These guidelines provide clear eligibility criteria, mandatory conditions and an assessment process for grade 7 and 8 research staff seeking to be named as Principal Investigator/Project Lead (PI) or Co-Investigator/Project Co-Lead (CI) on externally funded projects.

Our aim is to empower our early career researchers by supporting their career development and employment opportunities. This is key to building a positive research culture and also supports the University of Bath’s commitment to the ‘Concordat to Support the Career Development of Researchers’ and our ‘HR Excellence in Research Award’.

This guidance does not change the University’s expectations of a grade 7 research role or responsibilities, and has simply been introduced for those who wish/are ready to take this next step.

Scope

Who is eligible to apply through this process?

This process applies to Grade 7 and 8 research staff (typically postdoctoral research associates and research fellows) at the University of Bath.

It should be used by those who are looking to apply for a specific funding opportunity as PI/CI and not to apply prospectively for PI/CI status. However, it is possible that approvals resulting from the process may stand for future applications.

It does not apply to other non- ‘Education & Research’ staff (e.g. technical, teaching-only, or professional services roles) and separate guidance is being explored for these staff groups.

Definitions

PI (Principal Investigator/Project Lead): The individual responsible for the intellectual leadership and overall management of a research project to deliver its objectives, including managing resources, finances, contractual and compliance obligations. They are ultimately accountable to the funder.

CI (Co-Investigator/Project Co-Lead): A key member of the research leadership team who supports the PI in managing, developing, and executing the project. While they may take on delegated responsibilities, they are not ultimately accountable to the funder.

Researcher CI (Researcher Co-Investigator/Co-Lead): A role offered by some funders for researchers who are not yet ready or eligible to take on full PI or CI responsibilities, often due to career stage or contractual limitations. More information on how the Researcher CI role applies to UKRI standard proposals is available on UKRI Funding Service. This role allows meaningful leadership involvement in larger or more complex projects without requiring full project accountability. Researcher Co-Lead status is particularly suitable for those on fixed-term contracts or with limited time availability, and may come with more flexible funding arrangements (e.g. full-time posts). It should be considered a priority where available and appropriate.

Career readiness assessment

The first stage of the process is to assess career readiness, which, in the first instance, is based on grade:

• grade 8 and above: Automatically eligible to apply as PI or CI. No assessment of career readiness required
• grade 7 applying to a scheme specifically targeted to this career stage (e.g. fellowship or small travel grants): Automatically eligible to apply. No assessment of career readiness required
• grade 7 applying to another scheme: (1) Must complete the PI/CI Readiness Questionnaire (see Assessment Process) the first time they wish to be named on the application as a PI or CI (and potentially again after, dependant on the outcome) or (2) can be included as ‘Researcher CI’ at the discretion of the PI subject to all ‘mandatory conditions’ below being discussed and explicitly agreed with a line manager.
  

Mandatory conditions

In all cases, the following mandatory conditions apply:

• funder rules will always take precedence where they are narrower than those that are set out above. For example, some funders may specify additional qualifications/ employment contracts in their eligibility criteria
• where a successful application would require release from existing commitments, a line manager must always agree
• applicants must confirm that the terms of their current funding allow them to apply (e.g. a fellowship is likely to state 100% of their time should be spent on the fellowship) and seek funder approval where necessary
• no individual can be employed at the University for more than 1.0 FTE
• contracts of employment beyond existing fixed-term posts will only reflect the level of FTE for which funding has been secured. This means your employment contract may change
• being included as a CI on a project does not automatically entitle colleagues to step up as a PI, should the PI need to take time away from the project/leave the University. However, some funders expect this and as such this may form part of the decision on CI suitability

Further recommendations

It is strongly recommended that individuals consider:

• where projects are of a significant size/value (determined by the discipline/ department), a second Bath CI is considered by the team to ensure appropriate mentoring/ support and for risk mitigation purposes
• you engage with local peer review processes/ Directors of Research/ mentors to consider the application’s fit to the funding scheme, and whether there are sufficiently experienced staff named on the project to ensure its success
• being listed as a PI/CI on a project may have an impact on your eligibility to apply for other schemes (e.g. New Investigator Awards, some Fellowship schemes where eligibility to apply is only for those who have not held a significant grant previously or demonstrated their research independence) – please consider whether you intend to apply for these and potential impacts this may have on future funding strategies

Assessment criteria

Where an assessment is required, the focus is on an individual’s research and leadership capabilities and ensuring the University can fulfil its responsibility to funders.

The following criteria will be used:

1. Appropriate demonstration of the Mandatory conditions: Considers any potential implications and includes details of appropriate mitigations/ confirmation of any necessary approvals.
2. Defined area of research/identity: Reflects a clear research area and trajectory, as well as investment in developing their research identity.
3. Research experience: Shows involvement and experience in externally funded projects and high-quality outputs appropriate to the role applied for. Reflects solid experience but does not require prior leadership of major initiatives.
4. Leadership and management experience: Demonstrates active involvement in project delivery and some leadership experience. Reflects growing responsibility and/or engagement with formal training.
5. Professional network: Shows development of purposeful academic and partner networks and outlines practical ways to engage collaborators.
6. Responsible research, ethics & integrity: Shows a sound understanding of (and is clear how their work addresses) research integrity and ethics, responsible research and innovation, and trusted research. Demonstrates compliance with mandatory training requirements (e.g. EDI and Research Integrity training).
   

Examples of how to demonstrate you meet the criteria can be found in Table 2 of the Assessment Matrix guidance

Assessment process

The following process should be initiated and completed promptly, with sensitivity to internal and external deadlines:

Initiation: Applicant identifies a suitable funding opportunity and drafts their responses to the PI/CI Readiness Questionnaire

Discussion: Applicant discusses their readiness with their line manager (or a mentor for risk mitigation/support) and:

• gains line manager approval to be released from any existing commitments, should the application be successful
• discusses any impact on contracts (i.e. that contracts of employment beyond existing fixed-term posts will only reflect the level of FTE for which funding has been secured)
• discusses any impacts on eligibility for future schemes (e.g. New Investigator Awards). Advice can be sought from the Research Development Team in RIS
• discusses any risk mitigation/support needs (e.g. if becoming a first-time PI on a major grant)
• if line manager support is not received, please let us know using this no-reply anonymous form or contact PICIapprovals@bath.ac.uk for advice

Submission: With line manager support, applicant completes the PI/CI Readiness Questionnaire which will automatically be sent to the relevant Head of Department* for consideration.

Consideration: The Head of Department* considers whether the application meets the criteria above. If the criteria are met, the Head of Department* will also identify any:

• strategic considerations (and escalate to the Associate Dean for Research for approval if so); and
• financial considerations e.g. a financial cost of making the decision (and escalate to the Dean for approval if so)

Decision: The Head of Department* will make the final decision within 1 week, and will communicate one of the following outcomes to the applicant using the PI/CI Readiness Outcome form which will be emailed automatically.

• Full approval: Eligible as PI/CI for all future applications (Note: if approved as CI, an additional assessment will be required to become a PI)
• Conditional approval: Eligible as PI/CI with specified conditions (e.g. based on project size/presence of collaborators)
• Not approved: Feedback provided. The applicant has the option to appeal the decision under the Appeals process, should they wish

Appeals: Applicants may appeal if they were not approved for PI/CI status and: - believe the decision did not fully consider their evidence or circumstances; or - have addressed feedback and wish to submit a revised case

* For School of Management: the Dean will act in place of the Head of Department. In some cases, the Head of Department may have delegated authority. Check the approver for each department here.

Appeals process

To appeal, the applicant should complete an Appeal Form within 10 working days of receiving their outcome, including a short statement outlining the grounds for appeal.

In all Faculties except the School of Management*, the PVCR (or APVCR as representative) and Faculty / School Associate Dean for Research will review appeals - together with the original application and Head of Department feedback - and notify the applicant of one of the following outcomes within one week:

• uphold original decision (with further feedback)
• approve PI or CI status (with or without conditions)

* For School of Management: appeals will be reviewed by the PVCR only

Decisions made through the appeals process are final. Individuals may reapply via the process for future funding opportunities after a recommended window of 3-6 months, but not for the same funding opportunity.

Record keeping

Outcomes will be stored in a central repository.

To check whether a candidate already has approval, please contact PICIapprovals@bath.ac.uk.

In the future, we hope to deliver online access for Heads of Department to be able to view their department’s past applications and outcomes – timescales to be confirmed.

FAQs

FAQ 1: Will approving a Grade 7 staff member as a PI/ CI impact our REF submission?

No. Decisions on how we categorise staff contracts for HESA or research volume measures do not affect decisions on an individual’s role, career, progression or ability to contribute to REF submissions (and vice versa).

FAQ 2: Is being a PI now an expectation of Grade 7 staff?

No. Grade 7 research staff are not, by nature of their contracts, expected to lead research projects. However, where suitable opportunities arise, and individuals have demonstrated readiness, this process makes leading a grant a possibility for development.

FAQ 3: My department isn’t listed in the form, what do I do?

All academic departments are listed. If you are in a non-academic department, like a research institute or core research facilities, you will need to find a ‘host’ academic department for your project. This is because non-academic departments or institutes cannot currently host research funding directly.