PI Status Exception Requests

What is PI Status? 

PI Status allows a Berkeley Lab employee, in a career or career-track appointment (unless by exception), to submit a proposal to support research, training, or public service programs or projects in the name of the Lab.

Project Scientist Eligibility for PI Status

Per Article 22 of the UAW Academic Researchers (RA) Contract, and pursuant to Berkeley Lab’s guidelines and procedures, appointees in the Project Scientist series may be eligible to be considered for exceptional Principal Investigator/Co-Principal Investigator status.

By definition, researchers in the LBNL Project Scientist series serve as members of a research team for a limited period of time, do not lead the research, and are not generally eligible to be sole PI. Principal Investigator status, granted by virtue of the appointment held or through exception, is not determinative of the individual's appointment in terms of level or period. All periods of LBNL employment are governed solely by an individual's appointment as approved by a designated Lab official.

PI and Co-PI Exception requests are not typical and will be reviewed on a case-by-case basis. A request should address 1) why a scientist in a career-track or career appointment (e.g., Research Scientist, Staff Scientist, Faculty Scientist, Sr. Faculty Scientist, or  Sr. Scientist) cannot act as PI or Co-PI ; and 2) why it may be appropriate for the Project Scientist to serve as PI or Co-PI on the particular grant, award or contract.

Exceptions may be requested under the following conditions:

• the project is significant to the Lab’s and DOE’s missions;

• the project or program will contribute to the strategic initiatives of the Division or Research Area;

• the individual possesses unique skills, knowledge, and abilities that fulfill the immediate need to lead the proposed project and meet deliverables during the tenure of their appointment. 

Submitting an Exception Request

PI Exception requests will be documented in a memo (template here) and submitted to the Career Pathways Office using this form.

The request must include: 

Description of the Project

1. Funding Agency

2. Description of the proposed project (3-4 sentences)

3. Timing and duration of the project

Individual Qualifications and Rationale

4. Qualifications of the individual, how their participation will benefit the project (include a current copy of the CV)

5. Explain why a Career-track or Career Scientist is unable to act as PI/Co-PI (This explanation should be provided by the Supervisor and/or Division Management) 

Alignment with Division and Lab initiatives

6. Describe how the proposed project will contribute to the existing research programs and/or strategic initiatives of the Division/ Area/ Lab/ DOE

Space, Utilities, and Resources

7. What fund sources are budgeted to provide the balance of the individual’s salary when less than 100% is requested in the proposal or if the proposal is not funded? 

8. Confirm that sufficient space is available and document what, if any,  renovations may be required

9. Confirm and document that  other resources are available to ensure execution (e.g., administrative support, etc.)

Once the request has been submitted, the Career Pathways Office will facilitate (via Smartsheet) the required approvals of the proposed PI/ Co-PI, Supervisor, Division Director, ALD, and Deputy Lab Director for Research. The Career Pathways Office will communicate via the Smartsheet form whether the case has been approved or the reason for the denial. The PI/Co-PI exception request must be fully approved before submitting the applicable proposal through SPO/DOE or before PI/Co-PI designation is assigned for ongoing work. In no event should any work commence before all necessary approvals are obtained.