Multiple Principal Investigators on Individual Research Awards

1
Multiple Principal Investigators on Individual
Research Awards

• NIH Implementation Plans and Status Report

2
Rationale

• Traditional single-PI model does not always work
  well for multidisciplinary efforts and
  collaboration
• Growing consensus that team science would be
  encouraged if more than one PI could be
  recognized on individual awards
• Overarching goal maximize the potential of team
  science efforts, responsive to the challenges and
  opportunities of the 21st century.

3
Background

• Recommendations from 2003 NIH Bioengineering
  Consortium (BECON) Symposium, Catalyzing Team
  Science
• NIH Roadmap 2005 initiative to stimulate
  interdisciplinary science http//nihroadmap.nih.go
  v/interdisciplinary/
• Directive from Office of Science and Technology
  Policy (OSTP) 2005.
• Request for Information (RFI) issued by the NIH
  to solicit input on policies and issues of
  special interest to the health-related research
  community 2005.

4
Principal Investigator Definition

• The individual(s) judged by the applicant
  organization to have the appropriate level of
  authority and responsibility to direct the
  project or program supported by the grant.  The
  applicant organization may designate multiple
  individuals as PIs who share the authority and
  responsibility for leading and directing the
  project, intellectually and logistically. Each
  PI is responsible and accountable to the
  applicant organization, or, as appropriate, to a
  collaborating organization, for the proper
  conduct of the project or program including the
  submission of all required reports.
• The presence of more than one identified PI on an
  application or award diminishes neither the
  responsibility nor the accountability of any
  individual PI.

5
NIH Implementation

• Although OSTP issued a directive that all Federal
  agencies should allow multiple PIs on a single
  award, agencies may develop implementation
  policies that are specific to their agency.
• Therefore, many of the following slides describe
  implementation requirements that are specific to
  NIH. For example, the Contact PI and the
  Leadership Plan are specific to the NIH

6
Contact PI

• The multiple-PI option requires the designation
  of a single Contact PI.
• Contact PI is the liaison to NIH, and is
  responsible for
• all communication between the PIs and the NIH
• coordinating progress reports for the project.
• Contact PI must meet all eligibility requirements
  for PI status in the same way as other PIs, but
  has no other special roles or responsibilities
  within the project team beyond those mentioned
  above.
• The role of Contact PI may be rotated among the
  multiple PIs on an annual basis.

7
Eligible Projects/Grant Mechanisms

• Projects or activities that clearly require a
  team science approach and which do not fit the
  single-PI model. Selection of single or
  multiple-PI option should always be based on the
  research proposed.
• Not synonymous with big science. Could
  include as few as two PIs jointly responsible for
  the scientific and technical direction of the
  project.
• No upper limit on number of PIs allowed.
• Initially limited to pilot initiatives. Phased-in
  expansion expected to include full range of NIH
  mechanisms.
• Will supplement, and not replace, the traditional
  single PI model.

8
Eligible Projects/Grant Mechanisms

• Investigators interested in the multi-PI model
  are encouraged to contact and discuss the
  proposed project with an NIH Institute or Center
  program staff member to determine whether a
  multiple PI approach to the project is better
  than the traditional single PI approach.

9
Application Format/Content

• Pilots RFAs and PAs will include special
  application preparation instructions.
• PHS398 has been modified to permit the entry of
  information for more than one PI.
• SF424 electronic grant application form
  http//grants2.nih.gov/grants/funding/424/ can
  already accommodate more than one PI.
• NIH will publish instructions for various
  mechanisms as multiple-PI option becomes
  available for a range of investigator-initiated
  grant mechanisms.

10
Leadership Plan

• Leadership Plan will follow the Research Plan as
  a new section
• Presents the PIs and Applicant Organizations
  proposed framework to facilitate and enhance
  scientific productivity and to protect the
  project in the case of disagreements.
• Describes governance and organizational structure
  of the research project, including
• communication plans, including reporting to the
  NIH funding component
• process for making decisions on scientific
  direction,
• allocation of resources
• publications
• intellectual property issues
• procedures for resolving conflicts
• PIs roles and administrative, technical, and
  scientific responsibilities for the project,
  including responsibilities for human subjects or
  animal studies as appropriate.

11
Budgets for Multiple PI Awards

• Budget allocations to individual PIs will be
  permitted but not required.
• In pilot phase, budget allocations will be
  informal --
• based on decision by the PIs and the institution
  at the time of award
• allocation request will be recorded on the NIH
  Notice of Grant Award in a footnote
• grantee institution can choose to set up internal
  accounts to implement the requested allocation
• accounting within the institution not to be
  reported back to the NIH.
• In the near future, the NIH will explore other
  options for allocation that could include formal
  allocation and tracking of separate accounts
  within an award or the use of linked awards. The
  NIH will seek feedback and advice from the
  research community about such options for
  allocating budgets.

12
Awards to Multiple Institutions

• When multiple institutions are involved, PIs and
  their institutions may either
• use traditional subcontract mode, designating one
  institution as the prime institution and
  requesting funding for the other institution(s)
  via subcontract(s) or
• submit separate but linked or tethered
  applications with a request for separate grant
  numbers (i.e., linked awards).
• The process for requesting linked awards and
  policies for managing linked awards are still
  being developed. Experience gained from the
  first phase of multiple institution applications,
  may be used to modify processes.

13
Peer Review

• The standard five review criteria will be applied
  to multiple-PI applications, with the following
  additional text applied to the Approach
  criterion
• For applications designating multiple PIs, does
  the Leadership Plan ensure that there will be
  sufficient coordination and communication among
  the PIs? Are the administrative plans for the
  management of the research project appropriate,
  including plans for resolving conflicts?

14
Peer Review (contd)

• As in review of traditional single-PI
  applications, peer reviewers will consider
  whether the designated PIs have appropriate
  training and experience to carry out the proposed
  study.
• Inclusion of a weak or inappropriate PI will
  reflect negatively on both the Approach and
  Investigators review criteria
• All PIs on a multiple-PI application are
  responsible for the intellectual development and
  direction of scientific and technical activities
  supported by the grant as a whole. Therefore,
  the PIs role is more critical than that of
  co-investigator or other collaborator.

15
Post Award

• Investigators will have maximum flexibility to
  respond to new scientific opportunities within
  the overall scope of the funded project.
  Tracking and paperwork will be kept to a minimum.
  
• Re-allocation of funds and revisions to the
  Leadership Plan during the project period
• via a joint decision of the PIs
• implemented at the institutional level
• no need for approval by NIH, beyond the normal
  requirements for any grant.
• NIH plans to simply track most revisions through
  the noncompeting continuation (Type 5)
  application, as it currently does for any changes
  to the scientific direction that are within the
  scope of the funded project.
• Policies involving linked awards are still being
  developed.

16
Communications/Reporting

• All named PIs on multiple-PI applications must
  establish accounts in eRA Commons prior to the
  submission of the application.
• All PIs will be able to view summary statements
  and status reports in NIH eRA Commons system
  https//commons.era.nih.gov/commons/.
• NIH requests for information will be conveyed to
  the multiple PIs through the Contact PI.
• All PIs on funded multiple-PI grants will
  eventually be credited through the NIHs
  Computer Retrieval of Information on Scientific
  Projects (CRISP) http//crisp.cit.nih.gov/

17
Web site

• http//grants2.nih.gov/grants/multi_pi/index.htm

18
Timeline

• Multiple-PI option will be available for
  applications submitted in response to selected
  RFAs or PAs with May or June 2006 receipt dates.
• Additional pilots will be conducted in the fall
  of 2006 some of these will test the processing
  of multiple-PI applications submitted
  electronically through Grants.gov.
  http//grants.gov/
• All pilots involving RFAs and PAs will be
  announced through Notices in the NIH Guide for
  Grants and Contracts http//grants1.nih.gov/grants
  /guide/index.html.

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Timeline (contd)

• It is likely that the multiple-PI option will
  become available for most investigator-initiated
  research grant mechanisms submitted for January
  2007 and later application receipt dates.
• This second phase of system development will
  generally follow the implementation schedule for
  the SF424 electronic grant application form,
  which can accommodate the multiple-PI option.
• The second phase of development will include
  consideration of
• Linked awards
• Apportionment of funds to individual PIs
• Recognition of all key personnel
• As part of the implementation process, continued
  advice will be solicited from the extramural
  community.

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Tentative Multi-PI Timeline
Multi-PI Timeline as of March 14, 2006
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Questions?

• http//grants2.nih.gov/grants/multi_pi/index.htm