Debate Continues on Criteria for Awarding Grants by NSF

While the debate continues over how grants are awarded by NSF, it appears the peer review process itself is not the target. In an era of tight budgets, the question seems to be is there need for an additional criterion regarding whether the proposed research addresses national interests or problems “of utmost importance to society.” Some in the debate point out that many if not most important scientific advances have resulted from research not directed toward any specific need. Others feel too many grants are “of questionable value” and should have been declined.

So who determines societal value, or potential value, over what time frame, based on what criteria? These are questions that go well beyond the criteria typically evaluated in current peer review processes.

See Science article by Jeffrey Mervis and American Institute of Physics FYI Bulletins for summaries of recent developments on this controversy.

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EPA to Publish Information on Peer Reviewers – Transparency, Free Advertising, Deterrent?

The U.S Environmental Protection Agency (EPA) announced that it has improved its conflict of interest review process for contractor-managed peer reviews by ensuring that the public has the opportunity to review and comment on a peer review panel’s composition when influential scientific documents are being considered. For future peer review panels, EPA will publish the names, principal affiliations and resumes of candidates being considered for the panel. Members of the public will be able to provide comments on the candidates for a period of at least three weeks.

After selecting the final peer review panel, the contractor will consult with EPA to review whether the contractor followed existing conflicts of interest guidance and requirements, and identify and provide input on any issues. In addition, the names of the final peer review panel members will be posted publicly before the meeting takes place. According to EPA, this process will ensure that existing conflicts of interest guidance and requirements are applied correctly and where a potential conflict of interest is identified, allow EPA to determine whether the contractor’s plan to address the conflict is acceptable.

One wonders, are contractors currently not able to identify and manage conflicts of interest? Will the public be better able to watchdog? Will potential reviewers see this as free advertising for their capabilities, or may this deter potential reviewers from participating?

 

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FY14 NSF Budget Calls for Increased Use of Virtual Merit Review

TheFY2014 President’s Budget for the National Science Foundation(NSF) proposes $4.09 million forImproving the operational execution of the Merit Review Process, an essential step to address the extraordinary pressures the Foundation faces due to a growing number of proposals and intense competition for NSF funding. The FY 2014 Request will support a multiyear effort to improve major aspects of this process, including use of virtual meeting technologies for merit review; technological support for the management of reviewers and reviews; increased automation of the preliminary processing of proposals; and demand management.”

One of NSF’s ten performance improvement goals listed in the budget overview is to “Enable Increased Use of Virtual Merit Review: NSF seeks to incorporate technological innovations into the merit review process by expanding the use of virtual merit review panels.”

Phase 1 of a plan to improve merit review processes includes deployment of personnel and infrastructure to support use of virtual meeting technologies for panels. “The predominant review method used has become the review panel, convened at NSF, where a set of experts assemble to evaluate proposals. The travel costs associated with review panels are an increasing budget burden. Recently, NSF has experimented with using virtual meeting technologies to hold synchronous virtual review panels including teleconferences, commercial video-conferencing technologies, and “virtual world” software. This investment expands NSF’s use of virtual review panels and will restrain the growth in panel costs, broaden the range of reviewers participating in panels, and reduce the average workload of individual reviewers. The investment includes:

  • Infrastructure to enable NSF to conduct a significant fraction of review panels as virtual panels;
  • Development of online training for moderators and reviewers; and
  • Collection of feedback from participants to continually improve the efficacy of virtual panels.”

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Expert Network Consulting – Potential for Conflict of Interest?

Is consulting for an expert network firm a new or growing form of potential conflict of interest to be watched for in selecting peer reviewers or managing reviews? An article by Jeffrey Mervis in this week’s Science describes the practice and the experience of some scientists who have engaged. Expert network firms match experts with clients such as manufacturers, lawyers, and investment firms. The financial remuneration can be significant. An expert can log 100 to 150 hours a year at an hourly rate of $250 for physician-scientists. Influence also can be significant. The consulting expert can influence the direction of research and product development, or even move markets. The dominant expert network firm has experts covering health care, energy, telecommunications, manufacturing, real estate, and a dozen other sectors.

See the article summary (available to all readers) or full article (subscription required).

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Italian Review of Scientists and Research Institutions Sparks Protest

Critics say a government review of scientists and research institutions coordinated by the National Agency for the Evaluation of Universities and Research Institutes (ANVUR) is using flawed criteria and will do little to reward the best Italian scientists.

For researchers in fields where good bibliometric data are available, ANVUR uses three criteria: the number of papers published in the past 10 years, the number of citations, and the so-called h-index, a measure that takes into account both output and impact. The law governing ANVUR prescribes that only applicants who score above the national median in their field on two of the three criteria can be admitted to the next stage of evaluation, a more quality-based scrutiny by committees. Many scientific groups have protested against what they see as a mindless and unjust application of numbers.

ANVUR President Stefano Fantoni states that the criteria will be used only as indicators, and that the committees can still pass researchers who fail to meet quantitative criteria—although they will have to justify their decision. But others say the law does not provide that escape, and it’s not clear what criteria the committees would use.

For human and social sciences, which aren’t adequately covered by bibliometric databases, ANVUR compiled lists of 16,000 journals whose papers are included in the evaluation. Those lists have been heavily criticized because they include around 200 titles whose scientific credentials are questionable—including glamorous publications like Yacht Capital, religious journals, magazines about food and drink, a trade journal for pig breeders, and supplements of broadsheet newspapers.

ANVUR’s other arm, evaluating universities and research institutions, is under similar criticisms of methodology and transparency. That evaluation next year will lead to a ranking that will partly determine the allocation of Italy’s public funding.

Not everyone thinks ANVUR’s methods are so bad, but some say ANVUR should look abroad, for instance at the United Kingdom’s Research Excellence Framework, for its evaluations, or use expert evaluators rather than metrics. “We need to look at what people are doing in those countries that have a long evaluation tradition, such as the U.K. and the U.S., if we want to set up clear and effective rules the majority of scientists will be prepared to accept and share,” says Francesca Pasinelli, the director-general of Telethon, a nonprofit foundation that screens about 450 research proposals in medicine and biology every year.

See ScienceInsider for full article by Laura Margottini.

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PCAST Urges More Risk-Taking

From Science 7 December News and Analysis: (subscription required for full article)

A new report by the President’s Council of Advisors on Science and Technology (PCAST) urges U.S. research agencies to make a bigger commitment to supporting high-risk, interdisciplinary research by investigators with a strong track record.

The PCAST report calls for research agencies to adopt “revolutionary … interdisciplinary … and people-based awards.” Too much of federal spending—which amounts to about one-third of the nation’s total investment in research—backs incremental advances, according to the report. And one of the culprits is a conservative merit review process that rewards safe bets.

NIH is taking small steps away from that approach with its Pioneer, New Innovator, and Early Independence awards from the director’s office, the report notes. Likewise, the report praises NSF’s Rapid Response Research grants and its planned expansion of programs to reward “creative … transformative interdisciplinary ventures.” But the report states “the funding agencies have been slower than we would like to see in moving in these directions.” And the report documents those baby steps: This year, NIH will make 50 awards in the three director’s categories out of a total of 35,944 research grants. “While this plethora of initiatives, each worthy in its own way, gives an illusion of significant progress,” the report notes, “in truth the sum of all these programs is tiny, almost invisible, in comparison to each agency’s dominant” form of research support.

The report also urges Congress and the executive branch to find a way to provide research agencies with multiyear budgets, or at least funding guarantees for individual projects. Other countries operate on 5-year budgets, notes NSF Director Subra Suresh. But Suresh says “it’s very difficult to carry out long-term planning with our sister agencies” under the current U.S. system of annual appropriations.

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World Science Academies Release Report to Promote Research Integrity

To encourage researchers around the world to adhere to universal science values and ethical behavior, a new report on responsible science was issued October 17th by the InterAcademy Council and the IAP – the global network of science academies. The report is the first product of the IAC and IAP’s project on scientific integrity, initiated in response to several major trends reshaping the research enterprise, including the increasingly global and interdisciplinary nature of science, its heightened role in policy debates, and the continued emergence of high-profile cases of irresponsible research behavior in many countries.

The report discusses peer and merit review in contexts ranging from proposal review through publication of results and communication of policy implications. Recommendations include:

Researchers have a responsibility to participate in the review of research proposals and not to abuse the trust on which the review process is based. They should disclose conflicts of interest and treat colleagues fairly in reviewing their ideas. Research sponsors should use international reviewers where feasible.

Peer reviewers need to assess proposed publications fairly and promptly, with full disclosure of conflicts of interest or bias.

Researchers need to communicate the policy implications of their results clearly and comprehensively to policy makers and the public—including a clear assessment of the uncertainties associated with their results—while avoiding advocacy based on their authority as researchers.

Scientific policy advice to governments, industry, or nongovernmental organizations should undergo peer review and should not be made from an advocacy perspective.

The report can be read online or downloaded as a PDF from http://www.interacademycouncil.net/24026/28250.aspx.

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Highly Funded NIH Researchers to Receive Extra Review

From ScienceInsider 

The National Institutes of Health (NIH) plans to give extra scrutiny to proposals from researchers receiving more than $1 million a year in direct support from grants—and may not fund them if the research overlaps with what they’re already doing. Extra review from the funding institute’s scientific council would make sure that the research is “highly promising” and “distinct from” the PI’s other projects.

After piloting the plan during its May round of grant reviews, NIH made a few tweaks. One complaint was that because indirect costs vary by institution, those with a higher indirect cost rate would be disproportionately affected. The final policy will cover PIs with at least $1 million in direct costs. NIH won’t ask large multi-PI grants to undergo special reviews unless all the individual PIs are over the $1 million threshold. Councils can make exceptions, for example for clinical trials, which tend to cost more than lab research.

NIH had estimated that about 1600 PIs, or 6% of the total it funds, would be above the $1.5 million total costs threshold. With the restrictions in the final policy, less than 1% of all proposals going to the councils will get the extra reviews.

See NIH Notice of Special Council Review for more.

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State Department Initiative to Facilitate Access to US Scientific Peer Review Processes

The US Department of State has increased its efforts to promote international cooperation in science and engineering, including best practices in scientific peer review. According to the SciDev.Net report, an outreach initiative known as ‘Networks of Diasporas in Engineering and Science’ (NODES) “seeks to leverage existing collaborations while facilitating and supporting a variety of new collaborations” between diasporas in the United States.

The venture will seek to tap into US-based scientific diasporas — scientists from developing countries and elsewhere who are currently working in the United States. It was organized by the Office of the Science and Technology Adviser to the Secretary of State (STAS), and has been jointly established with the American Association for the Advancement of Science (AAAS) and the National Academy of Sciences (NAS).

“The initial focus of NODES will have an element of supporting developing and emerging world countries,” said Vaughan Turekian, chief international officer at AAAS. The project will build on the fact that diasporas will already be in close contact with scientific experts in their countries of origin, who have crucial local and regional knowledge.

“Diasporas with connections to developing countries can facilitate access to US scientific peer review and policy processes; NODES provides a space for conversations and actions to take place.”

For example, AAAS will provide a forum at each of its annual conferences for diasporas to convene, make connections and share best practice among their members.

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Department of Energy Tries out Public Review of Savings Protocols

The Energy Department is using public review of new voluntary procedures that will help standardize how state and local governments, industry, and energy efficiency organizations estimate energy savings. These protocols are being developed by technical experts through collaboration with energy efficiency program administrators, industry stakeholders, and home energy assessors. The department is inviting stakeholders from the public sector, industry, and academia to participate in an online public review of these new protocols.

The department believes these voluntary protocols will help energy efficiency program administrators and local governments improve the objectivity, consistency, and transparency of energy savings data, and that the Uniform Methods Project will help strengthen consumers’ confidence in the results expected from energy efficiency upgrades. The protocols are available for review through July 27. See the DOE Progress Alert and the protocols for review.

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