PI IssuesCase studies based on the real experiences of PIs

These case studies and scenarios demonstrate the diversity and complexity of the issues that PIs typically have to deal with. They have been provided by a number of PIs from different institutions in the UK. Each case study/scenario includes:

An overview which sets the scene Links to supporting materials within these online resources A question or questions for PIs, to prompt discussion on how the situation

might be addressed A list of suggested responses from other PIs

The materials are suitable for use as a stand-alone resource or incorporation into face-to-face training events, such as those on recruitment and selection.

We are extremely grateful to the PIs who have submitted these case studies. If you reproduce or amend these case studies for use in other formats please acknowledge their contributions.

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Leading Your Research Team

Leadership The Post-Doc as the expert Time for writing up research results Managing fractional workers Project running behind schedule Project management Co-operative Research?

Team Development Apprenticeship & grant bid writing Project management Taking the easy option? Making the choice Co-operative Research?

Legal & Ethical Issues

Recruitment Selection Making the choice The Vanishing Postgraduate

Selection Selection Making the choice The Vanishing PostgraduatePublication & Authorship Authorship Time for writing up research results

Developing Your Researchers

Staff Review/Appraisal Career development & appraisal

Motivation Authorship Apprenticeship & grant bid writing Matching the contract to the demands of post Taking the easy option? The Vanishing Postgraduate Time for writing up research resultsManaging Performance Time for writing up research results Project running behind schedule The Vanishing Postgraduate Managing fractional workers Taking the easy option?

Your Research Career

What’s expected of a PI? The Post-Doc as the expert Poacher turned gamekeeper

Strategic Planning Poacher turned gamekeeper?

Research Finances Apprenticeship & grant bid writing Matching the contract to the demands of post

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Authorship 3

Apprenticeship & grant bid writing 4

Career development & appraisal 5

The Post-Doc as the expert 6

Time for writing up research results 7

Managing fractional workers 8

Project running behind schedule 9

Poacher turned gamekeeper? 10

Project management 11

Matching the contract to the demands of post 12

Taking the easy option? 13

Making the choice 14

Co-operative Research? 15

The Vanishing Postgraduate 16

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Case study - Authorship This case study addresses issues relating to:

Motivation, PublicationsIt considers how the choices you make regarding authorship of publications impacts on the motivation of your researchers.

Scenario - Authorship Cassie is an experienced researcher who drafted the grant bid providing funding for a 3-year ESRC project – in the days before CRS could be named as Co-Investigators. She carried out all the fieldwork, engaging in planning and some of the analysis collaboratively with the two Investigators before going on maternity leave for 6 months. When she returned she found they had written a paper for publication describing an aspect of the findings but she was not named as an author. When challenged, her colleagues replied that their view was that authorship should primarily reflect contributions to the writing up, and there would be other authorship opportunities for her.

What impact is this likely to have on motivation (and which motivational needs are not being met)? Could it have been handled better?

PI ideas - Authorship To avoid de-motivation (and ensure motivational needs are being met) the PIs could…

Ensure that it is made clear to the team from the outset who will be named on publications resulting from a research project.

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Case Study - Apprenticeship & grant bid writing This case study addresses issues relating to:

Motivation, Team Development, FinanceIt considers how you can plan work whilst motivating team members.

Scenario - Apprenticeship & grant bid writingThomas (PI) treated Jenny as an apprentice in the grant writing process when they undertook to prepare a series of bids over a period of several years. The first time Jenny made a small contribution by preparing a short section describing results of their recent work which would be built on. The next time they divided up the sections of the bid, with Jenny taking on those she felt comfortable drafting and the PI and a colleague taking on the lion’s share. In both cases, she received feedback on how far her draft met their own aims along with both the Research Council’s agenda and peer reviewers’ priorities. Being involved in discussions about shaping and refining all sections helped her to learn what was required in terms of a coherent and rigorously formulated bid, and how to take account of previous reviews judiciously. She thereby developed a notion of how to ‘play the game’ and after a couple of near misses with further collaborative bids, went on eventually to become a co-Investigator and finally a PI herself.

What are the advantages of the approach to bid writing taken?

PI ideas - Apprenticeship & grant bid writingAmong the advantages of the PI taking this approach to grant writing are…

A well-planned approach to grant writing.

The development of the grant writing skills of individual members of the research team, which benefits the team as a whole.

The researcher feels ownership for the project.

The researcher is clear about their responsibilities and contribution to the grant writing process.

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Case Study - Career development & appraisalThis case study addresses issues relating to:

Staff review, motivation It considers factors to take into account when allocating precious research time to the personal development of team members.

Scenario - Career development & appraisalJames: "The most helpful thing that I would want from a PI is an informal appraisal shortly after starting a post, say 3 months into it, to identify skills needs, confirmation that you are working to the expected standard, etc., and then at suitable intervals - 2 years is the suggested time, but I think that is a bit long - many research contracts are a lot shorter than that. Finally, towards the end of a contract, say 4 months prior to the end, it would be useful to have a discussion with the PI about contracts that the Faculty is hoping to submit/gain, and to have the chance to express an interest, or to be put in contact with whoever is writing the proposal."

What are the advantages (and disadvantages) of such an approach? Is it an appropriate use of precious research time?

PI ideas - Career development & appraisalAmong the factors a PI may wish to consider in adopting such an approach to personal development are…

Providing diversity in the allocation of tasks and responsibilities to benefit the individual researcher.

Agreeing with the individual at the outset what type of staff review process would best suit their needs and requirements.

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Case Study – The Post-Doc as the expertThis case study addresses issues relating to:

Leadership, motivation, expectations of a PIIt considers the implications of leading projects in which individual Post-docs (rather than the PI) may be the experts on specific aspects of the research.

Scenario – The Post-Doc as the expertA conversation between four Post-Docs…..Petra: “Ed (PI) does data collection, he goes into schools, he knows what the issues are but also how long things actually take, which some PIs don’t.”

Matilda: “I’ve shown my PI how to use NVIVO and SPSS, and he has a much better idea now of what analysis and data processing actually entail because as a new researcher he had no idea. He said ‘does it really take this long?’!”

Anna: “My PIs have both been very hands-on, getting stuck into interview and video analysis for hours and hours for example. It really is helpful to work with them in this way so you are all au fait with the data and can collaboratively construct a coding scheme which benefits from everyone’s input and perspectives.”

Amy: “I’ve been using this new data analysis software on my computer and it took me such a long time to convince Mark (PI) and Suzanne to come and work on it because they need to know how it works and how much time I spend working on it. He kept saying ‘go and do this and this on it’ and I’d try that and it didn’t work and we lost 4-5 weeks analysis time, and when I tried to explain to Mark why it didn’t work he wouldn’t get it because obviously he’s not familiar with the software. If he had just sat down with me for 1 hour... and now he’s finally done that and he’s realised the software is a lot more complicated than it seems. Also when my contract ends then I might be out of here and someone else needs to know how it works. He was good about data collection, he went into schools and everything, but when it comes to analysis, he doesn’t get his hands dirty!”

What are the issues involved in leading teams in which the Post-Doctoral researcher rather than the PI is the expert on aspects of the research?

PI ideas - The Post-Doc as the expertAmong the issues involved in leading teams in which individual Post-Docs, rather than the PI, are the experts on aspects of the research are…

Considering how much expertise a PI should have.

Working in partnership with your researchers in relation to their skills and expertise.

Having realistic expectations of what can be achieved in a given time especially when you are not an expert in that area yourself.

Being honest about your own knowledge in a particular area, particularly if you are asking members of your team to perform a specific task for which you don’t have the expertise.

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Case Study - Time for writing up research resultsThis case study addresses issues relating to:

Leadership, Publication, Motivation, Managing PerformanceIt explores issues to consider when accommodating workload that may not form part of your current research project.

Scenario – Time for writing up research resultsA conversation between three research staff….Jo: “We finally got the paper accepted and I had spent quite a lot of time on it whereas I’m actually employed full-time on a different project now. John, my new PI asked why are you doing this now? He suggested I do writing at weekends. I don’t mind doing some in my own time because I need the publications, but I shouldn’t have to feel like that. The two project directors are now on study leave and they’ve taken two terms off to do the writing.”

Janet: “In my previous institution we were entitled to apply for discretionary study leave (up to 2 months/year as for academic staff) and this was usually granted if it was for genuine academic activity and if the PI supported it. Some were more resistant than others. But how else can we get some publications since writing up is never finished when the grant ends, and once you’ve gone, the PIs write up papers themselves and might leave your name off?!”

Lucy: “Writing up time needs to be written into the grant bid to start with and PIs need to earmark key areas of writing responsibility for those researchers who are able to take them on.”

What responsibilities does a PI have to ensure that the research results are written up for publication within the project life-time? What contributions can they expect of their previous and new research staff?

PI ideas - Time for writing up research resultsAmong the issues PIs should consider are…

Getting as much of the research as possible written up during the funded project period, even if this does not include the final results. For example, literature reviews, methodologies.

Ensuring that it is made clear to the team from the outset who will be named on specific publications resulting from a research project.

Acknowledging that experienced researchers may have publications in preparation from previous research projects and discussing strategies for helping them achieve these.

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Case Study – Managing fractional workersThis case study addresses issues relating to:

Leadership, Managing Performance, MotivationMany research and technical staff are shared across a couple or even three different research projects. They may also have teaching responsibilities or be writing up publications from previous projects. Management of fractional workers is a complex skill and care needs to be given to ensure that they are not constantly pulled in different directions by competing demands and different PIs. This case explores issues to consider when individual team members work for your project on a fractional basis and have competing demands on their time from other projects or activities.

Scenario – Managing fractional workersJill: “I’m finding juggling two different projects quite difficult. Both projects demand equal amounts of work and if I spend a couple of days on one I get the feeling that the other PI feels a bit, not let down but ‘where’s my project going, have you done this, have you done that’, where they both well know that you’re working on another project, you’re not sitting there wasting your time. When you’re working on one project you get emails from the other one and if you reply you get more and you end up spending 2 hours not working on the project you’re supposed to be working on. Sometimes I go straight from one team meeting to another team meeting and it’s just really difficult. PIs are involved in many different things themselves so they should be able to empathise...”

How can a PI manage the workload of fractional workers to help them cope with the competing demands of other research projects?

PI ideas– Managing fractional workersAmong the ways a PI can manage the workload of fractional workers to help them cope with the competing demands are:

To meet with the member of staff and their other PIs to discuss their respective requirements and agree a suitable way forward.

By ensuring communication between the different PIs and not just the shared member of staff.

By identifying specific days or periods when the members of staff will work specifically for one of the projects.

By acknowledging that there are times when the member of staff will not be able to contribute immediately to requests.

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Case Study - Project running behind schedule This case study addresses issues relating to:

Leadership, managing performanceIt considers some of the reasons why research projects may fall behind schedule, and how PIs can address these.

Scenario - Project running behind schedule Ed is the sole Research Associate on a project. He prefers to work independently but can be easily distracted into other areas. Additionally, there have been some legitimate health issues that have meant he has had to have time off work and resulted in a corresponding reduction of productivity. As a result the project is now three months behind schedule, with only three months left to run.

What can the PI do to ensure that the project can reach a successful conclusion?

PI ideas: Project running behind schedule Among the ways the PI can ensure the project reaches a successful conclusion are by:

Discussing the issues and problems with the RA in a constructive manner.

Defining and agreeing a plan of work with the RA with realistic goals and frequent reporting to the PI

Discussing the health issues and organising support for these if possible - if necessary reducing the RA’s participation in the project and exploring other options.

Contacting the institution and funding body to see if they can provide any guidance, particularly given the health issues.

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Case Study - Poacher turned gamekeeper?This case study addresses issues relating to:

Expectations of a PI, Strategic PlanningIt considers some of the complex issues and demands that accompany success as a PI.

Scenario - Poacher turned gamekeeper?A new research team has undergone very rapid growth, from 2 to 12 people over a short period of time. Its research is in a ‘politically attractive’ area, where funding is readily available for novel world-class research. The group has recently relocated to a new physical environment that has a number of serious snagging issues that take up a lot of the PIs time. The PI was previously a member of the group, having been promoted rapidly since graduating with a PhD. He feels that he is still perceived as a PhD student by some members of the department. Very little administrative or technical support is available to support him or his team.

What can the PI do to address all these issues. Could any of them have been avoided?

PI ideas: Poacher turned gamekeeper?Some ways in which the PI might address these issues include:

Undertaking management training.

Delegating specific tasks to other members of the team.

Identifying a long-term research strategy and goals which include consideration of future resource requirements.

Building in the costs of administrative and technical support into future bids.

Seeking support from the institutions’ estates department regarding the physical environment.

Requesting an increased level of general support from his line manager.

Considering more clearly about how their time is apportioned when submitting bids under Full Economic Costing.

Recognising that as a leader of a large team they will have less time for hands-on research.

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Case Study - Project managementThis case study addresses issues relating to:

Team Development, Leadership, MotivationIt explores the extent to which and how PIs should manage research staff.

Scenario – Project managementKaty: “In my experience working on a large project, it was very much, ‘Oh you seem to know what you’re doing, you’re getting on fine, we’ll talk to you in 3 months’! In fact we stopped having team meetings because the project directors were always arguing with each other. I think we didn’t get the most out of that project because we didn’t have discussion about where we were going so it became ‘my idea’ without any reflection or justification.”

Nadine: “And that bouncing of ideas is critical.”

Katy: “Without management you lose time because you go down a blind alley whereas a 10-minute conversation would have stopped you wasting a whole week. My current PI and I talk every day, he’s really keen to be involved.

Eloise: “I always find regular meetings or informal contact so helpful; communication is central to a good PI-researcher relationship – responding quickly and willingly to queries, talking through ideas and planning together, and not handing down directives but discussing and negotiating the way forward at each stage.”

What insights do these comments from experienced research staff give you as to how you might manage your project in future?

PI ideas - Project managementPIs may wish to consider …

The frequency with which they meet with their researchers.

The need for research staff to feel that their work is valued and that the PI is involved in the project.

The importance of ensuring researchers feel they can contribute to the decision making process.

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Case Study – Matching the contract to the demands of postThis case study addresses issues relating to:

Recruitment, FinanceMany projects budget for staff to work on a fractional basis. This resource explores some of the issues these staff can experience if the demands of the post have not been clearly evaluated.

Scenario – Matching the contract to the demands of postEileen: “On one project I’m supposed to do 7.5 hours/week but there’s really nothing I can get done in that time, I’m spending 14 or 15 hours. I can’t really blame them because they made it very clear that they’re only going to pay me for 7.5 hours, but then they give me jobs that they know will not fit in... What I find most frustrating is the financial aspect of it – I just don’t understand how they came to that particular number... the decision behind it needs to be made more explicit.”

Leslie: “How is it decided what percentage a particular job is? And who decides? Because it does seem to be completely arbitrary. I was taken on for 0.5 and then later X was suddenly taken on for another 0.3! It seems like there’s a budget and then they have to try and fill it, instead of actually thinking what the workload is!”

Dina: “These issues need to made clear at the point when a bid is put together. ‘Full Economic Costing’ should mean a realistic appraisal of what the project itself will involve and the staffing required and everything else.”

Jo: “There was a difficult situation with Project X where they advertised either for an Assistant or Research Associate, and if it was an Assistant they could have them 3 days a week and if it was an Associate they could have them 2 days a week! They’re actually different jobs but they decided they would basically see who came along and employ them... A PI should know what kind of a job they want their people to do.”

How do PIs generally come up with the number of hours a particular role involves? Are there better ways of judging this?

PI ideas – Matching the contract to the demands of postPoor practice typically involves:

Calculating the fraction accordingly to the funding limit or what is left in a particular budget

Having an individual in mind to do the job and setting the fractional contract to meet their other commitments

Under-budgeting to appear competitive at the grant review stage

Having a poor understanding of what the job actually involves

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Case study - Taking the easy option?This case study addresses issues relating to:

Recruitment, Team Development, Managing PerformanceIt considers the implications of taking on research staff without going through the appropriate recruitment process.

Scenario - Taking the easy option?A colleague has recommended an existing post-doc to work on your new project. You have a good relationship with your colleague so agreed. Six months later, the post-doc has produced no data and is obviously not performing. The person was not undergoing a probationary period, so could not dismiss easily.

What should you do? How could this have been avoided?

PI ideas: Taking the easy option? The situation should not have been allowed to drift for six months. The PI needs

to be picking these things up earlier.

Appropriate actions should have been taken to encourage the person back into the fold. If all actions have been exhausted then you may need to go down the redundancy route.

This has significance for recruitment issues. It is important to get people assessed properly against an appropriate job specification, rather than appoint people purely on a hearsay basis.

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Case study - Making the choiceThis case study addresses issues relating to:

Selection, Team Development, MotivationIt considers the process by which existing researchers might be selected to work as members of a project team.

Scenario - Making the choiceA new research project is about to start with a position for one full-time researcher designated in the project budget. Two existing members of the research team - Matthew and Sharon - have expressed a desire to work on the project. Both are strong candidates and will be remaining as members of the current research team after any decision about recruiting for the researcher position on the new research project has been resolved. This could be problematic for the dynamics of the wider team.

How should this situation be managed?

PI ideas: Making the choiceTwo possible good outcomes are required and this would take a lot of talking and negotiating.

Make a fully-reasoned decision by having a transparent interview process to a precise job specification. One of the two people (person A) could then be appointed and managed. Hopefully, person B would be understanding of the decision, as it was a transparent process. They should be actively encouraged by the PI. Perhaps a further project could be built around person B to get them to feel valued.

Investigate the possibility of dividing the project into some form of job-share. This would put more work onto the PI to manage the process. When advertising posts it is possible to include a statement along the lines, “Whilst this intended as a full time post, other arrangements will be considered.” This provides flexibility to consider job-sharing or if the ideal candidate is only able to apply for a slightly different fraction of the post. If you are not explicit that such flexibility is possible, then some potential applicants may exclude themselves from the process.

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Case study - Co-operative Research? This case study addresses issues relating to:

Leadership, Team DevelopmentIt considers the issues arising from co-leading a multi-institutional project with conflicting priorities.

Scenario: Co-operative Research? A research project is being conducted jointly between two universities and a collaborating company. The project is coordinated by a project manager from the company. You are the PI at your institution and have a colleague in a corresponding position at the other institution. The funder has issued each institution with a separate research contract. You feel the project manager is pursuing their own agenda; is focused on hitting delivery dates without thought for the quality of the work being produced and has lost sight of expertise your research group brings to the project. Furthermore, the Post-Docs in your research group and at the other university are battling against each other and the project manager.

As principal investigator at your institution how can you resolve this situation and ensure that successful completion of your project is achieved?

PI ideas: Co-operative Research? To encourage team working to resolve conflicting priorities

Meet with the Project Manager and other Principal Investigator to discuss your concerns.

Try to come to a consensus on a shared action plan for the future progress of the project including who will take responsibility for the achievement of specific tasks.

Meet with your team in your own institution to keep them up to date on what’s going on.

Discuss how you can help them resolve their differences with members of the

other group and the project manager

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Case study - The Vanishing Postgraduate This case study addresses issues relating to:

Recruitment, Selection, Managing performance

Scenario - The Vanishing PostgraduateYou have your first grant which provides a studentship. Other than you the research student is the only person working on the research project. Eighteen months in to the project the research student decides that research is not for them and leaves. They provide you very little in the way of useful data or results. You have 18 months of a 3 year project left and nobody other than your self to do the research work.

How can you turn the situation around so that you meet your research deadlines without compromising the quality of your work?

PI ideas: The Vanishing Postgraduate To ensure that the you recruit effectively next time round

Prioritise your work and plan what individually you can realistically achieve in the time left.

Based on that assessment recruit a suitable individual(s) to replace the research student.

Consider recruiting at an experienced researcher even if funding will allow this for a relatively short period of time.

Make it clear to your new researcher from the outset what is expected of them and the deadlines that they will need to meet.

Schedule regular review meetings with them to ensure that they are carrying out the work you want them to.

Explore whether you can recruit additional support e.g. technical or administrative if required from another source by sharing resources with a colleague

Investigate whether it is possible to defer the deadline on the completion of your project.

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