I.                    REFERENCES

A.                           Bylaws and Standing Orders of The Regents of the University of California

B.                           University of California Contractand Grant Manual

C.                           Academic Personnel Manual

II.                  POLICY

``To accomplish its aims of providing higher education, advancing knowledge, and contributing to the welfare of the State, the University accepts funds and enters into agreements for researchundertakings only when (1) suchundertakings provide its faculty memberswith the opportunity to gain experience andknowledge of value for their teaching and research, and (2)the projects are suitable for the Universitybecause the involved faculty membersmay make worthy contributions toknowledge, in conjunction withstudents whenever that is possible, or because appropriate public service isperformed.'' (Refer to Reference B, Section II.)

A.                           Solicitation Authority

No solicitationor application for extramural supportof research, training, or public service programs or projects shall be madeofficially in the name of theUniversity without the prior approval of The Boardof Regents or ofan authorized officer or official of the University (refer to Reference A, Section100.4). This approvalshould be based on the review of an adequately prepared written proposal, submitted by anindividual authorized to do so as stated below.

B.                           Academic Policy

A researchproposal may be submitted only by academic appointees (singly or jointly) who will personally direct the researcheffort and serve as the Principal Investigator or Co-Principal Investigator. (Note: Not all fundingagencies allow Co-Principal Investigators.)

A proposal for atraining or public service project may besubmitted only by anacademic appointee who will personally directthe project to a significant degreeand serve as the project administrator. Aproposal for a research, training orpublic service program involving numerousprograms may be submitted only by an academicappointee who will personally overseethe programs in his/her capacityas the program administrator.

Adirector of a sub-project of a multi-unit programmust qualify by academicappointment or by an approved exception.

It is contrary to university policy, and is viewed withextreme disfavor by sponsoringagencies, to list as head of a project the name of anindividual, however prestigious he/she may be, who will contribute only a minimumor nominal portionof his/her own time and effort to the furtherance ofthe work.

C.                           Use of Correct Titles for Academicand Staff Personnel

Whenever a formor other document calls for use of a University of California employee's title in any officialway, the correct payrolltitle must be used. Therefore, since proposals areofficial University documents, theacademic appointee's title must be given in full.

For example, a VisitingProfessor, Adjunct Professor, Assistant or Associate Professor- In Residence, etc., maynot be designated solely as a ``Professor.'' Titles of research appointees shouldspecify Research Scientistor Project Scientist. In addition, the properpayroll title must also be used for staff employees. If an employee has adifferent working title, that title may beshown in addition to the payroll title.

Inaddition, when referringto an individual in charge of a particular department, division, etc., the proper title, as it specifically relates to the academic unit ordepartmental (or equivalent) sub-unit,should be used,e.g., Professor John H. Doe, Chair, Department of Astronomy, or Professor of Medicine-In Residence Frank R.Smith, M.D., Head, Division of Physiology.

III.                ELIGIBLE APPOINTEES AND EXCEPTIONS

On or before the start date of a proposedproject, the PrincipalInvestigator and, if applicable, the Co-principal Investigator(s) must have formally accepted an appointment at UCSD in an eligible title or qualify by exception approved by the Vice Chancellor forResearch and Innovation as noted below. ASummary of Eligibility Status is included as Exhibit A.

A.                           Eligible Academic Appointees

Academic appointeeswho currently hold a title in thefollowing groups are automatically eligible by virtue of appointment to submit proposalsfor extramural support ofresearch, training, or public service contracts or grants, subject toconditions, restrictions, and review procedures established by the Chancellor:

1.      Membersof the Academic Senate:

Professor - all ranks

Professor in Residence - all ranks

Professor of Clinical X - all ranks but instructorResearch Professor

Professor Emeritus - all ranks

Teaching Professor - all ranks

Acting Professor and ActingAssociate Professor (but not ActingAssistant Professor)

University Librarian (but no other librarians) Registrar and Chief AdmissionsOfficer Vice Chancellor

Chancellor

2.      Salariedappointees in the Adjunct Professor series, with the exception of theInstructor rank.

3.      Appointees salaried at 50% or more of full time in the ClinicalProfessor series, with theexception of the Instructor rank.

Note: The source of salary supportfor 2 & 3 above may be state,extramural or other departmental funds.

4.      Appointees in the Research Scientistseries.

5.      Assistant, Associate, and full ProjectScientists may serve as co-PI with professorial and research scientist appointees.

Note: An appointee who qualifies from another UC campus may be named as a Co-Principal Investigator on a UCSDproposal.

An individual for whom adepartment proposes an appointment in one of the above series (1-4) requires arequest for an exception prior to appointment, which normally is approved by the Vice Chancellor for Research and Innovation. If the individual has accepted the appointment in writing, no PI exceptionis required.

B.                           Exceptions

By exception, the Vice Chancellor forResearch and Innovation may approvethe submission of a contract or grant proposal by other appointees or candidates for appointments, in specialcircumstances when the individual ishighly qualified, when such action isin the best interest of theUniversity, and if spaceand facilities can be assigned without detriment tothe regular research, instructional, andpublic service responsibilities ofthe University.

In rare cases, a blanket exceptionrequest may be submitted for consideration. Assistant Project Scientists areencouraged to submit blanket PI exception requests to minimize theadministrative burden of requesting PI approval for each proposal. A blanket PIexception can be effective for up to two (2) fiscal years depending on theappointment status of the individual.

Previous approvalof an exception of principalinvestigator status is not a prima facie guarantee of approval of subsequentrequests for exceptions. An exceptionis required for renewal of an existing project for which an exception wasoriginally required, and the PI still does not have a qualified title.

Listed below are appointment series which requireexceptions. Questions regarding qualifications of PrincipalInvestigators should be referred to the offices of the Vice Chancellor forResearch and Innovation, Executive Vice Chancellor, Vice Chancellor - HealthSciences, or Vice Chancellor-Marine Sciences.

1.       Academic Administrator/Coordinator

2.       Acting Assistant Professor

3.       Adjunct Instructor and Clinical Instructor

4.       Adjunct Professor - Non-salaried

5.       Clinical Professor - Non-salaried or salaried less than 50%

6.       Project Scientist

Individuals in this series mustrequest an exception to serve assole PI. Project Scientists must request an exception to serve as a co-PI ifthe other co-PI is not otherwise qualified.

Demonstrated strong potential for conducting independent research is requiredfor these appointees to qualify foran exception.

7.       Specialist

8.       Postdoctoral Scholar (Employee, Fellow, orPaid-Direct)

At SIO, PIExceptions will only be approved for postdoctoral scholars who have completedat least 12 months of postdoctoral research at SIO at the time of submittinggrant proposals. Sole PI status will only be approved up to 50% time, unlessthe proposal specifically calls for a postdoc. The call for proposal must beincluded with the PI Exception request. Co-PI status will be granted up to 100%effort if the other co-PI is in a PI qualified title.

For General Campus and Health Sciences, requests for PI statusfor postdoctoral scholar are routinelygranted if the requests propose a change to the Assistant ResearchScientist or Assistant Project Scientist title on or before the start date ofthe grant and if the individual hasdemonstrated strong potential forperforming independent research.Requests for a postdoctoralscholar to serve as a PI while remaining in the postdoctoral scholar title arerarely granted exception unless thefunding opportunity is specifically for a postdoc, as is the case for an NIHK99.

9.      Graduate Students

10.   Research Associate (SIO Only)

11.   Lecturer, Senior Lecturer (Unit 18)

12.   Supervisor of Teacher Education

13.   Continuing Educator (Division of Extended Studies Only)

A person holdingan appointment in this series may submit a proposalfor a training or training-related research contract or grant only.

14.   Staff (including Staff Physicians in Health Sciences)

15.   Clinical Resident or Fellow

16.   Undergraduate/Graduate students

17.  Visiting

"Visiting"appointments are normally for short-term periods of up to one ortwo years and are subject to annual reappointment. Therefore, appointees to Visitingtitles should submit proposals for aperiod of support that coincides with their current term ofappointment. If the proposal end date exceedsthe end date of the Visiting appointee's currentappointment, the proposal shouldstipulate, by name, a qualifying Co-Principal Investigator who is willing and able toassume the functions as the PrincipalInvestigator and devoteadequate time to head the work should the "Visiting"appointee sever connections with theUniversity prior to the proposaltermination date.

C.                           Procedure for Exception

To request an exception, a writtenjustification must be submitted via the applicable online system by theDepartment Chair or ORU Director via the Executive Vice Chancellor, ViceChancellor-Health Science, or Vice Chancellor-Marine Sciences (if appropriate),to the Vice Chancellor for Research and Innovation for approval. To ensuretimely review and final decision, requests should be received in theappropriate Vice Chancellor&s officeten (10) businessdays prior to the agencydue date for proposal submittal.The written justification must include the information outlined in  Exhibit B and a currentcurriculum vitae or bio-bibliography.

IV.           RESPONSIBILITIES

A.    Department

Complywith eligibility requirements for submission of proposals for extramural support, coordinate exception procedure,and prepare the written requests with documented justification.

Assurethat adequate salarysupport is requested commensurate with effortproposed, if applicable

B.    Sponsored Projects Office(SPO)

Verifythat Principal Investigator is eligible or that the exception has been approvedprior to proposal submittal.

C.    Executive Vice Chancellor,Vice Chancellor-Health Sciences and Vice Chancellor-Marine Sciences

Review requestsfor exception, ensure completeness and compliance with policyand forward a recommendation to the Vice Chancellor-Research and Innovation five (5) days prior to theagency due date.

D.    Vice Chancellor for Researchand Innovation

Review and make final decision on requestsfor exceptions. Department and SRA will benotified via the applicable online system.

V.             REVISION HISTORY

09/22/2025       Policyrevised and reissued.

EXHIBIT A

SUMMARY OF ELIGIBILITY STATUS

NOTE: None of the Professorial Series(i.e., Professors, Acting,Adjunct, In-Residence, ClinicalX, or Visiting Professors) shouldbe paid 100% from extramural researchsupport unless approvedby funding agency, as it isUniversity policy that a portion of their time be devoted to teaching, whichnormally requires University funds.

EXHIBIT B

REQUEST FOR EXCEPTION TO SUBMIT PROPOSALFOR EXTRAMURAL SUPPORT

Requestfor exception should be submitted via the applicable online system. The requestmust be submitted to the appropriate Vice Chancellorten (10) working days prior to agency due date. The following information willbe necessary for the exception request:

1.    Proposal # and corresponding information (Proposal title, proposaldates, sponsoring agency, funding dates, funding amount, date proposal due toagency, funding opportunity number or solicitation, etc)

2.    Applicant Name

3.    Current Appointment Title and dates

4.    Proposed Appointment Title and dates (if title will be different at timeof award, or new appointee)

5.    Co-PI(s) or MPI(s)

6.    A supervisor or mentor must endorse a PI exception for projectscientists, postdocs, and staff.

7.    The Project Questionnaire should be complete by the proposed PI,mentor/supervisor and/or research administrator:

a.    Briefly describe the proposed project(s).

b.    Discuss the qualifications of the individual, how their participationwill benefit the project(s), and why it is a appropriate for them, in theircurrent title/role, to undertake the proposed project(s).

c.    How will the proposed project(s) contribute to the existing researchprograms and/or goals of the department/organized research unit?

d.    If the grant is not funded, will the proposed PI still be employed? Ifyes, specifically describe the source of salary that will support the person.(If no, indicate so.)

e.    If grant is funded, please describe theUnit's plan for the future appointment status of the individual through theproposed project period and afterward? (Example: Will they continue in currenttitle or be proposed for a change in appointment in accordance with currentguidelines.)

f.      What fundsources are budgeted to provide the balance of the individual&s salary whenless than 100% is requested in the proposal or if the proposal is not funded?Has this been communicated to them?

g.    What fundsource will provide services, e.g., administrative support, computers,printing, etc.