PI Eligibility

The eligibility of individuals for designation as a Harvard University Principal Investigator varies from school to school. At HGSE, Principal Investigator (PI) status is automatically conferred upon all individuals who hold the following titles (i.e., members of the Faculty of the Whole):

• Professor
• Professor of Practice
• Professor-in-Residence
• Associate Professor
• Assistant Professor
• Senior Lecturer
• Lecturer (Multi-Year)

Additionally, the following individuals also have PI Status:

• Research Professor
• Professor Emeritus

As a matter of practice, the length of the term of PI status may not exceed the length of term of any faculty member’s appointment. Additionally, all individuals who hold PI Rights are eligible to serve as the PI on a human subject IRB and/or vertebrate animal IACUC protocols.

Other individuals are eligible to apply for HGSE Principal Investigator status. These individuals, and the limits imposed on their PI status, are:

• Annual Lecturers
• Officers of the University who hold current HGSE research appointments such as Senior Research Associate, Research Director, and Senior Research Manager
  • PI Status is limited to fully self-funded research projects that closely align with HGSE’s current mission and where there is a specific need for PI Rights (as opposed to having an individual with existing PI Rights act as PI).s PI Rights.
• Officers of the University who hold director-level or above HGSE administrative positions
  • PI Status is limited to non-research projects relevant to the individual’s specific administrative function and to HGSE’s mission.
• Center-based Research Staff
  •  PI Status is limited to individuals who have a record of successful research experience and the sponsorship of the HGSE faculty member in consultation with the Faculty Director of the Center. PI Status is granted on a limited basis upon careful review of the applicant’s experience, skills, and research or project plans. Applications for PI Status ordinarily will not be considered for Center staff until they have been employed at Harvard for at least one year in positions that allow them to demonstrate their suitability for serving as independent PIs. PI Status will ordinarily be limited to individuals who have an earned doctorate.
• Postdoctoral Fellows and Doctoral Students
  • PI Status is limited to a PI role on postdoctoral fellowship awards, dissertation awards, and other fellowship-type grants with a HGSE faculty sponsor. Postdoctoral fellows and doctoral students may not pursue additional external funds during the period of the fellowship where HGSE will be named institutional or fiscal sponsor, except where the funds are: (a) for activities closely related to the research that is the basis for their fellowship award; (b) are within the term of their appointment; and (c) do not conflict with the terms of the primary fellowship award. Postdoctoral fellows and doctoral students do not need to request PI Rights so long as it is clear that the award is a fellowship and an HGSE faculty member is listed as the mentor/sponsor of the fellowship. Postdoctoral fellows and doctoral students may serve as the PI of a Human Subject or Vertebrate Animal protocol so long as an HGSE faculty mentor is also listed on the protocol as “Faculty Sponsor.”
• Visiting Faculty
  • Visiting Faculty may not pursue any sponsored funding through HGSE during the period of their visit where HGSE will be named institutional or fiscal sponsor, except where the funds are: (a) closely aligned with institutional mission; (b) are within the term of their appointment, and (c) approved by the Dean or Dean’s designee.

Several categories of employee and/or academic appointee are ineligible for HGSE Principal Investigator status. These are:

• Officers of the University who do not hold director-level positions
• Adjunct Lecturers
• Individuals holding courtesy titles at HGSE such as “Visiting Scholar,” “Visiting Fellow,” “Visiting Practitioner,” and all other unpaid, courtesy appointments that may be established in the future. They may not under any circumstances pursue external funding where Harvard will be named institutional or fiscal sponsor.
• Master’s Students

The HGSE Dean or the Dean’s designee must approve all requests for PI Status from individuals seeking to undertake externally funded, and certain internally funded (as defined above), projects. HGSE will confer PI Status on selected individuals based on a careful review of the applicant’s experience, skills, and research or project plans. Recommendations from current HGSE PIs will also factor in the review.

Application requirements for obtaining PI Status are described below for various categories. Application packages for PI Status, based on the eligibility criteria outlined in section 1 above, are to be submitted to the Senior Director of HGSE Office of Sponsored Projects.

Research-Based PI Appointments

Eligible applicants must secure the sponsorship of a member of the HGSE faculty who is a ladder faculty, Professor of Practice, Senior Lecturer, Multi-Year Lecturer or Center Director. The faculty sponsor should forward the applicant’s review package for evaluation. The Senior Director of HGSE OSP shall assess the request, ensure it is complete and, if appropriate, forward it onto the Academic Dean, who will make a recommendation to the Dean. The Dean or the Dean’s designee must approve all requests for PI Status.

The applicant’s review package must include:

• letter of endorsement from the faculty sponsor, including a statement of ongoing support and the oversight that the faculty sponsor will provide;
• the applicant’s curriculum vitae;
• the applicant’s written request for consideration which must outline their research and/or project plans including a statement of how said plans further HGSE’s mission, the potential sources for external support, and an HGSE space utilization statement.

Review criteria will include, but not be limited to:
• quality and scope of research already undertaken;
• alignment of candidate’s qualifications and experience to the activities proposed;
• demonstrated ability to conduct research;
• demonstrated ability to manage projects, including financial, administrative, and personnel issues.

Non-Research PI Appointments of Administrative Directors

The non-research PI Status requests of administrative directors require a letter outlining project plans, relevance to HGSE mission and institutional priorities, potential sources of external support, and any potential costs to the School, including facilities and administrative costs or mandatory Harvard University cost sharing. Such materials should be submitted to the Senior Director of HGSE OSP, who shall assess the request, ensure it is complete and, if appropriate, forward it onto the Academic Dean, who will make a recommendation to the Dean. The Dean or the Dean’s designee must approve all requests for PI Status.

Center-Based PI Appointments

Eligible applicants must have an earned doctorate, a record of successful research experience, and the sponsorship of a HGSE faculty member in consultation with the Faculty Director of the Center. The faculty sponsor should submit the letter of support with the applicant’s review package to the Senior Director of HGSE OSP, WHO shall assess the request, ensure it is complete and, if appropriate, forward it onto the Academic Dean, who will make a recommendation to the Dean. The Dean or the Dean’s designee must approve all requests for PI Status.

The applicant’s review package must include:

• Case Statement from Faculty Sponsor and Center director. The Case Statement should describe the role the applicant has played in the Center until this time, and how they have demonstrated the quality and experience necessary to serve as a PI; articulate how giving the applicant PI status will further the strategic goals of the Center; name the potential sources for external support; and describe what implications there are, if any, for space use. The statement should explain the process by which the PI’s grant proposals will be overseen and approved within the Center. Additionally, the statement should describe the ongoing support and oversight that the faculty sponsor will provide. The statement should also address why Co-Investigator status is not sufficient to meet the needs of the Center.
   
• Applicant’s Written Request. The applicant’s written request for consideration must outline their research and/or project plans including a statement of how said plans further the mission and goals of the Center and articulating their experience managing large-scale projects and conducting independent research.
   
• In addition, the review package should include the applicant’s curriculum vitae.

The review criteria include, but are limited to:

• demonstrated ability to conduct research, including quality and scope of research already undertaken;
• alignment of candidates qualifications and experience to the activities proposed;
• demonstrated ability to manage projects, including financial, administrative, and personnel issues.

In reviewing the request, the Academic Dean may consult personnel records or other documentation of performance by researchers or administrators seeking PI status.

For all categories of individuals, the Academic Dean, coordinating with the Office of Sponsored Projects, shall maintain records related to the review and approval of Principal Investigator status. Once approved, the Office of Sponsored Projects will track the work of PIs granted special status and notify the Academic Dean of instances when the responsibilities of a PI are not being met.

For individuals who are granted PI Status through a special process, a review of PI Status may be conducted at any time during their status as PI at HGSE.

Review criteria will include, but not be limited to:

• quality and scope of research undertaken;
• continued alignment of candidate’s qualifications and experience to conduct research activities;
• demonstrated ability to manage projects, including financial, administrative, and personnel issues.

Based on the review, the Academic Dean, with consultation with the Dean as needed, may decide to either continue or retract the PI Status of that individual.

As noted above, the role of Principal Investigator, co-Principal Investigator (co-PI) and/or Project Director (PD) on externally funded projects, along with certain internally funded projects (as defined above), carries with it significant responsibilities, both academic and fiduciary.

Below is a list of many of the duties and responsibilities HGSE PIs must accept and perform when monitoring project activities and expenditures:

• adhering to ethical standards for research;
• ensuring a high level of scholarly quality and rigor in the activities they supervise, including publications and other disseminations of results of the research;
• supervising grant-supported personnel, including the supervision and support of postdoctoral fellows and graduate students;
• reviewing and certifying effort/time spent by individuals on the research projects, ensuring accuracy and compliance with funding agency requirements;
• monitoring subrecipients;
• ensuring compliance with the terms, conditions, and policies of Harvard University and sponsor, including handling the grant agreement processing, negotiation and acceptance through Harvard officials;
• delivering all technical reports, and assisting when needed with the delivery of all financial reports, as required by grant and/or contractual agreements;
• following all requirements pertaining to human subjects, including obtaining and updating IRB approval from Harvard;
• processing all data use agreements, service agreements and any other applicable agreements relevant to the research funded by the grant through the proper HSGE and Harvard systems and approvals;
• disclosing any outside activities annually and per project as required, identifying potential conflicts of interests, and working with HGSE officials to address the conflict.