BRIEF ELIGIBILITY GUIDE FOR AREA AND RUI GRANTS

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BRIEF ELIGIBILITY GUIDE FOR AREA AND RUI GRANTS

• AREA NO MORE THAN 3M IN NIH FUNDING IN 4 OF
  PREVIOUS 7 YEARS FOR HEALTH PROFESSIONAL SCHOOL
  OR OTHER ACADEMIC COMPONENTS
• RUI AWARD AN AVERAGE OF NO MORE THAN 10 PH.D. OR
  D.SC. DEGREES PER YEAR IN ALL NSF DISCIPLINES AND
  NONE IN THE DISCIPLINE OF THE GRANT PROPOSAL
• IF THIS IS NOT YOUR INSTITUTION, THIS SESSION MAY
  NOT APPLY TO YOU ?

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CONDUCTING RESEARCH AT A PUI

• HOW THE INCLUSION OF UNDERGRADUATES IN A RESEARCH
  PROPOSAL CAN IMPROVE A PIS CHANCE OF BEING FUNDED

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CONDUCTING RESEARCH AT A PUI

• NIH ACADEMIC RESEARCH ENHANCEMENT AWARD (AREA)
  GRANTS
• NSF RESEARCH IN UNDERGRADUATE INSTITUTIONS (RUI)
  GRANTS

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PRESENTERS

• Laura Letbetter, Director of Proposal
  Development, lletbett_at_kennesaw.edu
• Carolyn Elliott-Farino, Director of Contracts and
  Grants Administration, cellio12_at_kennesaw.edu
• Kennesaw State University (metro Atlanta), part
  of University System of Georgia

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KENNESAW STATE UNIVERSITY

• 2-yr. school from 1960s-80s, 4-yr. college
  80s-90s, university since mid 90s
• Predominantly undergraduate institution (PUI)
  90 undergraduate enrollment.
• Mostly non-traditional students until recently
• Traditional focus on teaching, not research no
  push for external funding nor emphasis on
  research until recently
• No Ph.D. programs one Ed.D. and 19 Masters level
  programs.

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KENNESAW STATE UNIVERSITY

• July 05 June 06 submitted 114 proposals for
  14,903,479 56 funded for 2,695,087.
• July 06 June 07 submitted 154 proposals for
  24,466,910 78 funded for 4,900,791.
• July 07 March 08 submitted 102 proposals for
  19,351,085 58 funded for 4,032,321.

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KENNESAW STATE UNIVERSITY

• Prior to 2007, one funded NIH researcher, who
  left KSU in 2004
• Prior to 2005, no funded NSF researchers
• Grants for curriculum development, teacher
  workshops, local service projects, surveys, but
  no pure research (except for the departed NIH
  researcher) until we took advantage of some
  PUI-friendly funding opportunities .

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KENNESAW STATE UNIVERSITY

• In 2005, awarded NSF RUI grant in biology
• In 2007, two AREA grants awarded in sociology and
  biochemistry
• In 2008, a To Be Paid AREA grant in
  biochemistry

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CONDUCTING RESEARCH AT A PUI

• HOW THE INCLUSION OF UNDERGRADUATES IN A RESEARCH
  PROPOSAL CAN IMPROVE A PIS CHANCE OF BEING FUNDED

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NIH AREA GRANTS

• AREA grants support small research projects in
  the biomedical and behavioral sciences conducted
  by students and faculty in health professional
  schools, and other academic components that have
  not been major recipients of NIH research grant
  funds.
• http//grants.nih.gov/grants/funding/area.htm

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WHOS ELIGIBLE FOR NIH AREA (R15) GRANTS?

• Health professional schools/colleges and other
  academic components that
• offer baccalaureate or advanced degrees in the
  biomedical and behavioral sciences
• have received less than 3 million per year (in
  both direct and FA/indirect costs) in research
  grants and/or cooperative agreements from NIH in
  at least four of the last seven years 

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WHOS ELIGIBLE FOR NIH AREA (R15) GRANTS?

• Health professional schools/colleges include
  accredited schools or colleges of medicine,
  dentistry, osteopathy, pharmacy, nursing,
  veterinary medicine, public health, optometry,
  allied health, chiropractic, naturopathy and
  podiatry leading to a health sciences degree such
  as M.D., D.D.S., M.P.T., D.C., N.D. or
  equivalent degree. 
• "Other academic components" applies to
  institutions which include one or more health
  professional schools.  Once the health
  professional schools have been excluded, other
  academic components refers to all remaining
  schools, colleges, and free-standing institutes
  of the institution taken as a SINGLE component.

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WHOS ELIGIBLE FOR NIH AREA (R15) GRANTS?

• 3M per year limit (in 4 of last 7 yrs) is per
  entity where the PD/PI has an appointment
• health professional school/college, e.g. School
  of Medicine, College of Nursing OR
• other academic components,e.g. Department of
  Sociology, Department of Biology, taken as a
  single entity
• To determine the eligibility of a school or the
  other academic components, consult the list of
  eligible and ineligible schools/components on the
  AREA program Web site at http//grants.nih.gov/gra
  nts/funding/area.htm. 

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WHOS ELIGIBLE FOR NIH AREA (R15) GRANTS?

• If your school is not on the list at all, youre
• probably okay. If youve had any NIH
• money, youre likely listed one way or the
• other. Check AREA Program Coordinator,
• Dr. Denise Russo, to be sure
• DRusso_at_mail.nih.gov

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WHOS ELIGIBLE FOR NIH AREA (R15) GRANTS?

• Many research institutions are eligible for AREA
  grants. For example, U of Georgia
• Schools of Pharmacy, Schools of Public Health,
  Schools of Veterinary Medicine are all eligible
• Other academic components is ineligible
  (considered as a single entity)

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WHOS ELIGIBLE FOR NIH AREA (R15) GRANTS?

• UCLA
• Schools of Nursing is eligible
• Hospital, Schools of Medicine, Schools of
  Dentistry, Schools of Public Health, and other
  academic components are ineligible

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WHY AREA?

• However, although some components of research
  institutions are eligible, were here to talk
  about why this is a good opportunity for PUIs.
  This is from the NIH AREA Guide for Assigned
  Reviewers Preliminary Comments
  (http//www.csr.nih.gov/CDG/CD20guidelines/areaR1
  5.pdf)

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WHY AREA?

• the National Institutes of Health has made a
  special effort to stimulate research in
  educational institutions that provide
  baccalaureate training for a significant number
  of our nation's research scientists, but which
  have not been major recipients of NIH support.
  Funds have been added to the NIH budget
  specifically for the AREA program since 1985.
  AREA grants are for the support of small-scale
  health-related research projects conducted by
  faculty in institutions that are not research
  intensive. These grants create a research
  opportunity for scientists and institutions,
  otherwise unlikely to participate extensively in
  NIH programs, to contribute to the nation's
  biomedical and behavioral research effort.

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WHY AREA?

• The objectives for the AREA Grant program
• are
• strengthening the research environment at
  institutions that are not research intensive
• exposing students (including undergraduate,
  and/or professional/graduate students) at such
  institutions to research
• providing support for meritorious research

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WHY AREA?

• The review criteria for RO1s and R15s are the
• same, except that under environment, reviewers
• for AREA proposals must ask
• Is the applicant school/academic component
• suitable for an award in terms of strengthening
  the
• research environment?
• Also, in the overall evaluation, reviewers must
• address the strengths and weaknesses of the
• application in terms of the five review criteria
  and
• the objectives of the AREA grant program.

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WHY AREA?

• PUI-friendly aspects of AREA grants
• Competing against each other, not the big guns
• PUIs have the kind of research environment NIH
  wants to strengthen
• No need for graduate students the goal is to
  expose students, undergraduate or graduate
• Success rates have generally been higher for AREA
  (R15) grants

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NEW NIH GRANTS FY 07

• R01 20,648 3,958 1,514,515,667 19.2
• R03 3,023 718 53,972,165 23.8
• R15 784 178 37,262,845 22.7
• R21 11,395 1,853 377,813,686 16.3
• http//report.nih.gov/award/success.cfm
• Better success than R01s and R21s, slightly
• below R03s. But everyone is eligible for
• R03s (and R01s and R21s).

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NEW NIH GRANTS FY 06 05

• FY 06
• RO1 22,148 3,610 1,299,711,823 16.3
• R03 3,206 622 48,316,742 19.4
• R15 658 157 32,442,915 23.9
• R21 9,934 1,533 299,243,870 15.4
• FY 05
• R01 21,745 3,894 1,392,849,232 17.9
• R03 3,307 723 55,684,224 21.9
• R15 595 158 31,965,502 26.6
• R21 8,483 1,495 291,665,902 17.6

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WHATS DIFFERENT ABOUT AN AREA GRANT PROPOSAL?

• Facilities and Other Resources section must
• include
• A profile of available students of the applicant
  school/academic component and any information or
  estimate of the number who have obtained the
  baccalaureate degree and gone on to obtain an
  academic or professional doctoral degree in the
  health-related sciences during the last five
  years.

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WHATS DIFFERENT ABOUT AN AREA GRANT PROPOSAL?

• Facilities and Other Resources section must
• include
• A description of the special characteristics of
  the school/academic component that make it
  appropriate for an AREA grant, according to the
  programs three objectives. Include a description
  of the likely impact of an AREA grant on the
  PD/PI and the research environment of the
  school/academic component.

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WHATS DIFFERENT ABOUT AN AREA GRANT PROPOSAL?

• PIs biosketch must include
• information on his or her (a) previous or current
  experience in supervising students in research,
  and/or (b) other relationships within the
  institutional framework (e.g., cross-departmental
  research collaborations).

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FACILITIES AND OTHER RESOURCES

• Other (about 4 pages) this can be AREA-specific
  institutional narrative modified for individual
  proposals
• Description of the university and the PIs
  department and college
• Graduates entering health-related fields
• Research environment
• Impact of AREA grant on PI and university
• Institutional support
• Institutional Statement Summary (optional)

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DESCRIPTION OF THE UNIVERSITY AND THE PIS
DEPARTMENT AND COLLEGE

• 2 paragraphs on university demographics, degree
  programs, brief history
• 1-2 paragraphs on department programs, number
  of declared majors, number of degrees awarded,
  faculty
• 1-2 paragraphs on college other departments,
  enrollment
• 4-5 paragraphs total

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GRADUATES ENTERING HEALTH-RELATED FIELDS

• 1 paragraph number of graduates enrolled in
  graduate, medical, dentistry, pharmacy, nursing,
  or other health program, or in industry
• Expectations for future growth (if applicable)

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RESEARCH ENVIRONMENT

• Intro paragraph for KSU for 2006-07
• Though primarily a teaching institution, the
  university is highly supportive of faculty
  research initiatives. The attainment of
  university status in 1996 and the increased focus
  on research within the last few years have
  brought about a higher expectation for faculty
  scholarship. To build research capability while
  upholding the teaching mission, KSU has taken a
  strategic approach to encouraging and supporting
  a faculty research/teaching model with a focus on
  involving undergraduates.  Since the early 1980s,
  the university has awarded internal Faculty
  Incentive Grants of up to 8,000 each to enable
  faculty to develop pilot programs and gather
  preliminary data. The intent is that faculty
  will produce results to be used in securing
  external funding as well as for publication.
  Faculty Incentive Grants have supported
  successful applications for NIH R01 (this was the
  one researcher who left in 2004), NSF RUI, and
  private foundation grants, as well as a number of
  peer-reviewed publications. In 2004, despite
  significant state budget cuts, the university's
  administration made a strong commitment to assist
  faculty in building active research programs to
  provide meaningful research opportunities for
  students. In addition, the administration
  recognizes that new faculty hires will need
  reduced course loads and start-up funds if they
  are to have time to conduct research and apply
  for external support.  In 2005, the university
  allocated 200,000 to provide new hires with
  start-up funds. First semester course loads were
  also reduced.

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RESEARCH ENVIRONMENT

• Description of college-level grants program for
  faculty-undergraduate research recognized by
  Georgia BOR
• Example of new university-wide internal grants
  program to encourage research by tenured faculty
  who have primarily engaged in teaching
• Departmental environment student researchers,
  active student chapters, scholarships and grants
  for students, student presentations, available
  equipment, opportunities for inter-departmental/un
  iversity collaboration

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IMPACT OF AREA GRANT ON PI AND UNIVERSITY

• Explanation of how this grant will affect the
  PIs research at the institution
• Explanation of how the grant will impact
  undergraduate scientists with training in several
  aspects of biomedical research, including
  dedicated time in the summer to do research
• Description of the PIs experience in mentoring
  undergraduate researchers
• Description of how the grant will enable the PI
  to provide leadership to other faculty in
  combining teaching and research

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INSTITUTIONAL SUPPORT

• Description of departmental resources available
  to the project equipment, laboratory
  facilities, operating funds, course releases

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INSTITUTIONAL STATEMENT SUMMARY

• As XYZ has grown into a comprehensive university,
  the ABC College has recognized the importance of
  research to an outstanding undergraduate science
  education and has sought to enhance faculty
  research and research opportunities for
  undergraduates by making significant investments
  to improve the research environment. The need for
  extramural support has grown commensurately. An
  AREA award would be a primary support for Dr.
  PQs research, strengthen the research
  environment, expose more undergraduates to
  research and enhance their prospects for
  health-related careers.

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WHAT IS THE ROLE OF THE STUDENT RESEARCHERS?

• Research Plan include information in this
  section where appropriate about the student
  researchers who will be recruited, what they
  will be doing and the training they will receive,
  how the PI will ensure their safety (if
  applicable), how the research is suitable for
  student researchers this could be a separate
  section or the information could be woven into
  the fabric of the research plan

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AREA GRANT PROPOSALS

• 150,000 in direct costs, modular budget, 1-3
  yrs.
• Renewable, standard deadlines
• 25 pages for research plan and the research
  must be of significant scientific merit!
• Reviewed in study sections on the basis of
  scientific emphasis of proposal
• Compete for funds with other AREA proposals to
  participating ICs check success rates of the
  ICs at http//grants.nih.gov/grants/funding/area.h
  tm) shop around if you can

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AREA SUCCESS RATES FY 2007
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AREA SUCCESS RATES FY 2006
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AREA GRANT PROPOSALS

• Table of contents of March 2004 CUR Quarterly
  focused on AREA proposals http//www.cur.org/Qu
  arterly/mar04/mar04toc.pdf
• Most Common Questions about NIH-AREA Grant
  Applications (full article by an NIH program
  director)
• http//www.cur.org/Quarterly/mar04/mar04p111_119.p
  df

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KSUS HISTORY WITH NSF

• 36 NSF grants since 1996
• 10 current awards 2 basic research, 8 curriculum
  development and student scholarships.
• Range from 34K to a little over 1M
• About three faculty have applied for RUI grants.
• One RUI award took three tries.

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WHAT RUI SUPPORTS

• Faculty Research Projects
• Research Instrumentation Grants
• Research Opportunity Awards

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WHAT RUI SUPPORTS

• Faculty Research Projects
• Research Instrumentation Grants
• Research Opportunity Awards

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SPECIFIC OBJECTIVES OF RUI

• To support high-quality research by faculty
  members of predominantly undergraduate
  institutions
• To strengthen the research environment in
  academic departments that are oriented primarily
  toward undergraduate instruction
• To promote the integration of research and
  education.

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INSTITUTIONAL ELIGIBILITY FOR NSF/RUI

• Must be predominantly undergraduate, (i.e.,
  more undergrads than grads)
• Must offer undergraduate programs in
  NSF-supportable disciplines.
• Must award an average of no more than 10 Ph.D. or
  D.Sc. Degrees per year in all NSF-supportable
  disciplines.
• Must provide certification that the above
  characteristics apply to your institution.

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DEPARTMENTAL ELIGIBILITY FOR NSF/RUI

• Eligible department means the PIs department
• (1) must offer courses that qualify for
  bachelor's degree credit in NSF-supportable
  fields and
• (2) may offer master's degrees, but may not
  award a doctorate or offer doctoral courses and
  supervise doctoral research.
• (3) Its OK for co-PIs to be from a doctoral
  department.

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WHY RUI?

• Predominantly undergraduate institutions
  play a critically important role in U.S. science
  and technology through their substantial
  contributions to research and education. NSF
  encourages research by faculty members of these
  institutions, both to ensure a broad national
  base for research and to help faculty members
  stay at the cutting edge of their disciplines.
  Such research not only contributes to basic
  knowledge in science and engineering, but also
  provides an opportunity for integration of the
  excitement of scientific discovery into
  undergraduate education. As the ultimate in
  inquiry-based learning, undergraduate research is
  a critical component of high-quality education in
  science, mathematics, engineering, and technology
  (SMET), providing a strong foundation for careers
  in science and engineering and for graduate
  study. A significant fraction of SMET
  professionals receive bachelor degrees from
  predominantly undergraduate institutions.

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WHAT RUI ISNT

• RUI IS NOT A SEPARATE PROGRAM OR A SEPARATE POT
  OF MONEY
• PA states RUI is fully integrated into the
  regular disciplinary programs of the Foundation
  and No specific funds are set aside for
  proposals submitted under this announcement.

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WHAT RUI ISNT

• RUI IS NOT A DIFFERENT COMPETITION OR AN EASIER
  COMPETITION
• PA states . . . RUI proposals are evaluated and
  funded by NSF programs in the disciplinary areas
  of the proposed research.
• Intellectual Merit Broader Impacts Criteria
  apply as always.

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WHAT RUI ISNT

• RUI IS NOT THE SAME THING AS REU.
• RUI is a designation (Research at Undergraduate
  Institutions) for faculty research awards.
• REU is a program (Research Experiences for
  Undergraduates) that primarily funds participant
  support for undergraduate researchers through
  sites supplements.

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How much money is there for RUI projects?

• Projects are usually 3 years.
• Annual award size has ranged from 10,000 to over
  100,000.
• KSUs RUI is 300,000 for 3 years.
• PA says 26M for 1999.

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How much money goes to RUI research projects?

• FY 2007 182 awards, 31,885,442
• FY 2006 159 awards, 32,205,039
• FY 2005 157 awards, 39,825,508
• Source NSF Award Search Tool http//www.nsf.gov/
  awardsearch/
• Go to the More Options tab, select date range,
  and RUI program code

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How much should you ask for?

• Consultation with the cognizant NSF disciplinary
  program officer is strongly encouraged to
  determine if the proposed budget is within the
  appropriate funding range for the particular
  program and circumstances.

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WHAT IS UNIQUE ABOUT RUI?

• The principal difference between RUI proposals
  and "regular" NSF proposals is the additional
  requirement that RUI proposals must include an
  RUI Impact Statement that describes the expected
  effects of the proposed research on the research
  and educational environment of the institution.

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WHAT MAKES THE RUI DESIGNATION RIGHT FOR PUIs?

• The RUI designation means reviewers are
  instructed to pay attention to the Impact
  Statement and the special circumstances under
  which RUI investigators work.
• Typically the review panel includes PUI folks.

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A FEW NOTES ABOUT PROPOSAL PREPARATION

• Title must begin with RUI (15 seconds)
• Proposal must include Certification of
  Eligibility (15 minutes, depending )
• Proposal must contain a separate RUI Impact
  Statement (15 days, depending!)

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CERTIFICATION OF ELIGIBILITY

• This is a simple one page document that MUST be
  included.
• Get the wording from the RUI guidelines.
• Get your AOR to sign it.
• Scan and upload to Supplementary Documents
  section of FastLane.

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CERTIFICATION OF ELIGIBILITY
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RUI IMPACT STATEMENT

• Describes how you expect the proposed research to
  impact your institutions research and
  educational environment.
• Five page max.
• Institutional narrative plus some project
  specific information.
• Opportunity to highlight what your PUI brings to
  the table.

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WHAT DOES RUI IMPACT MEAN TO NSF?

• Increased faculty involvement in research
• Opportunities for students to be involved
  directly in research
• Acquisition of instrumentation that helps both
  students and faculty
• Enhanced ability to prepare students for careers
  and graduate studies in STEM fields.

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WHAT ELSE TO HIGHLIGHT

• What is your departments track record in
  educating undergrads for STEM careers?
• How will your project identify qualified
  undergraduates to partcipate in the research?
• How will your project increase participation of
  underrepresented groups?
• How will you measure the impact you have on
  students?

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WHAT ELSE TO HIGHLIGHT

• Do heavy teaching loads impact research
  productivity at your PUI? How will this award
  help?
• What is unique about your student population?
• What is your administrations commitment to
  building and enhancing your PUIs research
  programs and infrastructure?

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RUI IMPACT STMT TEMPLATE

• Institutional Context a couple of brief
  paragraphs about the history of the institution,
  the PIs department, degrees offered,
  accreditation, student faculty demographics,
  graduation stats, etc.
• Research Environment How it has developed, how
  it has been supported by the institution, what
  kinds of active research programs you have, how
  departments work together to leverage resources,
  relationships w/other orgs that contribute to
  research environment, etc.

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IMPACT STMT TEMPLATE, CONTD

• Impact of RUI Grant on PI, Users, and
  Institution Explain how funding this project
  would benefit each group.
• Institutional Support what resources are
  available to the PIs? Have they had seed funding
  from the institution? Startup funds from their
  departments?
• RUI Impact Statement Summary A one paragraph
  recap of the above.

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SAMPLE TEXT WRAP-UP PARAGRAPH

• As KSU has grown into a comprehensive
  university, the College of Science and
  Mathematics has recognized the importance of
  research to an outstanding undergraduate science
  education and has sought to enhance faculty
  research and research opportunities for
  undergraduates by making significant investments
  to improve the research environment. The need for
  extramural support has grown commensurately. A
  RUI award would support the research efforts of
  many faculty, substantially strengthen the
  research environment, enhance collaborations,
  expose more students to research, train them in
  the use of cutting-edge biomolecular technology,
  brighten their prospects for research careers and
  positively impact science education across the
  universitys service delivery area.

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WHAT ELSE MAKES THE PROPOSAL MORE COMPETITIVE?

• The RUI Impact Statement does NOT preclude a
  discussion of RUI Impact within the context of
  the project description.
• PA encourages description of how students will be
  involved in research AND presentation of results
  how research education will be integrated how
  any requested equipment will enhance both
  research education, etc.

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WHAT ELSE, CONTINUED

• Dont overlook the importance of the Biographical
  Sketch.
• Include publications with undergraduate
  co-authors (with student names labeled by an
  asterisk).
• Synergistic activities section is an
  opportunity to highlight involvement with UR.

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ABOUT DUPLICATE PROPOSALS

• No duplicate proposals submitted for the same
  deadline. Same program officers handle all
  disciplinary proposals.
• You can simultaneously submit proposals for two
  different projects.
• You can simultaneously submit the same proposal
  to NSF and to another federal agency, as long as
  its not BIO.
• Exception New investigators in BIO can submit
  simultaneously to two agencies.

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RUI DEADLINES

• Proposals Accepted Anytime??? Really???

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IT DEPENDS!

• Proposals must be submitted by the
  investigator's home institution in accordance
  with the target dates or deadlines, if any, of
  the NSF disciplinary program in the proposed
  research area.

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WHEN IS IT DUE?

• Many NSF programs have deadlines or target
  dates to allow time for consideration by review
  panels that meet periodically. Proposals must be
  submitted by the investigator's home institution
  in accordance with the target dates or deadlines,
  if any, of the NSF disciplinary program in the
  proposed research area.To confirm a date, refer
  to the program's page on the NSF Web site
  (http//www.nsf.gov/) or to the NSF E-Bulletin,
  at http//www.nsf.gov/home/ebulletin/. Inquiries
  about deadlines may be made also to the
  appropriate research program officer.

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Budget Internet Information system
http//dellweb.bfa.nsf.gov/
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NSFS BUDGET INTERNET INFORMATION SYSTEM

• Provides statistical and funding information.
• Allows users to query award data based on
  variables such as state, institution, and
  program.
• Use this to collect meaningful data for your
  campus and include it when you interact with
  faculty.

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EXAMPLE

• With an annual budget of almost 6 billion,
  the National Science Foundation funds 20 of all
  federally supported basic scientific research
  conducted by Americas colleges and universities.
  Within the state of Georgia in FY 2006, NSF made
  418 awards totaling approximately 89.5 million
  to the states public and private institutions of
  higher education. About 80 of the funds were
  awarded to Georgia Tech, UGA, and Georgia State
  (50, 19, and 11 respectively), and 20 went to
  other public and private colleges and
  universities, including KSU.

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WHY DEVELOP THIS KIND OF INSTITUTIONAL NARRATIVE?

• Helps the academic side of the house explain to
  the business side of the house what is at stake,
  where we stand, what kind of progress we are
  making.
• Helps encourage faculty to apply confirm whats
  true, dispel myths, paint a real picture.

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An interesting note about collaborative RUI
projects
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A final word about the importance of the role of
the Program Officer
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A Good Format for RUI Proposal Development
WorkshopS

• Two-hour format one hour on applying unsolicited
  and one hour on applying under RUI.
• Organize the information so that one session
  builds on the other, but either works as a
  standalone.
• Encourage faculty to sign up for one or both,
  whatever their schedule allows.