The UCLA policy on eligibility to serve as a Principal Investigator (PI) is in the process of being reviewed. We anticipate that a revised policy will be issued soon. In the meantime, as the number of PI exceptions seems to be on the rise, I am writing to remind you of some key elements of existing policy.

The University and sponsoring agencies hold the PI accountable for the scientific conduct and financial management of the project. Compliance with myriad University, Federal and other agency-specific regulations such as appropriate spending and acquisition of appropriate approvals for human and animal research subjects, are serious campus concerns. It is important that individuals who serve as PI's (or Co-PI's) be aware of University policies and agency regulations. There are additional considerations as well about the commitment of space, academic appointments, access to specialized equipment, and administrative support or other resources that will be needed throughout the term of the award.

Under current UCLA policy, Academic Senate appointees and University Extension Specialists are automatically eligible to serve as PI's. There are times when exceptions to the policy are clearly warranted, especially those made on behalf of non-Senate faculty and some research series appointees. Exception requests asking that post-doctoral fellows be allowed to serve as independent investigators - either Principal Investigators or Co-Principal Investigators - are rarely appropriate.

Applications for fellowships and prizes that provide only stipend support directly to the post-doctoral fellow are normally submitted to sponsoring agencies through the Graduate Division. In these circumstances the issue of PI status is moot. However, applications for awards that provide postdocs with stipend support as well as additional funds to cover expenses like trainee travel, research supplies, or equipment; awards that provide indirect costs, and those in which require financial reports or which impose other obligations on the University must be submitted through the Office of Sponsored Research (OSR). In these cases a faculty member, normally the sponsor or mentor, should be named as PI, with the trainee named as the proposed fellow.

Research grants on which postdocs will be participating should be submitted by the faculty member with whom the trainee works rather than by the trainee. In those very unusual circumstances when a postdoc is applying for a small research grant that is part of the approved postdoctoral training program, an exception may be appropriate. These requests should be well justified. A proposed grant should not exceed the period of the training program, nor should a proposal be submitted in the expectation that a grant will provide sufficient grounds to justify a self-funded future appointment at UCLA.