Principal Investigatorship at SLAC
The Principal Investigator's Role
The Principal Investigator (PI) or co-principal investigator (Co-PI) is a privilege provided to 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.
Stanford Research Policy grants all faculty the privilege of being principal investigators of sponsored research projects.
Follow the section below to understand the designation of PI or Co PI at SLAC.
SLAC Principal Investigator Eligibility
At SLAC, if the work is funded by DOE and the funding comes to SLAC directly, then any employee, regardless of job title, is PI-eligible.
For grants funded by other agencies, external sponsors including SU seed funds, Stanford’s principal investigatorship policy applies. This policy grants PI-ship to SLAC staff in certain employment categories via several exceptions to the PI eligibility 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 information, policy, and guidance on PI eligibility and criteria for exceptions and is summarized below. An informational resource on Stanford RPH with SLAC-relevant summaries is available in the collection of link buttons further below.
PI-Ship Information
Who is eligible to become a principal investigator at SLAC?
Based on RPH section 2, these categories to PI eligibility are relevant to SLAC employees.
- Regular continuing SLAC scientists or engineers levels three to six (RPH 2.2.C): PI requests are subject to the following conditions:
- The proposed research must be judged by the SLAC Director to be programmatically relevant to SLAC’s mission. Proposals that are not deemed to be consistent with SLAC’s mission will not be approved.
- The proposed research must be carried out on the SLAC site and not require utilization of space on the Stanford campus.
- A member of the Academic Council must serve as mentor for any Stanford graduate students or postdoctoral scholars involved in the proposed research.
- The research must be conducted in accord with the University’s policies concerning the conduct of research and approved PIs must receive PI training.
- Specific projects which are part of large interdisciplinary programs (RPH 2.2.B.2): The PI exception 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). For this purpose, a "large interdisciplinary program" is defined as a research program which: a) is directed by a member of the Academic Council, 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 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 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 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.
Conferences, Exhibits, Workshops or Public Events (2.2.B.1): Researchers who are not faculty or continuing Sci/Eng Levels 3-6 may be approved to serve as PIs on sponsored projects whose sole purpose is to fund short conferences, travel, exhibits, workshops, or other public events of a character appropriate to the University.
To submit a PI waiver under this exception, please follow this guidance (SU login required).
Career Development Awards (2.2.B.3): Researchers who are not members of the Academic Council faculty or continuing Scientists/Engineers Level 3-6 may be approved to serve as PIs on a class of projects generically referred to as Career Development Awards, whose stated purpose is to advance the individual's scientific career. Such petitions may be approved if the project is to be carried out under the mentorship of an established faculty investigator whose expertise is within the overall intellectual scope, and if the project can be conducted without the need of any additional resources. Often in these cases the awards cover only the individual's salary and incidental expenses, but not incremental staff or students. Career Development PI Waiver requests are subject to the following:
- Written approval of a faculty supervisor, the relevant department head, and the CRO.
- A guarantee of space and resources for the duration of the grant by the department head.
- The understanding that the grant may not, under any circumstances, support a graduate student. If the grant will have funding to appoint a postdoctoral scholar, the waiver recipient would be responsible for the day-to-day research supervision of the work of the postdoctoral scholar; however, the overall career mentoring of the supported postdoctoral scholar would be the responsibility of an Academic Council faculty member.
To submit a PI waiver under this exception, please follow this guidance (SU login required).
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.
Keck Foundation Awards
The Keck Foundation (KECK) sends out bi-annual funding calls. Here is the link to additional information regarding this award: Research: Overview - W.M. Keck Foundation. For SLAC-specific information, please see the Keck Foundation Awards FAQ resource here.
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 continuing 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 Office of the Vice Provost and Dean of Research (VPDoR). 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.
Please contact OCRO@slac.stanford.edu to obtain a PI eligibility approval letter.
Yes. A SLAC non-faculty continuing Scientist or Engineer level 3-6 can be a PI or a Co-PI on a project funded by the W. M. Keck Foundation. A PI Waiver is required.
No, unless the research you are leading is part of a large interdisciplinary program, or if the grant is to be administered by DOE. A PI Exception Form must be approved by the SLAC DDS&T/CRO in the case of a large interdisciplinary program.
For this purpose, a "large interdisciplinary program" is defined as a research program which: a) is directed by a member of the Academic Council or University Medical Line 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, and, 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 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.
Yes. Please see the Career Development Award PI Waiver Form template (SU login required) and email OCRO@SLAC.stanford.edu for additional guidance.
Yes. Please see the Conferences & Workshops PI Waiver Form template (SU login required) and email OCRO@SLAC.stanford.edu for additional guidance.
Our PI-ship web page lists three exceptions for non-faculty staff outside of the SLAC Scientist or Engineer levels 3-6 series. If your project does not meet the criteria of one of the exceptions, we have a limited and rare exception process for those PIs. Lab Director and ALD approvals are both required for this exception. Please email your inquiry to OCRO@slac.stanford.edu.
Email OCRO@slac.stanford.edu for additional questions.
The Help Tab of the PI Waiver/Exception Form Management System (PIW) provides additional resources.
