Wednesday, November 7, 2012, 9:45 – 10:45 a.m. NIH AREA AND NSF RUI: TWO REALISTIC PATHS TO...

Wednesday, November 7, 2012, 9:45 – 10:45 a.m.

NIH AREA AND NSF RUI: TWO REALISTIC PATHS TO FUNDING BASIC RESEARCH AT PUIS

Laura Letbetter, Kennesaw State University, [email protected]

This presentation is about two great PUI funding opportunities: NIH AREA and NSF RUI. Eligibility criteria are below. If your institution is not eligible for these grants, you still have time to find another session … as much as I would love for you to stay!

•NIH Academic Research Enhancement Award Eligibility: (1) must offer baccalaureate or advanced degrees in the biomedical or behavioral sciences; (2) PI must come from a school, college, or “aggregation of other academic components” within the university that has not have received more than $6M in NIH funding in each of 4 of the last 7 years. This means school of nursing, public health, dentistry, veterinary medicine, etc. are separately eligible.

•NSF Research at Undergraduate Institutions (RUI) Eligibility: U.S. institution of higher education with (1) 2 year or 4 year programs in NSF-supported fields, (2) with undergraduate enrollment exceeding graduate enrollment, and (3)awarding an average of no more than 10 Ph.D. or D.Sc. degrees per year in all NSF-supportable disciplines.

mailto:[email protected]

NIH AREA AND NSF RUI: TWO REALISTIC PATHS TO FUNDING

BASIC RESEARCH AT PUIS

Laura LetbetterDirector of Proposal Development

Office of ResearchKennesaw State University

[email protected]

Wednesday, November 7, 20129:45 – 10:45 a.m.

mailto:[email protected]

Objectives:

I. Participants will learn why NIH AREA and NSF RUI are essential targets for PUIs who want to build competitive research programs.

II. Participants will learn several strategies for promoting these programs and supporting interested faculty on their home campuses.

III. Participants will learn what makes a strong RUI Impact statement and AREA Resources statement, which are proposal requirements for these programs.

Objective I: Learn why NIH AREA and NSF RUI are essential targets for PUIs who want to build competitive research programs.

1.Why should PUIs target NSF and NIH?

2.How do we know NSF and NIH care about research at PUIs?

3.What are the basic requirements of NSF RUI and NIH AREA?

4.What are a few key differences between the two programs?

Why PUIs should care about NIH and NSF:

• “Six agencies provide almost all (97% in 2009) federal academic R&D support—the National Institutes of Health, National Science Foundation, Department of Defense, National Aeronautics and Space Administration, Department of Energy, and Department of Agriculture.” Source: NSF Science & Engineering Indicators 2012, http://www.nsf.gov/statistics/seind12/c5/c5h.htm

• The NIH budget for FY 2012 was $30.9B.

• The NSF budget for FY 2012 was $7B.

Objective I: Learn why NSF RUI and NIH AREA are essential targets for PUIs.

WHY NSF CARES ABOUT PUIs:

From the NSF RUI solicitation:

“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.”http://www.nsf.gov/pubs/2000/nsf00144/nsf00144.pdf


WHY NIH CARES ABOUT PUIs:

From the NIH AREA program announcement:

“The National Institutes of Health (NIH) is continuing to make a special effort to stimulate research at educational institutions that provide baccalaureate or advanced degrees for a significant number of the Nation's research scientists, but that have not been major recipients of NIH support. … These grants are intended to create a research opportunity for scientists and institutions otherwise unlikely to participate extensively in NIH programs that support the Nation's biomedical and behavioral research effort. It is anticipated that investigators supported under the AREA program will benefit from the opportunity to conduct independent research; that the grantee institution will benefit from a research environment strengthened through AREA grants and furthered by participation in the diverse extramural programs of the NIH; and that students at recipient institutions will benefit from exposure to and participation in scientific research in the biomedical and behavioral sciences.” http://grants.nih.gov/grants/guide/pa-files/PA-12-006.html


http://grants.nih.gov/grants/guide/pa-files/PA-12-006.html

Overview of NSF Research at Undergraduate Institutions

Supports research in all nonmedical areas of basic science, including the social and economic sciences.

Projects go up to 3 years

Award size ranges from approximately $10,000 to over $100,00 per year: “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.”

RUI is not a separate program with set-aside funds; projects are funded through NSF’s regular disciplinary programs.

Deadlines or target dates of NSF’s regular disciplinary programs apply.

Standard budget items: salaries and wages, fringes, equipment, travel, participant support, materials and supplies, publication costs, consultants, etc.

Budget includes support for undergraduate researchers, including hourly wage or stipend and travel to attend meetings and present.

Proposal includes a RUI Impact Statement that describes the expected effects of the proposed research on the institution’s research and educational environment.

http://www.nsf.gov/pubs/2000/nsf00144/nsf00144.pdf


Overview of NIH Academic Research Enhancement Award

Supports research in all biomedical and behavioral research, including nursing Projects go up to 3 years Can request up to $300,000 in direct costs, plus F&A AREA is not a separate program with set-aside funds; projects are funded through

NIH’s regular Institutes. Due dates are Feb. 25, June 25, and Oct. 25 for regular applications and May 7,

Sept. 7, and Jan. 7 for AIDS-related applications. Standard budget items: salaries and wages, fringes, equipment, travel, participant

support, materials and supplies, publication costs, consultants, etc. Budget includes support for undergraduate researchers, including hourly wage or

stipend and travel to attend meetings and present. The proposal’s Resources statement allows for the inclusion of information on

how the award will strengthen the research environment and expose students to important research opportunities.

http://grants.nih.gov/grants/guide/pa-files/PA-12-006.html



A few differences between NSF RUI and NIH AREA:

• NSF is for all nonmedical disciplines of basic science; NIH is for biomedical and behavioral research.

• Number of deadlines per year: always three per year for NIH AREA; one or two for NSF RUI, depending upon the program.

• Number of possible attempts per project: NIH allows two attempts; NSF does not set a limit.

• Budget for AREA has a set limit; budget for RUI varies from program to program.

• More salary support is allowable under AREA, due to NSF’s “two months” guideline.

• NSF RUI application submission process (FastLane) is more user friendly than (grants.gov & eRA Commons).

• NIH allows PI to request a particular study section; NSF allows PI to recommend or not recommend particular reviewers.

• RUI Impact statement is a special section with a 5 page limit; AREA impact information statement is incorporated into the Resources section and does not have a specific page limit.

Eligibility criteria again!

• NIH Academic Research Enhancement Award Eligibility: (1) must offer baccalaureate or advanced degrees in the biomedical or behavioral sciences; (2) PI must come from a school, college, or “aggregation of other academic components” within the university that has not have received more than $6M in NIH funding in each of 4 of the last 7 years. This means school of nursing, public health, dentistry, veterinary medicine, etc. are separately eligible. Check the list here http://grants.nih.gov/grants/funding/area_ineligible.htm

• NSF Research at Undergraduate Institutions (RUI) Eligibility: U.S. institution of higher education with (1) 2 year or 4 year programs in NSF-supported fields, (2) with undergraduate enrollment exceeding graduate enrollment, and (3)awarding an average of no more than 10 Ph.D. or D.Sc. degrees per year in all NSF-supportable disciplines.


Recent changes to NIH AREA make it an even better PUI fit:

• Current PA for AREA, posted in November of 2011, included some important changes:

o Greater emphasis on involvement of studentso Biographical sketch must now include information about PI’s experience

supervising students in research.o Biographical sketch should indicate which peer reviewed publications

involved students under the PI’s supervision.• Changes to the review process:

o Reviewers are now asked to consider impact on students and the research environment when assigning an overall impact score.

o There are now some special emphasis panels for AREA applications:o http://public.csr.nih.gov/StudySections/SpecialEmphasis/Pages/default.

aspx• Greater promotional activity on the part of NIH:

o AREA program director has done a lot of outreacho AREA was featured in Rock Talk last December:http://nexus.od.nih.gov/all/2011/12/23/new-changes-for-the-area-program/


Objective II: Learn strategies for promoting AREA and RUI on your campus.

1. Get your faculty talking to the program officers.

2. Show them how to navigate NSF Award Search and NIH Report

3. Advocate for resources to send them to CUR, NSF Days, and NIH Regional Workshops.

4. Offer short, targeted workshops on your campus.

5. Make the application process as easy as possible!

6. Visit department meetings, attend faculty talks, and ask faculty for lab tours.

Strategy #1: Encourage Program Officer Contact

• Help faculty overcome their reluctance to call by explaining the program officer’s role.

• Emphasize the importance of “Call early, call often.”

• Help them get the right contact information.

• Help with background information on program officers.

• Suggest that they email to set up a phone appointment.

• Write a script or offer to be in the room if they need you.

• Be supportive and understanding.

Objective II: Learn strategies for promoting AREA and RUI.

AREA Program Contacts: http://grants.nih.gov/grants/guide/contacts/parent_R15.html


AREA Program Contacts, continued


RUI program Contacts: http://www.nsf.gov/funding/pgm_summ.jsp?pims_id=5518


Potential RUI applicants should also talk to program officers specific to their discipline:

Start with the organization list at http://www.nsf.gov/staff/orglist.jsp and drill down to the correct program or cluster.


• Directorate for Biological Sciences: http://www.nsf.gov/dir/index.jsp?org=BIO

• Directorate for Computer & Information Science & Engineering: http://www.nsf.gov/dir/index.jsp?org=CISE

• Directorate for Education & Human Resources: http://www.nsf.gov/dir/index.jsp?org=EHR

• Directorate for Engineering: http://www.nsf.gov/dir/index.jsp?org=ENG

• Directorate for Geosciences: http://www.nsf.gov/dir/index.jsp?org=GEO

• Directorate for Mathematical and Physical Sciences: http://www.nsf.gov/dir/index.jsp?org=MPS

• Directorate for Social, Behavioral & Economic Sciences: http://www.nsf.gov/dir/index.jsp?org=SBE

Example 1:You are working with a PI who is an assistant professor of mathematics. His CV shows that he received his Ph.D. in applied mathematics, and his dissertation was entitled, “Single- and Multiple-objective Stochastic Programming Models with Applications to Aerodynamics.” He wants to write a grant proposal on stochastic control and stochastic models. Having looked up “stochastic,” you know that his research has to do with systems that have random elements, and that stochastic processes have to do with probability theory. You want to help him find his NSF program officers. Starting with the Directorate of Mathematical and Physical Sciences at http://www.nsf.gov/dir/index.jsp?org=MPS, you find the following disciplinary research programs:


Example 1, continued:• You want him to look at Probability because you found this program description: “The

Probability Program supports research on the theory and applications of probability. Subfields include discrete probability, stochastic processes, limit theory, interacting particle systems, stochastic differential and partial differential equations, and Markov processes. Research in probability which involves applications to other areas of science and engineering is especially encouraged.

• You want him to look at Applied Mathematics because of his PhD: “The Applied Mathematics program supports mathematics research motivated by or having an effect on problems arising in science and engineering. Mathematical merit and novelty, as well as breadth and quality of impact on applications, are important factors. Proposals to develop critical mathematical techniques from individual investigators as well as interdisciplinary teams are encouraged.”

• You also want him to look at Combinatorics, because when you used “stochastic” as a key word in the NSF Award Search database, the Combinatorics program came up four times: “The Combinatorics program supports research on discrete structures and includes algebraic, enumerative, existential, extremal, geometric, and probabilistic combinatorics, including graph theory.”

• What next?


Example 1, continued:


Getting your faculty member to initiate contact:

• Help them draft the initial email or provide them with an easy-to-follow sample:

Dear Dr. Levitin,

I am an assistant professor of psychology at Tallahoma State University, and I am preparing an application for the June 25 AREA deadline. My area of research is psychosocial interventions for substance abusers. Specifically, I am interested in studying the efficacy of a community based mobile technology intervention for clients who are receiving methadone maintenance treatment. May I have a phone appointment with you to discuss the specific aims of my research? I have attached a draft version of my specific aims page in case you would like to read it before we talk. I would appreciate any guidance you are willing to offer.

Kind regards,Paula D’Olympia

• Good reading: “What to Say—and Not Say—to Program Officers”http://chronicle.com/article/What-to-Say-and-Not-Say-to/131282/


Strategy #2: Learn how to navigate NSF Award Search and NIH Report:

• NSF Award Search:http://www.nsf.gov/awardsearch/

• NIH Research Portfolio Online Reporting Tools (RePORT):http://report.nih.gov/

• Use these tools to build your own knowledge• Don’t assume faculty know how to use them—they just

might need some help!


Example of how to encourage faculty to use NSF Award Search:

-----Original Message-----From: Laura Letbetter [mailto:[email protected]] Sent: Thursday, August 16, 2012 9:35 AMTo: 'Christopher Robbins'Subject: RE: Re: schedule an appt?

Hi Chris, In response to your question about sample proposals, sometimes the best way to get samples is to

simply ask, colleague to colleague. People are more generous with their work than you might think. Here are a couple of projects that may be of interest:

http://www.nsf.gov/awardsearch/showAward.do?AwardNumber=0957181 http://www.nsf.gov/awardsearch/showAward.do?AwardNumber=0848072 Of course Barnard College and Middlebury College are much different from KSU, but both are

predominantly undergraduate, and both of these are designated as RUI (Research at Undergraduate Institutions) so they would be good samples. I found them by using "medicinal chemistry" as my search term. You could try with other key words related to your research: http://www.nsf.gov/awardsearch/

Then sort by title and scroll down to the R's, because RUI proposals will always have that acronym as the first word of the title.

See you Monday! -----Original Message-----From: Christopher Robbins [mailto:[email protected]] Sent: Wednesday, August 15, 2012 8:47 PMTo: Laura LetbetterSubject: re: Re: schedule an appt?Objective II: Learn strategies for promoting AREA and RUI.

Strategy #3: Advocate for resources to send faculty to CUR, NSF Days, and NIH Regional Workshops.

• CUR Dialogues is designed to bring faculty and administrators to Washington, D.C. to interact with federal agency program officers and other grant funders: http://www.cur.org/conferences_and_events/cur_dialogues/

• NSF Days are a workshop primarily designed for researchers and educators less experienced in proposing to the NSF:http://www.nsf.gov/events/event_group.jsp?group_id=20013&org=NSF

• NIH Regional Workshops are intended to help demystify the application and review process, clarify Federal regulations and policies, and highlight current areas of special interest or concern:http://grants.nih.gov/grants/seminars.htm


How much does it cost to send faculty to these workshops?

• CUR Dialogues cost estimate: $350 airfare/baggage/metro, $189 per night x 2 nights x 14.5% tax = $433 hotel, $144 using GSA rates for meals not covered in event, $475 new member registration (if done before Dec 8) = $1402.

• Costs for NSF Days and NIH Workshops are similar.

• Check links periodically for convenient, cost-effective locations for your institution.

• Ask chairs and deans to share costs.

• For CUR, have faculty schedule program officer visits to coincide with the conference.


Strategy #4: Offer short, targeted workshops on your campus.

• Present AREA and RUI workshops in a two-hour format: A one hour intro to the agency and one hour on the program.

• 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.

• Supplement with GRC web casts if you are a member institution.


Faculty should walk away from your workshop understanding these basic points:

• These grants integrated with the agencies’ regular research programs.

• These grants are not “set asides” for less competitive institutions; rather, proposals are judged on significance and scientific merit through standard peer review processes.

• These grants are appropriate, realistic opportunities for PUIs.

• These grants offer institutions that prioritize teaching and learning the opportunity to highlight strengths.

• They must talk to P.O.s.• Faculty are not alone; you will walk them through the

application process.


Strategy #5: Make the application process as easy as possible!

• Consider developing a checklist and application kit in an easy-to-follow format.

• Our kit looks like this ⟶


KSU AREA (R15) checklist, page 1


E-mail me if you’d like a copy! [email protected]

From: Laura Letbetter [mailto:[email protected]] Sent: Thursday, July 19, 2012 11:48 AMTo: Laura LetbetterSubject: NIH Academic Research Enhancement Award (AREA) deadline reminder

The NIH AREA grant program is a great fit for KSU investigators with research interests in biomedical and behavioral

sciences. The next opportunity to submit a grant application for this program is October 25. The program takes regular applications three times per year: February 25, June 25, and October 25. Applications that are HIV/AIDS-related have different deadlines: January 7, May 7, and September 7. The Office of Research has sample applications and other resources to help you be successful. Please call or email if you are interested or if you just want more information about this or any other grant program! Call x3365 on campus or 770-499-3365 if dialing from off campus. I look forward to hearing from you!

___________________________ Program: Academic Research Enhancement Award (AREA) Agency: National Institutes of Health Next Deadline: Oct 25, 2012 Supports renewable awards (R15) up to $300,000/three years for projects in biomedical and behavioral sciences conducted by faculty and students in health professional schools, and other academic components that have not been major recipients of NIH funds. Goal is to strengthen institutional research environment and support active involvement of undergraduate (preferred) and graduate students in research. Students may be paid full time during summer and/or part-time during the semester. PA

expires 1/8/15. See http://grants.nih.gov/grants/guide/pa-files/PA-12-006.html E-mail: [email protected] CFDA Number:93.113 Contact: Erica Brown, Director, AREA Program Office of Extramural Research 6705 Rockledge Drive Bethesda, MD 20892-7963 301/402-1081

SAMPLE


Strategy #7: Visit department meetings, attend faculty talks, and ask for lab tours.


Which of these two pictures reflects the way you view faculty?

Recommended (Fun!) Reading: “The Craft,” or “The Research Administrator as Barkeep”

“I think that our offices should feel like a neighborhood bar or maybe a coffee shop—a place for conversation with colleagues. Save for the beer and the smell, this might be almost exactly like your office— or at least my idea of a research office. Researchers need to have a place to sound out ideas in what NSF used to call “fertile ground,” a place where there are resources to support the creative process. Your researchers will go where they feel welcome to show up anytime to seek help in problem-solving. Your office is least likely to provide the spurious advice based on some down-the-hall grouch’s one-time experience, too. Personally, I think the beer would also help the process, but that’s for another day’s discussion.”

Michael “Spanky” McCallister

http://sra-catalyst.srainternational.org/june-2012/contributed-columns/a-musings


Objective III: Learn how to write institutional narrative that helps your PI compete.

• Requirements for RUI impact statement

• Requirements for AREA resources statement

• Suggested template

• Editing suggestions

Objective III: Learn what makes a strong AREA Resources and RUI Impact statement.

Requirements for RUI impact statement: 5 page maximum

• Describe the record of the department(s) and institution(s) in educating undergraduates for science and engineering careers.

• Describe any plans to attract qualified undergraduate students to the project, including the criteria for their selection.

• Describe any provisions that will increase the participation of groups underrepresented in science and engineering.

• Describe any plans for measuring the effect of participation in the project on the participating students both during and after their undergraduate years.

• Describe the project’s anticipated contribution of new research tools (instrumentation, databases, etc.) to both educational and research

• opportunities for students and faculty.• Include information on any factors affecting research productivity such

as teaching loads, availability (or lack) of support personnel, nature of experimental and computational facilities, and features of the student population.

• Describe institutional support for research activity by faculty and students and the anticipated impact of that support on the proposed project.


Requirements for AREA resources statement

• No specific page limit or template; rather, you incorporate certain information into the required facilities & resources statement.

• Include a profile of your students and any information or estimate of the number who have obtained baccalaureate or advanced degrees in health-related sciences during the last five years.

• Describe any special characteristics that make your institution appropriate for an AREA grant.

• Explain how the project will meet AREA goals: (1) provide support for meritorious research; (2) strengthen your research environment; and (3) expose students to research.

• Include a description of the likely impact of an AREA grant on the PD(s)/PI(s) and the research environment of the school/academic component.

• If you plan to use facilities at another institution, describe those here.• Describe any institutional support for the proposed research project

(e.g., equipment, laboratory space, release time, matching funds, etc.).


How do we know the reviewers actually read this stuff? Here are sample comments from reviews!


• “The principal investigator is well-suited to the proposed project, has adequate research experience to lead this effort, and is attempting to build a tradition of research activity at Kennesaw State University. She has publications in reputable journals, is currently productive, and has adequately described plans to involve students in her research. The principal investigator is supported in these efforts by on a well seasoned mentor with a top-notch record of research who is nearby. The environment is well-suited for the purposes of an AREA project and the institution has shown great willingness to provide an adequate infrastructure.”

• “Equipment available in the investigator’s laboratory and department appears adequate for the proposed work. Work with a state-of-the-art HPLC-mass spectroscopy system will be done in collaboration with Michael Hooker at Duke, and Ariel Blocker of Oxford will help with preparation of inside-out vesicles and with electron-microscopy. The use of undergraduate students has been carefully thought out.”

KSU template for RUI Impact Statement


• Introduction:o Introductory paragraph with basic institutional information.

Keep it short!o Paragraph with demographic makeup of your student population.o Paragraph or two with departmental info. How many faculty?

How many majors? How many graduates?o Any information you can give about how many graduates have

gone on to scientific careers in academia or industry.• Research Environment:

o Discuss institutional support for research (2-3 paragraphs)o Discuss departmental environment for research (2-3 paragraphs)

• Principal Investigator:o Discuss the PI’s research interests and goalso Discuss the PI’s undergraduate mentoring activities & results

• Impact on Institution’s Programs and Curricula (2-3 paragraphs)• Impact on Participating Students (2-3 paragraphs)• Impact Statement Summary (1 paragraph)

KSU template for AREA Resources Statement


• Institutional Support: Discuss how the institution supports researchers in general and how it has supported the PI’s research in particular. Include startup funds, any internal grants, travel support, mentoring, access to research resources (e.g., journals). About 4 paragraphs.

• Physical Resources (labs, instrumentation, or buildings relevant to project). About 4 paragraphs.

• Scientific Environment and Intellectual Rapport: among faculty, departments, students. 3-4 paragraphs

• Description of University and the PI’s Department & College: Short paragraph about University, paragraph about student demographics, majors & graduates in department or field of project. Include any relevant information about degree programs offered. 2-4 paragraphs

• Graduates Entering Health Related Fields: about a paragraph. Where are your science undergrads now? How many went on to medical school or biomedical/health related research programs/

• Impact of Proposed AREA Grant: 2 or 3 paragraphs. Discuss impact on PI and department and impact on participating students.

• Summary of AREA Award Impact: one wrap-up paragraph

Editing suggestion: get the junk out of your institutional narrative!

Kennesaw State is a proud public university in the University System of Georgia, located on a 384-acre, beautifully landscaped campus in the densely populated and rapidly developing northwest region of Greater Metropolitan Atlanta. Kennesaw State was originally established by the University System of Georgia in 1963 as Kennesaw Junior College serving 1,000 students. The college became a four-year institution in 1976 and was named Kennesaw College in 1977. In 1988, it was named Kennesaw State College and in 1996 became Kennesaw State University. KSU serves as a highly valued resource for this region's educational, economic, social, and cultural advancement.

Kennesaw State University (KSU), located 25 miles northwest of Atlanta, is a predominantly undergraduate institution offering 41 bachelor’s degrees, 16 master’s degrees, and four doctoral programs. The university was chartered as a two-year institution in 1963, became a four-year institution in 1978, and attained university status in 1996. In little more than a decade, KSU has developed from a state college into the third largest university in Georgia, enrolling over 23,000 students and slated to grow to an enrollment of 34,000 by 2016. During this period of rapid growth, KSU has evolved from a teaching oriented institution into a comprehensive university with an expanded program of research and scholarship.


Questions? Comments? Suggestions?

Wednesday, November 7, 2012, 9:45 – 10:45 a.m. NIH AREA AND NSF RUI: TWO REALISTIC PATHS TO...

Documents

Transcript of Wednesday, November 7, 2012, 9:45 – 10:45 a.m. NIH AREA AND NSF RUI: TWO REALISTIC PATHS TO...