3341-7-16 Principal Investigator Eligibility and Responsibilities

1. Policy Statement and Purpose

   This policy defines the eligibility criteria, roles, and responsibilities of Principal Investigators (PIs) at Bowling Green State University (BGSU) for externally sponsored projects. It ensures alignment with the BGSU Academic Charter and federal requirements. PI status is typically reserved for permanent employees who have a continuing appointment with the university. Individuals must have the appropriate level of authority and responsibility to independently direct research, manage budgets, comply with the terms and conditions of awards and supervise project personnel. This policy does not govern eligibility to serve as a PI for internally funded or unfunded research, scholarly, or creative activities. Eligibility for such activities is determined by the policies of the relevant academic or administrative unit or by the specific requirements of the internal funding program, if applicable. All research, scholarly, or creative activities remain subject to applicable Research Integrity requirements, policies, reviews, and approvals, regardless of funding source.

   The Division of Research is responsible for oversight and facilitation of compliance with applicable University, Federal, State, and sponsor requirements. This Policy is intended to provide a general framework describing Principal Investigator eligibility and responsibilities. Principal Investigator obligations may be modified from time to time in response to changes in laws, regulations, institutional policies, or sponsor requirements, and Principal Investigators are responsible for complying with all such applicable requirements as they may be amended.

2. Definitions

   1. Authorized Organizational Representative (AOR)

      The individual officially designated by an institution to act on its behalf in matters related to sponsored projects. The AOR has the authority to legally bind the institution to terms, conditions and compliance requirements of a sponsored proposal and subsequent negotiation of terms and accepting awards in compliance with sponsor and institutional requirements. The AOR has the authority to review, endorse, and submit proposals to external sponsors, certify compliance with applicable assurances and certifications, and submits financial/administrative reporting.

   2. Principal Investigator (PI)

      The individual responsible for the intellectual direction and administrative oversight of a sponsored project.

   3. Sponsored Project

      A sponsored project is typically an externally funded activity such as research, instruction, training, service, or testing conducted under a legally binding agreement such as a grant, contract, or cooperative agreement, with an external sponsor. The activity usually encompasses a defined scope of work, requires deliverables or measurable outcomes, and is generally subject to requirements such as performance periods, financial oversight, reporting, or compliance obligations.

3. Policy

   1. Eligibility Criteria

      Eligibility to serve as a PI is based on academic unit responsibilities and institutional approval.

      1. The following are eligible to apply for external sponsored projects if the activities to be funded by the sponsored project are consistent with the individual’s primary unit responsibilities:
         1. All Bargaining Unit Faculty Members (BUFMs)
         2. Faculty Administrators
         3. Full-time faculty level research appointment (e.g. Associate Research Professor)

      2. The following are not eligible to serve as a PI on a sponsored project:

         1. Visiting scholars
         2. Students
         3. Postdoctoral Researchers

      3. The following may be eligible for an exception with prior approval if it is deemed to be in the best interest of BGSU’s strategic priorities:

         1. Emeritus faculty
         2. Full-time administrative staff with relevant expertise and experience
         3. Adjunct faculty

         Requests for exceptions must be submitted to the Vice President for Research by the cognizant Dean/Vice President or appropriate senior leadership.

      4. Eligibility for any non-listed positions will be determined by the Division of Research in consultation with the cognizant Dean/ Vice President or appropriate senior leadership.

   2. Roles and Responsibilities of the PI

      1. General Proposal Preparation and Project Oversight
         1. Ensure ethical conduct of research
         2. Comply with sponsor and university policies
         3. Manage project funds responsibly
      2. Proposal Submission
         1. Prepare proposals in collaboration with Research & Sponsored Programs
         2. Secure internal approvals prior to submission
         3. Submit proposals through Research & Sponsored Programs with approval from the Authorized Organizational Representative (AOR)
      3. Award Management
         1. Monitor expenditures, ensure allowability, and approve financial transactions.
         2. Monitor collaborator performance, progress and expenditure alignment.
            1. The PI is responsible for monitoring the work effort of subrecipients and consultants in compliance with Office of Management and Budget (OMB) Uniform Guidance (2 CFR 200).
            2. PIs should carefully review invoices submitted by subrecipients to verify that the level of effort and items expended against are appropriate to the quality and quantity of work provided. By approving an invoice, PIs indicate that the charges appear appropriate, and work is progressing as planned.
            3. Inappropriate expenses and/or problems with performance should immediately be reported to Grants Accounting and Research & Sponsored Programs.
         3. Review and approve effort reporting for all individuals charged to sponsored project.
         4. Submit technical and financial reports
         5. Manage project closeout activities
      4. Regulatory Compliance (overseen by the Division of Research)
         1. Adhere to Conflict of Interest in Sponsored Programs & Research policy and Research and Sponsored Project Integrity and Misconduct policy
         2. Comply with human subjects, animal care, and biosafety regulations and policies
         3. Comply with use of controlled substances, export control, and material transfer, data use, and confidentiality regulations and policies
         4. Complete all required research and sponsored project related trainings
      5. Communication and Reporting
         1. Maintain timely communication with Research & Sponsored Programs and Grants Accounting
         2. File required reports and disclosures in a timely manner to meet all sponsor requirements

4. Related University Policies:

   1. 3341-1-7 - Delegation of Contract and Signatory Authority
   2. 3341-7-1 - Conflict of Interest in Sponsored Programs & Research
   3. 3341-7-5 - Research and Sponsored Project Integrity and Misconduct
   4. 3341-7-7 - Protection of Human Subjects
   5. 3341-7-8 - Protection of Vertebrate Animals
   6. 3341-7-9 - Use of Controlled Substances for Non-Therapeutic Purposes
   7. 3341-7-11 - Export Control
   8. 3341-7-13 - Use of Regulated Biohazardous Materials in Research, Instruction, and Scholarly Activities
   9. 3341-7-14 - Material Transfer, Data Use, and Confidentiality
   10. 3341-7-15 - Research Data Protection, Security, and Ownership

Registered Date: October 22, 2026