From April 2010 we will start to constrain repeatedly unsuccessful applicants to submitting one application only for 12 months and ask them to review their submission behaviour. Current data suggests this will affect around 200-250 people, accounting for 5% of applicants and 10% of applications.
We're introducing this new measure to help alleviate pressure on all involved in our peer review process. Over the past two decades the number of proposals received by research councils has doubled. This is putting huge pressure on the peer review system, including reviewers and panels.
Criteria for selection
What criteria will be used to select repeatedly unsuccessful applicants?
We will select applicants (listed as the principal investigator on a proposal) who have:
- Three or more proposals within a two-year period ranked in the bottom half of a funding prioritisation list or rejected before panel (including administrative rejects), AND
- An overall personal success rate of less than 25% over the same two years.
The two year period is from the date on the letter the applicant receives informing them of the outcome of their proposal (i.e. the date the decision is made).
How is an applicant's personal success rate calculated?
We will calculate the success rate by dividing the total number of funded proposals by the total submitted where decisions have been made in the past two years.
Will all applications to EPSRC be taken into account?
All full proposals submitted by an applicant as principal investigator will be considered over a rolling two-year period.
We will not include:
- Proposals submitted as a co-investigator – only an applicant's record as principal investigator will be considered
- All activities where peer review is led by another funding body
- Training grants
- Outline proposals
- Institutional awards (where EPSRC dictates who has to lead a bid - for example, Science and Innovation Awards, Science Bridges and Bridging the Gaps)
- Proposals considered on prioritisation panel lists that are made up of five or fewer grant proposals
How will you deal with proposals submitted jointly by two or more research organisations?
We'll consider all principal investigators equally irrespective of whether they are from the lead organisation or another organisation.
Initial steps
What is the effect of this policy on applicants who meet the criteria?
Applicants meeting the criteria will be allowed to submit only one application during the next 12 month period and asked to review their submission behaviour. The policy comes into effect from April 2010 – nobody will be constrained from applying to EPSRC until then.
How will you notify people when they have qualified?
As the policy comes into effect we will email all applicants who are to be constrained and also all applicants who are one proposal away from meeting the criteria. Emails will be copied to applicants' university research offices. We will update our data and contact anyone affected monthly.
What happens to proposals already being peer reviewed if I’m informed that I’m to be constrained?
Any proposals already submitted to EPSRC will be processed as usual. You will only be able to submit one proposal during the cooling off period.
How can I appeal?
If you have been contacted but feel you do not meet the criteria, you should first contact the EPSRC portfolio manager for your research area. If you are not satisfied with the response you receive, your query will be escalated to the EPSRC head of programme. If you are not satisfied with their response, you should ask your university pro-vice chancellor to contact EPSRC.
Will you give any warning to people?
Until April 2010, we will work to communicate this policy widely to the community, use established university interface contacts to work closely with universities and we will also begin to notify the individuals themselves.
From April 2010, applicants who are one proposal away from reaching the criteria for being constrained will also receive email notice of this situation; this notice will be copied to their Research Office. However, we expect all applicants to be aware of and take responsibility for the applications that they submit to us.
During a cooling-off period
When does the cooling-off period start and stop?
Individuals meeting the criteria will be identified on the 1st of each month. The start date of the restriction period will be three or four working days later with the issuing of an email by EPSRC to the individual and their university. The cooling-off period automatically ends after 12 months. We will expect to receive details about what steps have been taken to address issues with submission behaviour.
What is the purpose of the cooling-off period?
We expect you to use this year to assess your submission behaviour and, if appropriate, seek advice from colleagues about the application process or your submission strategy.
Can I be a co-investigator on an EPSRC proposal during the 12 months?
Yes, but only on one application to EPSRC as principal investigator or co-investigator in the 12-month cooling-off period.
Can I apply through EPSRC calls for proposals?
Yes, provided you have not submitted any other proposal to EPSRC. This would then count as your one application to EPSRC as principal investigator or co-investigator in the 12-month period. The cooling-off period applies to all EPSRC funding.
What will happen if I submit more than one proposal during a cooling-off period?
We will automatically reject any further submissions other than the one allowed during the 12 months. Only the first application you submit will be accepted.
After a cooling-off period
How will a cooling-off period end?
The period automatically ends 12 months after the start date. We will expect to receive details about what steps have been taken to address issues with submission behaviour.
Can I apply again with a 'clean slate' after the cooling-off period?
No. Your record will be calculated as normal over the last two years. If you choose to make the permitted single application during the 12-month period this will be included in your track record whether it is successful or unsuccessful.
It is theoretically possible for an individual’s submission behaviour to be such that it would result in a maximum of two consecutive cooling off periods. The numbers of individuals in this category is very small and during the period up until April 2010, we will engage with university management to ensure the number is kept to a minimum.
Isn’t the fact that someone may face two consecutive periods of restriction unfair because it means they may be penalised twice because of the same proposals?
We feel that it is fairest for the same criteria of assessment to apply to everyone. All individuals will therefore have their behaviour assessed over two years and on a rolling basis.
More information
If you have any questions, please contact the EPSRC portfolio manager for your research area.