Campus and Health Sciences, requests for PI status for postdoctoral scholar are routinely granted if the requests propose a change to the Assistant Research Scientist or Assistant Project Scientist 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 postdoctoral scholar to serve as a PI while remaining in the postdoctoral scholar title are rarely granted exception unless the funding opportunity is specifically for a postdoc, as is the case for an NIH K99.

 

9.       Graduate Students

 

10.   Research Associate (SIO Only)

 

11.   Lecturer, Senior Lecturer (Unit 18)

 

12.   Supervisor of Teacher Education

 

13.   Continuing Educator (Division of Extended Studies Only)

 

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 (including Staff Physicians in Health Sciences)

 

15.   Clinical Resident or Fellow

 

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.

 

C.                            Procedure for Exception

 

To request an exception, a written justification must be submitted via the applicable online system by the Department Chair or ORU Director via the Executive Vice Chancellor, Vice Chancellor-Health Science, or Vice Chancellor-Marine Sciences (if appropriate), to the Vice Chancellor for Research and Innovation for approval. To ensure timely review and final decision, requests should be received in the appropriate Vice Chancellor’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.

 

IV.            RESPONSIBILITIES

 

A.    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

 

B.    Sponsored Projects Office (SPO)

 

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

 

C.    Executive Vice Chancellor, Vice Chancellor-Health Sciences and Vice Chancellor-Marine Sciences

 

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

 

D.    Vice Chancellor for Research and Innovation

 

Review and make final decision on requests for exceptions. Department and SRA will be notified via the applicable online system.

 

V.              REVISION HISTORY

 

09/22/2025       Policy revised and reissued.

 

 

EXHIBIT A

SUMMARY OF ELIGIBILITY STATUS

 

 

ACADEMIC ADMINISTRATOR/COORDINATOR   ACADEMIC SENATE MEMBER	EXCEPTION   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     CLINICAL RESIDENT/FELLOW	QUALIFIED – if salaried at 50% or more of full- time, except for the instructor rank   EXCEPTION
CONTINUING EDUCATION SPECIALIST       GRADUATE STUDENT	EXCEPTION (Extended Studies only)– May submit proposal for training or training-related research only   EXCEPTION
INSTRUCTOR	EXCEPTION
LECTURER & SENIOR LECTURER (Unit 18)	EXCEPTION
NEW APPOINTMENT	EXCEPTION – If P.I. or Co-P.I. has not formally accepted an appointment at UCSD in an eligible title.
POSTDOCTORAL SCHOLAR - EMPLOYEE/FELLOW/PAID-DIRECT	EXCEPTION
PROJECT SCIENTIST	QUALIFIED – As Co-P.I. on General Campus, SIO, and Health Sciences (with eligible PI) EXCEPTION – As sole P.I. on General Campus, SIO and Health Sciences;
RESEARCH SCIENTIST	QUALIFIED
RESEARCH ASSOCIATE	EXCEPTION: SIO Only
SPECIALIST	EXCEPTION
STAFF TITLES	EXCEPTION
STUDENTS (UNDERGRADUATE/GRADUATE)   TEACHING PROFESSOR (ALL RANKS)	EXCEPTION   QUALIFIED (formerly LSOE/LPSOE)
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.

 

EXHIBIT B

 

REQUEST FOR EXCEPTION TO SUBMIT PROPOSAL FOR EXTRAMURAL SUPPORT

 

Request for exception should be submitted via the applicable online system. The request must be submitted to the appropriate Vice Chancellor ten (10) working days prior to agency due date. The following information will be necessary for the exception request:

 

1.     Proposal # and corresponding information (Proposal title, proposal dates, sponsoring agency, funding dates, funding amount, date proposal due to agency, funding opportunity number or solicitation, etc)

 

2.     Applicant Name

 

3.     Current Appointment Title and dates

 

4.     Proposed Appointment Title and dates (if title will be different at time of award, or new appointee)

 

5.     Co-PI(s) or MPI(s)

 

6.     A supervisor or mentor must endorse a PI exception for project scientists, postdocs, and staff.

 

7.     The Project Questionnaire should be complete by the proposed PI, mentor/supervisor and/or research administrator:

 

a.     Briefly describe the proposed project(s).

 

b.     Discuss the qualifications of the individual, how their participation will benefit the project(s), and why it is a appropriate for them, in their current title/role, to undertake the proposed project(s).

 

c.     How will the proposed project(s) contribute to the existing research programs and/or goals of the department/organized research unit?

 

d.     If the grant is not funded, will the proposed PI still be employed? If yes, specifically describe the source of salary that will support the person. (If no, indicate so.)

 

e.     If grant is funded, please describe the Unit's plan for the future appointment status of the individual through the proposed project period and afterward? (Example: Will they continue in current title or be proposed for a change in appointment in accordance with current guidelines.)

 

f.       What fund sources are budgeted to provide the balance of the individual’s salary when less than 100% is requested in the proposal or if the proposal is not funded? Has this been communicated to them?

 

g.     What fund source will provide services, e.g., administrative support, computers, printing, etc.