Principal Investigatorship at SLAC
The Principal Investigator's Role
The Principal Investigator (PI) role provides an individual with the authority to lead the definition and delivery of a research program. This represents an important step in the career of scientists and engineers, enabling them to strike out in new directions based on their own ideas.
SLAC Principal Investigator Eligibility
At SLAC, any employee is PI-eligible to submit proposals awarded by the Department of Energy (DOE), consistent with the Funding Opportunity Announcement (FOA) requirements.
For grants funded by other agencies or private sponsors, Stanford’s principal investigatorship policy applies. Stanford Research Policy grants all faculty the privilege of being principal investigators of sponsored research projects. For others, there are several exceptions to the PI policy, which are allowed under specific circumstances. Further information on PI eligibility is found in the Stanford Research Policy Handbook (RPH) Section 2. This section contains the information, policy, and guidance on PI eligibility and criteria for exceptions.
PI-Ship Information
Who is eligible to become a principal investigator at SLAC?
Based on RPH section 2, there are three routes to PI eligibility that are most relevant to SLAC employees.
- Senior and Distinguished staff scientists or engineers, staff levels five and six, at SLAC (RPH 2.1.2.B)
- As of June 11, 2020, PI eligibility has been extended to continuing staff and lead staff scientists or engineers, staff levels three and four, at SLAC as a five-year pilot (RPH 2.1.2B)
- Specific projects which are part of large interdisciplinary programs (RPH 2.1.2.A.2) * See Notes Below
SLAC staff scientists or engineers in levels three to six seeking to be PIs will normally use the waiver process in category 1 or 2 above. It is intended to encourage and facilitate SLAC’s scientific or engineering workforce to develop and expand research programs aligned with the SLAC mission.
The PI exception route 3 is available for SLAC staff independent of level and job series if they are associated with large interdisciplinary programs. This route is not routine or automatic and undergoes careful review for adherence to the Stanford RPH by the SLAC Office of the Chief Research Officer (CRO). A "large interdisciplinary program" is defined as a research program which: a) is directed by a member of the Academic Council (faculty), b) has an expected duration beyond the involvement of any individual faculty participant, c) has more than one faculty member involved, and d) requires expertise in more than one discipline or technical area. All of the following conditions must be met in order for the department chair and school dean to approve PI exceptions in such cases:
- The proposed project must be a demonstrably important component of the success of the overall interdisciplinary program, as defined above
- There is no member of the Academic Council or MCL faculty associated with the large interdisciplinary project who is qualified to take responsibility for the scientific direction of the prospective research project
- No incremental space will be required for the project
- For each graduate student participating on the project, a qualified faculty member has been identified to assure that the student's research program and the education derived from it are consistent with the degree for which the student is a candidate
- Exceptions approved under this provision will be reported to the Dean of Research on an annual basis.
What is the process for initiating a PI waiver?
Before submitting a PI waiver, please review the PI Eligibility FAQs. Download the pdf here or see FAQs below.
Do I need an NSF exception?
NSF does not fund FFRDCs. Submission exceptions are requested from the NSF Program Officer for the specific NSF call. You must get this exception before effort is put into applying for a SLAC PI Waiver. Proposals from SLAC, an FFRDC, cannot be submitted to NSF without an exception.
To determine if you will need this exception, please answer the following:
- In your response to the NSF call, are you submitting on behalf of SLAC (an FFRDC)? YES or NO
- If YES, attach the email response from the cognizant NSF Program Officer that has granted the exception for you to submit this proposal from SLAC (an FFRDC) to your PI Waiver paperwork. See NSF Grant Proposal Guide – section on Other Federal Agencies for exception descriptions.
- If NO, are you submitting this through a Stanford University campus department? Provide the point of contact at campus department who will be administratively responsible for submitting the proposal to the NSF.
Staff pursuing PI-ship on grants funded by DOE or non-DOE sources must seek prior management approval by the respective Associate Laboratory Director (ALD), and the Directorate Business Manager must be notified. The Office of the CRO is pleased to offer help and advice (contact OCRO@slac.stanford.edu).
One of SLAC’s strengths is the ability to involve Stanford faculty and Stanford PIs to develop new or contribute significantly to existing research programs at SLAC. To facilitate this interaction, it has become important to provide a mechanism for Stanford PIs to formally integrate into SLAC so they have all of the rights and responsibilities of a SLAC PI. This includes, but is not limited to, the ability to supervise SLAC staff on their funded SLAC programs, obtain the relevant SLAC training necessary to submit proposals and perform work at SLAC, and obtain a SLAC badge.
In order to qualify as a Stanford PI at SLAC, the individual must:
(1) be a member of the Professoriate or have PI privileges at Stanford;
(2) not already have a SLAC appointment; and
(3) have or be expected to develop an ongoing funded program of research or engineering at the Laboratory that contributes to the mission of the Laboratory.
The request for the appointment shall be made by an Associate Laboratory Director (ALD) and sent to the chair of the Laboratory Advancements and Promotions Committee (LAPC) for submission to the Laboratory Director for approval.
The term of the appointment may be up to 5 years with the possibility of renewal. In cases of an initial appointment preceding the development of an ongoing funded program (i.e., one expected to result in an ongoing funded program), an appointment of up to two years may be more appropriate.
This appointment does not impact the individual’s Stanford faculty appointment, or Stanford responsibilities in any way, nor confer any new employment benefits. The appointment is not a SLAC faculty appointment.
The Stanford PI at SLAC responsibilities:
Following all SLAC policies and DOE requirements in executing any awards received through this appointment.
Observing all the training requirements as assigned by the Point of Contact (POC)/Supervisor through the STA process, which will be the same as for SLAC faculty and research staff.
Obtain a SLAC badge.
To ensure the integrity of research performed at the laboratory, SLAC Principal Investigators (PIs) and SLAC researchers intending to apply for outside funding must take additional training.
Principal Investigator Eligibility
Frequently Asked Questions
No. Faculty are members of the Academic Council and have PI Privileges. SLAC faculty are eligible to submit proposals to outside agencies, DOE or Non-DOE, as long as the proposal is in line with SLAC’s DOE mission. Academic Council members include the ranks of Assistant Professor, Associate Professor and Professor, Professor AR, and Professor Research.
It depends. The PI Waiver Process is available for staff in the Science and Engineer Job Series levels 3 to 6. The PI waiver process is unavailable to anyone outside this job series. For staff being reclassified into these job series and with the approval of the lab director and CRO, the PI Waiver Process can be granted during the transition period.
No.
There is usually a standard language in the eligibility section of a funding opportunity announcement (FOA) about DOE/NNSA laboratory. SLAC is a DOE/NNSA Laboratory. If funds come to SLAC DIRECTLY, one will see language such as this:
“Funding will be provided through the DOE Field-Work Proposal System and work will be conducted under the laboratory’s contract.”
If you're not sure, please send an inquiry to your finance team or PAOTeam@slac.stanford.edu.
No, SLAC does not require a PI to submit a PI waiver in this case. However, a PI waiver might be needed by the Sponsored Research Office of the lead institution, such as Stanford OSR. As a result, a PI waiver might still need to be done.
Yes. The same PI eligibility requirements apply to Co-PI-ship as a PI-ship, and a waiver must be processed.
No. PI eligibility requirements do not apply to being a Co-Investigator. Any staff member has the ability can be a Co-I.
Yes, and PI Waiver form is NOT required. However, as with any proposal submission, one needs to receive management's prior approval.
No, unless the research you are leading is part of a large interdisciplinary program, or if the grant is to be administered by the DOE. A PI Exception Form has to be approved by SLAC CRO in the case of a large interdisciplinary program.
For this purpose, a "large interdisciplinary program" is defined as a research program that:
a) is directed by a member of the Academic Council or MCL faculty either at Stanford or at another institute of higher education;
b) has an expected duration beyond the involvement of any individual faculty participant;
c) has more than one faculty member involved
d) requires expertise in more than one discipline or technical area.
Attach documents in the PIW system to illustrate that all of the following conditions must be met in order for the department chair and school dean to approve PI exceptions in such cases:
- The proposed project must be a demonstrably important component of the success of the overall interdisciplinary program, as defined above.
- There is no member of the faculty or staff scientist or engineer levels 3-6 associated with the large interdisciplinary project who is qualified to take responsibility for the scientific direction of the prospective research project.
- No incremental space will be required for the project.
- For each graduate student participating in the project, a qualified faculty member has been identified to ensure that the student's research program and the education derived from it are consistent with the degree for which the student is a candidate.
- Exceptions approved under this provision will be reported to the Dean of Research on an annual basis.
No, see the answer to the question directly above.
Yes. However, you must meet the required Ph.D. year requirement in the FOA, and management approval is required.
Yes. Associate Staff is a fixed-term appointment, thus not “permanent” as the ECA program requires. SLAC has received an exception from the ECA program office to allow Associate Staff at SLAC to participate in the ECA program when the requirement of the Ph.D. year is met.
No. MPOs are DOE-funded activities. Any staff member with the required skills and ability can be a PI or Co-PI.
No. Co-Investigator does not require a waiver. A waiver is required for Principal or Co-Principal investigator only.
Yes. PI waiver or exception requirements apply to SPP agreements.
Yes, because the funding to SLAC will come from the small business. It does not come from DOE, if awarded.
Yes.
The OCRO office requires five business days. Additional lead time is required by the Stanford Office of Research (OSR) and SLAC’s Proposal Advancement Office (PAO). Work with your directorate finance team to start the process early.
Yes. Visit the SLAC Training website.
Required PI Training is under the “Courses Assigned by Director's Office.” The status must show “complete” for each course.
Email OCRO@slac.stanford.edu for additional questions.
The Help Tab of the PI Waiver/Exception Form Management System (PIW) provides additional resources.
