The X02: A New Mechanism for the Review of Complex Applications

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The X02 A New Mechanism for the Review of
Complex Applications Greg Farber
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Interdisciplinary Roadmap Implementation Group of
the NIH Roadmap
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Interdisciplinary Roadmap Implementation Group of
the NIH Roadmap
Health research traditionally has been organized
much like a series of cottage industries, lumping
researchers into broad areas of scientific
interest and then grouping them into distinct,
departmentally based specialties. But, as
science has advanced over the past decade it has
become clear that the traditional divisions
within health research may in some instances
impede the pace of scientific discovery. To
lower these artificial organizational barriers
and advance science, this set of NIH Roadmap
initiatives will establish a series of awards
that make it easier for scientists to conduct
interdisciplinary research.
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Exploratory Centers P20 21 awards 12.3M
Meetings and Networks for Methodological
Development in Interdisciplinary Research R13
and R21 9 awards 950K
Interdisciplinary Health Research Training
Behavioral, Environment, and Biology T32 3
awards 600K
Training a New Interdisciplinary
Research Workforce T90 17 awards 5.2M
Interdisciplinary Research FY2004 23M
Short Programs for Interdisciplinary
Research Training R13 6 awards 1.2M
Supplements for Methodological Innovations in the
Behavioral and Social Sciences 15 awards 1.6M
Curriculum Development Awards K07 9 awards 1.0M
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Exploratory Centers Program

• The applicant community was ready to propose
  interdisciplinary approaches to science.

150 25 page applications for the first
Interdisciplinary Roadmap RFA
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Interdisciplinary Consortium Timeline

• The Exploratory Centers (RFA-RM-04-004) had a
  receipt date on Feb 24, 2004. 21 awards, 3 years
  in length, were made beginning September 2004
  using FY04 funds.
• The P20 centers were to be followed by a program
  to fund large Interdisciplinary Consortia (3M
  direct costs per year for a total of five years
  starting in FY07).
• Site visits and the results of a meeting at NIH
  suggested the form that applicants wanted for
  these consortia.

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Structure of a Consortium

• Giving appropriate credit to all of the members
  of the interdisciplinary team is the driving idea
  behind the adopted interdisciplinary consortium
  structure.
• Desire was expressed for the following mechanisms
  as part of a series of tethered awards R01,
  R21, R25, T90/R90, P30, K01, competitive
  supplements, as well as a central U54 for project
  management.

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Problem

• 3M in direct costs can fund 10 components per
  consortium.
• If we received 150 full applications, this would
  be 1500 R01 sized components to review in one
  batch.
• Phone calls prior to the release of program
  announcements suggested that 150 might be an
  underestimate of the number of applications.
• There are only enough funds in the program for 8
  consortia.

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Potential Solutions

• Restrict applicants to P20 awardees (limited
  competition).
• Require potential applicants to submit an R03 (or
  other placeholder award). These would be
  reviewed and would go to council with nominal
  awards. Only awardees would be allowed to submit
  full applications.
• Invent a pre-application mechanism that allows
  peer-review but does not require an award.

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Blame it on the NIH Roadmap, Again

• The NIH Roadmap process deserves credit for
  creating new mechanisms that allow
  non-traditional programs.
• Examples include
• T90/R90 Training for a New Interdisciplinary
  Research Workforce (RFA-RM-06-006)
• DP1 NIH Directors Pioneer Awards Program
  (RFA-RM-06-005)
• PN1 Nanomedicine Center Concept Development
  Awards (RFA-RM-04-018)
• PN2 Nanomedicine Development Centers Awards
  (RFA-RM-06-007)
• X01 Submit Assays for HTS in the Molecular
  Centers Network (PAR-06-259)

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Features of an X02

• X02s are used for preapplications.
• The first round of X02s were peer reviewed. NIH
  policy would have to change to allow program or
  administrative review.
• Preapplications should generally require far less
  than 25 pages.
• Preapplications need not go to an advisory
  council since no awards are being made.

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First Use of the X02

• The X02 mechanism is being used in PAR-06-122,
  the NIH Roadmap Preapplication for
  Interdisciplinary Research Consortium
• This mechanism uses electronic submission

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Components Selected for the Interdisciplinary
Consortia

• There are an average of 10.1 components in each
  consortium.
• R01 range from 0 to 13 with an average of 5.6
• R21 range from 0 to 7 with an average of 1.1
• R25 range from 0 to 1 with an average of 0.5
• T90/R90 range from 0 to 2 with an average of
  0.5
• K01 range from 0 to 4 with an average of 0.35
• Competitive Supplement range from 0 to 2 with
  an average of 0.12
• P30 range from 0 to 2 with an average of 1.0
• U54 one was required for each consortium

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First Use of the X02

• The review of the X02s was managed by NCRR using
  IAR without a face to face review meeting.
• Scores were released on August 21.
• The first summary statements are being released
  today.
• Applicants have two weeks after the release of
  their summary statements to send concerns about
  the review to program staff.

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Post Review Process

• The Project Team (composed of representatives of
  all NIH ICs including CSR) will meet on September
  13 to construct the first draft of the invitation
  list.
• NCRR Council will also receive an update on
  September 21 since all awards under the
  Consortium program will initially be made by NCRR.

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Post Review Process - 2

• The invitation list will be presented to the
  Interdisciplinary Roadmap Implementation Group
  (chaired by Drs. Tabak, Grady, and Schwartz) on
  September 22. The Implementation Group can
  modify the list and then will vote on the final
  list.
• After approval of a list by the Implementation
  Group, the list will be forwarded to the RICC for
  final approval.
• Invitations to Consortium PIs will be made on
  September 27.

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Post Invitation Process

• Applicants will not have flexibility to change
  components that are part of an invited
  Consortium. Those components were specified in
  the X02 applications.
• The due date for these applications is December
  19, 2006.
• Consortia will be reviewed in a single SEP
  convened by NCRR.

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Other Potential Uses of the X02

• In addition to dealing with the situation where a
  large number of complex applications are
  expected, the X02 may be useful in portfolio
  management.

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Uses of the X02
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Summary

• The X02 may turn out to be useful in a number of
  situations where asking for full applications
  would be a burden on the review and applicant
  communities.