Principal Investigator

Only certain persons may be designated as the Principal Investigator on an IBC permit.

Non-faculty University Principal Investigators must hold an appropriate position or provide key expertise and should at least have a master’s degree to serve as a Principal Investigator, Project Director, Co-Principal Investigator, or other senior personnel on a sponsored project.

Students, staff, and individuals holding other appointment titles, such as research associate, specialist, post-doctoral fellow, visiting, adjunct, or clinical faculty, may be designated on the IBC application as an additional investigator, but not as the PI.

In the case of graduate student research for theses or dissertations, the student’s advisor or another faculty member should be designated on the IBC application as the PI and the graduate student as an additional investigator.

Those holding positions that are transient by nature, including Postdoctoral Research Associates (Postdocs) and other limited-term appointees, are not eligible to serve as PI because these positions are temporary, and these categories of employees are often not able to commit the level of resources necessary to carry out a program of research.

Visiting faculty may serve as Co-Principal Investigator in accordance with the approval requirements.

Retirees who are not employed by the University, but who wish to serve in the role of a Principal Investigator, must petition the department head for approval. Except as provided in the case of retirees, all individuals who serve in the role of a Principal Investigator on University sponsored projects must be employed by the University.

An exception to the limitations discussed above may be granted in special circumstances. Approval is required from the unit head and the Vice President of Research and Innovation.

When an individual accepts the role of PI on an IBC permit, he/she is responsible for establishing the appropriate biological safety containment levels, in consultation with the IBC and Environmental Health & Safety, and for ensuring strict adherence to biological safety practices and techniques for all work involving potentially biohazardous materials.

The PI is responsible for:

• Ensuring research or teaching activities that require IBC approval are not conducted before IBC approval is secured. NIH Guidelines Section IV-B-7-a-(1); Section IV-B-7-c-(3);
• Proposing physical and biological containment levels when registering research with the IBC. NIH Guidelines Section IV-B-7-c-(1);
• Determining whether the research is subject to NIH Guidelines Section III-A, III-B, III-C, III-D, or III-E and ensuring proper procedures are followed. NIH Guidelines Section IV-B-7-a-(2);
• Proposing appropriate laboratory practices and laboratory techniques to be used;
• Ensuring staff are adequately trained in good microbiological techniques. NIH Guidelines Section IV-B-7-a-(5);
• Ensuring staff are appropriately trained on the potential hazards and precautionary measures applicable to the project. This includes instruction in specific practices and techniques required for safely handling the biohazardous materials. NIH Guidelines Section IV-B-7-d;
• Ensuring all personnel involved are enrolled in the Occupational Health and Safety Program; and
• Supervising staff to ensure required safety practices and techniques are performed. NIH Guidelines Section IV-B-7-e-(1).