PI Issues
Case 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:
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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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Leadership
Leading Your Research Team
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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
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Apprenticeship & grant bid writing
Project management
Taking the easy option?
Making the choice
Co-operative Research?
Recruitment
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Selection
Making the choice
The Vanishing Postgraduate
Selection
Legal & Ethical Issues
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Selection
Making the choice
The Vanishing Postgraduate
Publication & Authorship
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Authorship
Time for writing up research results
Staff Review/Appraisal
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Career development & appraisal
Motivation
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Developing Your Researchers 
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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 results
Managing Performance
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Time for writing up research results
Project running behind schedule
The Vanishing Postgraduate
Managing fractional workers
Taking the easy option?
What’s expected of a PI?
Your Research Career
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The Post-Doc as the expert
Poacher turned gamekeeper
Strategic Planning
Research Finances
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Poacher turned gamekeeper?
Apprenticeship & grant bid writing
2
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Matching the contract to the demands of post
3
Authorship
5
Apprenticeship & grant bid writing
6
Career development & appraisal
7
The Post-Doc as the expert
8
Time for writing up research results
9
Managing fractional workers
10
Project running behind schedule
11
Poacher turned gamekeeper?
12
Project management
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Matching the contract to the demands of post
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Taking the easy option?
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Making the choice
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Co-operative Research?
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The Vanishing Postgraduate
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Case study - Authorship
This case study addresses issues relating to:
Motivation, Publications
It 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…
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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, Finance
It considers how you can plan work whilst motivating team members.
Scenario - Apprenticeship & grant bid writing
Thomas (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 writing
Among the advantages of the PI taking this approach to grant writing are…
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A well-planned approach to grant writing.
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The development of the grant writing skills of individual members of the research
team, which benefits the team as a whole.
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The researcher feels ownership for the project.
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The researcher is clear about their responsibilities and contribution to the grant
writing process.
6
Case Study - Career development & appraisal
This 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 & appraisal
James: "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 & appraisal
Among the factors a PI may wish to consider in adopting such an approach to
personal development are…
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Providing diversity in the allocation of tasks and responsibilities to benefit the
individual researcher.
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Agreeing with the individual at the outset what type of staff review process would
best suit their needs and requirements.
7
Case Study – The Post-Doc as the expert
This case study addresses issues relating to:
Leadership, motivation, expectations of a PI
It 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 expert
A 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 expert
Among the issues involved in leading teams in which individual Post-Docs, rather
than the PI, are the experts on aspects of the research are…
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Considering how much expertise a PI should have.
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Working in partnership with your researchers in relation to their skills and
expertise.
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Having realistic expectations of what can be achieved in a given time especially
when you are not an expert in that area yourself.
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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 results
This case study addresses issues relating to:
Leadership, Publication, Motivation, Managing Performance
It explores issues to consider when accommodating workload that may not form part
of your current research project.
Scenario – Time for writing up research results
A 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 results
Among the issues PIs should consider are…
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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.
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Ensuring that it is made clear to the team from the outset who will be named on
specific publications resulting from a research project.
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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 workers
This case study addresses issues relating to:
Leadership, Managing Performance, Motivation
Many 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 workers
Jill: “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 workers
Among the ways a PI can manage the workload of fractional workers to help them
cope with the competing demands are:
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To meet with the member of staff and their other PIs to discuss their respective
requirements and agree a suitable way forward.
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By ensuring communication between the different PIs and not just the shared
member of staff.
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By identifying specific days or periods when the members of staff will work
specifically for one of the projects.
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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 performance
It 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:
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Discussing the issues and problems with the RA in a constructive manner.
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Defining and agreeing a plan of work with the RA with realistic goals and frequent
reporting to the PI
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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.
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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 Planning
It 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:
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Undertaking management training.
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Delegating specific tasks to other members of the team.
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Identifying a long-term research strategy and goals which include consideration
of future resource requirements.
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Building in the costs of administrative and technical support into future bids.
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Seeking support from the institutions’ estates department regarding the physical
environment.
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Requesting an increased level of general support from his line manager.
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Considering more clearly about how their time is apportioned when submitting
bids under Full Economic Costing.
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Recognising that as a leader of a large team they will have less time for handson research.
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Case Study - Project management
This case study addresses issues relating to:
Team Development, Leadership, Motivation
It explores the extent to which and how PIs should manage research staff.
Scenario – Project management
Katy: “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 management
PIs may wish to consider …
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The frequency with which they meet with their researchers.
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The need for research staff to feel that their work is valued and that the PI is
involved in the project.
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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 post
This case study addresses issues relating to:
Recruitment, Finance
Many 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 post
Eileen: “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 post
Poor practice typically involves:
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Calculating the fraction accordingly to the funding limit or what is left in a
particular budget
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Having an individual in mind to do the job and setting the fractional contract to
meet their other commitments
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Under-budgeting to appear competitive at the grant review stage
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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 Performance
It 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 postdoc 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?
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The situation should not have been allowed to drift for six months. The PI needs
to be picking these things up earlier.
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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.
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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 choice
This case study addresses issues relating to:
Selection, Team Development, Motivation
It considers the process by which existing researchers might be selected to work as
members of a project team.
Scenario - Making the choice
A 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 choice
Two possible good outcomes are required and this would take a lot of talking and
negotiating.
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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.
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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 Development
It 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
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Meet with the Project Manager and other Principal Investigator to discuss your
concerns.
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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.
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Meet with your team in your own institution to keep them up to date on what’s
going on.
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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 Postgraduate
You 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
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Prioritise your work and plan what individually you can realistically achieve in the
time left.
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Based on that assessment recruit a suitable individual(s) to replace the research
student.
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Consider recruiting at an experienced researcher even if funding will allow this for
a relatively short period of time.
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Make it clear to your new researcher from the outset what is expected of them
and the deadlines that they will need to meet.
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Schedule regular review meetings with them to ensure that they are carrying out
the work you want them to.
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Explore whether you can recruit additional support e.g. technical or
administrative if required from another source by sharing resources with a
colleague
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Investigate whether it is possible to defer the deadline on the completion of your
project.
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