Multiple Principal Investigators on Federal Awards

Scope

The U.S. Government’s Office of Science and Technology Policy issued a memorandum in January 2005 requiring all federal research agencies to accommodate the recognition of two or more Project Directors (PD)/Principal Investigators (PI) on research grants and contracts when appropriate and justified. The National Institutes of Health (NIH), a major sponsor of University research, has implemented this directive into practice. This procedure covers grant applications submitted to NIH that identify more than one PI. NIH will receive applications with multiple PIs starting with its February 5, 2007 deadline. This procedure will be updated as other agencies change their practices to accommodate the recognition of more than one PD/PI.

Definitions

The PD/PI is the individual(s) judged by the University to have the appropriate level of authority and responsibility to direct the project or program supported by the grant in accordance with University Policy, RES-011: Investigator Eligibility Requirements and Responsibilities Related to Spnosored Programs. The University may designate multiple individuals as PDs/PIs who share the authority and responsibility for leading and directing the project, intellectually and logistically. Each PD/PI is responsible and accountable to the University for the proper conduct of the project or program and the submission of all reports.

Note: The appropriateness of including a PD/PI from a collaborating organization will be approved jointly by the appropriate University personnel and the collaborating organization.

The Contact PD/PI is the first PD/PI listed in the application. This individual is responsible for communication between NIH and the other PDs/PIs. From NIH's perspective, being named Contact PD/PI does not imply any particular role within the leadership team.

The University Award PI is the first PD/PI listed in the application. This individual is assigned PI status in the ResearchUVA PBH (RUVA) and Workday sponsored account and serves as the primary contact with the University's research administration and accounting offices.

The Multiple PD/PI Leadership Plan is the section of the NIH grant application that provides:

A rationale for choosing a multiple PD/PI approach;
The governance and organizational structure of the leadership team, including communication plans, process for making decisions on scientific direction, and conflict resolution procedures;
Roles and administrative, technical, and scientific responsibilities for program PDs/PIs; and
Budget allocation details, if appropriate.

Responsibility

The PDs/PIs are responsible for:

Conducting the project or program properly per University policy.
Submitting all required reports.
Managing communication between NIH and other PDs/PIs.

OSP along with the School of Education and Human Development Office of Grants and Contracts, School of Engineering and Applied Science Office of Grants and Contracts, and School of Medicine Office of Grants and Contracts (Submitting Schools) are responsible for:

Reviewing the appropriateness of a multiple PD/PI approach for the sponsored project or program.
Reviewing the application for completeness and submitting to the sponsor.

Procedure

This activity is performed whenever a grant application identifying more than one PD/PI is submitted to NIH. The multiple PD/PI option will be extended to most of NIH’s research grant mechanisms, including R, U and P grants and cooperative awards. It is presumed by the University and NIH that most applications will continue to identify a single PD/PI. The multiple PD/PI option will be exercised for applications in which an interdisciplinary “team science” approach will best achieve the aims of the research. The following will also be considered:

Each PD/PI is scientifically considered equal for merit in achieving the project outcome. Multiple PD/PI applications submitted to OSP or Submitting School must provide required supplemental documents, if applicable.
The Multiple PD/PI Leadership Plan must be included in the proposal. Grant management staff will review the plan to determine whether the planned multiple PD/PI submission is consistent with agency and University requirements.
If separate budget allocations are desired for each PD/PI, discrete internal budgets for each PD/PI will be required with the application materials. These budgets will not be included in the application sent to NIH, but the amounts should be reflected in the portion of the Multiple PD/PI Leadership Plan addressing resource allocation.

The first PD/PI named in the proposal (typically on the application face page) will be the designated Contact PD/PI. The Contact PD/PI will also serve as the Award PI for the sponsored accounts in RUVA and Workday. As Award PD/PI, the Contact PD/PI will assume overall fiscal responsibility for the grant and will be the principal administrative contact for University research administrative offices. Unless circumstances arise that prevent the Award PI from remaining on the grant, it is anticipated that the Award PI will remain unchaged for the duration of the award.

Ownership

The Executive Director of the Office of Sponsored Programs is responsible for ensuring that this procedure is necessary, reflects actual practice, and supports University policy.