1 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 

2 CONDUCTING RESEARCH AT A PUI: HOW THE INCLUSION OF UNDERGRADUATES IN A RESEARCH PROPOSAL CAN IMPROVE A PI’S CHANCE OF BEING FUNDED

3 CONDUCTING RESEARCH AT A PUI: NIH ACADEMIC RESEARCH ENHANCEMENT AWARD (AREA) GRANTS NSF RESEARCH IN UNDERGRADUATE INSTITUTIONS (RUI) GRANTS

4 PRESENTERS Laura Letbetter, Director of Proposal Development, Carolyn Elliott-Farino, Director of Contracts and Grants Administration, Kennesaw State University (metro Atlanta), part of University System of Georgia

5 KENNESAW STATE UNIVERSITY 2-yr. school from 1960s-80’s, 4-yr. college 80’s- 90’s, university since mid 90’s 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.

6 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.

7 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 ….

8 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

9 CONDUCTING RESEARCH AT A PUI: HOW THE INCLUSION OF UNDERGRADUATES IN A RESEARCH PROPOSAL CAN IMPROVE A PI’S CHANCE OF BEING FUNDED

10 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.

11 WHO’S 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 F&A/indirect costs) in research grants and/or cooperative agreements from NIH in at least four of the last seven years

12 WHO’S 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.

13 WHO’S 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

14 WHO’S ELIGIBLE FOR NIH AREA (R15) GRANTS? If your school is not on the list at all, you’re probably okay. If you’ve had any NIH money, you’re likely listed one way or the other. Check AREA Program Coordinator, Dr. Denise Russo, to be sure:

15 WHO’S 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)

16 WHO’S 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

17 WHY AREA? However, although some components of research institutions are eligible, we’re here to talk about why this is a good opportunity for PUIs. This is from the NIH AREA Guide for Assigned Reviewers’ Preliminary Comments ( lines/areaR15.pdf): lines/areaR15.pdf

18 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 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.

19 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

20 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.

21 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

22 NEW NIH GRANTS FY 07 R01 20,648 3,958 $1,514,515, % R03 3, $53,972, % R $37,262, % R21 11,395 1,853 $377,813, % Better success than R01s and R21s, slightly below R03s. But everyone is eligible for R03s (and R01s and R21s).

23 NEW NIH GRANTS FY 06 & 05 FY 06: RO1 22,148 3,610 $1,299,711, % R03 3, $48,316, % R $32,442, % R21 9,934 1,533 $299,243, % FY 05: R01 21,745 3,894 $1,392,849, % R03 3, $55,684, % R $31,965, % R21 8,483 1,495 $291,665, %

24 WHAT’S 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.

25 WHAT’S 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 program’s 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.

26 WHAT’S DIFFERENT ABOUT AN AREA GRANT PROPOSAL? PI’s 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).

27 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 PI’s department and college Graduates entering health-related fields Research environment Impact of AREA grant on PI and university Institutional support Institutional Statement Summary (optional)

28 DESCRIPTION OF THE UNIVERSITY AND THE PI’S 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

29 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)

30 RESEARCH ENVIRONMENT Intro paragraph for KSU for : 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.

31 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/university collaboration

32 IMPACT OF AREA GRANT ON PI AND UNIVERSITY Explanation of how this grant will affect the PI’s 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 PI’s 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

33 INSTITUTIONAL SUPPORT Description of departmental resources available to the project – equipment, laboratory facilities, operating funds, course releases

34 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. P&Q’s research, strengthen the research environment, expose more undergraduates to research and enhance their prospects for health-related careers.

35 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

36 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 – shop around if you canhttp://grants.nih.gov/grants/funding/area.htm

37 AREA SUCCESS RATES FY 2007 Fiscal Year Institute/ Center Number Reviewed Number Awarded Total Cost Awarded** Success Rate*** 2007NIAAA83$599, % 2007NIA377$1,232, % 2007NIAID9322$4,580, % 2007NIAMS295$966, % 2007NCCAM133$622, % 2007NCI8619$3,969, % 2007NIDA238$1,671, % 2007NIDCD162$446, % 2007NIDCR73$667, % 2007NIDDK439$1,942, % 2007NIBIB219$1,956, % 2007NIEHS315$1,035, % 2007NEI215$1,115, % 2007NIGMS20063$13,217, % 2007NICHD468$1,673, % 2007NHGRI41$195, % 2007NHLBI5618$3,858, % 2007NLM20$00.00% 2007NIMH329$1,918, % 2007NINR376$1,263, % 2007NINDS5711$2,295, % 2007TOTAL862216$45,228, %

38 AREA SUCCESS RATES FY NIAAA41$205, % 2006NIA417$1,193, % 2006NIAID7723$4,775, % 2006NIAMS235$1,014, % 2006NCCAM80$00.00% 2006NCI7013$2,755, % 2006NIDA155$952, % 2006NIDCD103$666, % 2006NIDCR30$00.00% 2006NIDDK347$1,324, % 2006NIBIB225$1,031, % 2006NIEHS226$1,281, % 2006NEI122$407, % 2006NIGMS17150$10,454, % 2006NICHD447$1,490, % 2006NHGRI20$00.00% 2006NHLBI4812$2,514, % 2006NIMH2912$2,429, % 2006NINR5212$2,550, % 2006NINDS3514$2,893, % 2006NCRR10$00.00% 2006TOTAL723184$37,938, % Fiscal Year Institute/ Center Number Reviewed Number Awarded Total Cost Awarded** Success Rate***

39 AREA GRANT PROPOSALS Table of contents of March 2004 CUR Quarterly focused on AREA proposals – “Most Common Questions about NIH-AREA Grant Applications” (full article by an NIH program director)

40 KSU’S HISTORY WITH NSF 36 NSF grants since 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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42 WHAT RUI SUPPORTS: Faculty Research Projects Research Instrumentation Grants Research Opportunity Awards

43 WHAT RUI SUPPORTS: Faculty Research Projects Research Instrumentation Grants Research Opportunity Awards

44 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.

45 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.

46 DEPARTMENTAL ELIGIBILITY FOR NSF/RUI “Eligible department” means the PI’s 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) It’s OK for co-PIs to be from a doctoral department.

47 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.”

48 WHAT RUI ISN’T 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.”

49 WHAT RUI ISN’T 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.

50 WHAT RUI ISN’T 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.

51 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. KSU’s RUI is $300,000 for 3 years. PA says $26M for 1999.

52 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: Go to the “More Options” tab, select date range, and RUI program code

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55 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.”

56 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.”

57 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.

58 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!)

59 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.

60 CERTIFICATION OF ELIGIBILITY

61 RUI IMPACT STATEMENT Describes how you expect the proposed research to impact your institution’s research and educational environment. Five page max. Institutional narrative plus some project specific information. Opportunity to highlight what your PUI brings to the table.

62 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.

63 WHAT ELSE TO HIGHLIGHT: What is your department’s 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?

64 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 administration’s commitment to building and enhancing your PUI’s research programs and infrastructure?

65 RUI IMPACT STMT TEMPLATE Institutional Context: a couple of brief paragraphs about the history of the institution, the PI’s 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.

66 IMPACT STMT TEMPLATE, CONT’D 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.

67 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 university’s service delivery area.”

68 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.

69 WHAT ELSE, CONTINUED Don’t 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.

70 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 it’s not BIO. Exception: New investigators in BIO can submit simultaneously to two agencies.

71 RUI DEADLINES “Proposals Accepted Anytime”??? Really???

72 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.”

73 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 ( or to the NSF E-Bulletin, at Inquiries about deadlines may be made also to the appropriate research program officer.”

74 Budget Internet Information system:

75 NSF’S 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.

76 EXAMPLE: “With an annual budget of almost $6 billion, the National Science Foundation funds 20% of all federally supported basic scientific research conducted by America’s colleges and universities. Within the state of Georgia in FY 2006, NSF made 418 awards totaling approximately $89.5 million to the state’s 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.”

77 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 what’s true, dispel myths, paint a real picture.

78 An interesting note about collaborative RUI projects …

79 A final word about the importance of the role of the Program Officer:

80 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.