An internal form has been created to help manage and reconcile FOAPALs (Fund, Organization, Account, Program, Activity, Location) that have ended while project work is still in progress. If a project is continuing under a renewal or continuation and a new FOAPAL is required, this form will help ensure that any unspent funds from the original FOAPAL are carried forward correctly and in full compliance with sponsor terms and conditions. 

It is very important that any unobligated funds awarded for a specific purpose but not spent by the end of the original budget or award period are reviewed and approved. Many sponsors require prior written approval for the use of carryforward funds, as outlined in the award documentation. In addition, the university must have a written internal procedure for approving carryforward funds that do not require sponsor approval. 

This internal review process helps ensure that all carryforward funds are used appropriately and remain aligned with the original goals, objectives, and scope of the project. It also supports proper financial stewardship and accountability at the department level. 

Procedures (in development) 

Form (in development) 

Temple University is committed to ensuring that sponsored research and scholarly activities are conducted by individuals with the appropriate qualifications, institutional affiliation, and compliance awareness. Our policies and procedures outline who is eligible to serve as a Principal Investigator (PI), Co-PI, or Program Director on proposals submitted to external sponsors. It applies to all sponsored project proposals that may result in a grant, contract, cooperative agreement, or other binding funding mechanism. Please note: this policy does not apply to consultant agreements or procurement of goods and services from vendors.

To serve as a PI on any proposal submitted through Temple University’s Electronic Research Administration (ERA) system, individuals must first be granted PI Status by the Office of the Vice President for Research (OVPR). 

PI Status is automatically granted to faculty members who meet all the following criteria: 

• Employed by Temple University at 50% or more full-time effort 

• Hold a doctoral degree and appropriate academic or professional credentials 

• Have an appointment within an academic school or department 

• Hold one of the eligible academic titles listed below

The following faculty titles are considered eligible for automatic PI status: 

• Tenure and Tenure-Track Faculty: Professor, Associate Professor, Assistant Professor, Instructor 

• Instructional Faculty: Professor of Instruction, Associate Professor of Instruction, Assistant Professor of Instruction 

• Research Faculty: Research Professor, Research Associate Professor, Research Assistant Professor, Research Instructor 

• Clinical Faculty: Clinical Professor, Clinical Associate Professor, Clinical Assistant Professor, Clinical Instructor 

• Professor Emeritus 

Programs specifically designed for students or postdoctoral fellows (e.g., fellowships or dissertation grants) are exempt from the general eligibility policy. In these cases, the student or fellow may be listed as the applicant, but a faculty sponsor must be designated to provide oversight and supervision. 

In certain circumstances, individuals who do not automatically qualify for PI Status may request an exception. These exceptions may be granted on a project-specific basis or as a blanket waiver valid for up to three years, enabling the individual to submit and manage multiple proposals during that period. 

To request PI Status, individuals must submit a Request for Principal Investigator Status Form, approved by their Dean or Designee and reviewed and approved by the Vice President for Research. 

Examples of qualifying exceptions include: 

• A qualified administrative staff member directing a specific program 

• A faculty appointment contingent upon receiving funding 

• A visiting scholar or scientist with a sufficient appointment duration and institutional interest 

• A faculty member in transition to Temple who has not yet received an official start date 

All requests are reviewed on a case-by-case basis and require appropriate supervisory and institutional approval prior to proposal submission. 

Request for Principal Investigator Status Form (PI Waiver Form) 

PI Eligibility Policy

PI Eligibility Procedure

An Advance Account allows Principal Investigators (PIs) to incur expenses on a project before the University receives any official award documentation, including new awards, continuations, or no-cost extensions (for continuations). We require the Advance Account form for all new and existing accounts if there is no official award documentation from the sponsor. It is important to note that Advance Accounts are considered at-risk accounts. If the award is not ultimately received, the College or Department will be responsible for all charges incurred. 

There are also specific limitations on Advance Accounts. The maximum duration is 120 days, and the maximum allowable advance is 25 percent of the estimated total project cost. It is the responsibility of the PI to ensure compliance with these limitations. By signing the request form, the PI affirms their responsibility for the scientific conduct of the project and confirms that no work requiring protocol approvals (IRB and IACUC) and as noted above, the COI approvals will occur unless these approvals have already been obtained. 

To initiate an Advance Account under the revised process, the Advance Account form must be fully completed and signed and any supporting documentation should be included as applicable. 

If you have any questions about the revised process, please contact the PreAward Specialist assigned to your School or College. 

Form

Awards granted to Temple University by Sponsors rely on the expertise of the Principal Investigator (PI) overseeing the project. If the PI becomes unavailable due to a change in focus, leave of absence, or position change, Sponsors must be promptly notified in writing by the Division of PreAward. Certain agencies, like the NSF and NIH, require institutional signatures or electronic submissions for these notifications. This ensures the Sponsor can determine whether another Temple PI can fulfill the project's objectives or if the project should transfer with the PI to another institution. Failure to notify Sponsors can result in significant financial and compliance issues for both the department and the University. 

If a PI plans to leave an organization during the awarded period of performance of a grant and/or contract, the organization has the prerogative to nominate a replacement PI, request that the grant be terminated, or transfer the grant to the PI's new organization. Replacement PIs are subject to sponsor’s approval. In those cases where a particular PI's participation is integral to a given project and the PI's original and new organizations agree, a grant transfer request shall be submitted via the sponsor’s system and/or e-mail.  

This process should be completed at least three (3) months before the award transfer date, but no less than thirty (30) days prior to the PI's departure from Temple University. 

The Departing PI - Award Disposition Notification form facilitates notifying the PreAward division about a PI’s departure from Temple, whether for internal transfers, external transfers, or award terminations. This form should be initiated as soon as departure details are known. For questions or assistance, departments can consult their assigned PreAward staff. Further details and specific guidance can be obtained based on the type of award transfer needed. 

Incoming award transfers occur when a PI brings a sponsored award to Temple University from another institution. The previous institution must notify the Sponsor of the transfer intent, and the PI must submit the necessary documentation to formally request the award’s transfer. Transferring a PI's awards, whether incoming to Temple or outgoing to another institution, involves collaboration with the Research Administration Office to ensure eligibility and compliance throughout the process. Close monitoring of expenses during this transition is critical to avoid unallowable charges that may be scrutinized by Sponsors or auditors. 

Procedure

Form

PI Transfer Checklist

Proposal Deadline Waiver