Academic Research Enhancement Award

Published on AidPage by IDILOGIC on Jun 24, 2005

Purpose of this program:

The AREA program has three objectives: (a) To develop the research environment at "smaller, less prominent, four-year, public and private colleges and universities which provide baccalaureate or advanced training for a significant number of our nation's research scientists but which have not shared adequately in the growth of the NIH extramural program," (b) to expose students at such institutions to the research experience, and (c) to support meritorious research.

Possible uses and use restrictions...

To support small-scale research projects, including feasibility or pilot studies, in health-related topics. The majority of the research must be conducted at the grantee institution.

Who is eligible to apply...

(1) Individual health-professional schools and the combined other components of domestic educational institutions granting baccalaureate and higher degrees in the health sciences are eligible, except those schools/components that have received NIH research grants totaling more than $3 million per year in each of four or more of the last seven fiscal years; and (2) faculty members of such institutions who will not have an active NIH research grant at the time of award of an AREA grant.

Eligible Applicant Categories:
Eligible Functional Categories:
Credentials/Documentation

None.

Note:This is a brief description of the credentials or documentation required prior to, or along with, an application for assistance.

About this section:

This section indicates who can apply to the Federal government for assistance and the criteria the potential applicant must satisfy. For example, individuals may be eligible for research grants, and the criteria to be satisfied may be that they have a professional or scientific degree, 3 years of research experience, and be a citizen of the United States. Universities, medical schools, hospitals, or State and local governments may also be eligible. Where State governments are eligible, the type of State agency will be indicated (State welfare agency or State agency on aging) and the criteria that they must satisfy.

Certain federal programs (e.g., the Pell Grant program which provides grants to students) involve intermediate levels of application processing, i.e., applications are transmitted through colleges or universities that are neither the direct applicant nor the ultimate beneficiary. For these programs, the criteria that the intermediaries must satisfy are also indicated, along with intermediaries who are not eligible.

How to apply...

Application Procedure:

Prepare and submit Form PHS 398 (Rev. 5/01) according to modified (simplified) instructions in the AREA Program Guidelines. Form PHS 398 may be obtained from NIH's Extramural Research Home Page http://grants1.nih.gov/grants/oer.htm and the Program Guidelines from the AREA home page http://grants1.nih.gov/grants/funding/area.htm. This program is subject to the provisions of 45 CFR 74.

Note: Each program will indicate whether applications are to be submitted to the Federal headquarters, regional or local office, or to a State or local government office.

Award Procedure:

Applications are reviewed for scientific and technical merit by a scientific review group and for program relevance by a national advisory council/board. When scientific merit and program relevance are essentially equivalent, funding preference is given to institutions with a strong record of educating undergraduates who have subsequently obtained doctoral degrees in the health sciences.

Note: Grant payments may be made by a letter of credit, advance by Treasury check, or reimbursement by Treasury check. Awards may be made by the headquarters office directly to the applicant, an agency field office, a regional office, or by an authorized county office. The assistance may pass through the initial applicant for further distribution by intermediate level applicants to groups or individuals in the private sector.

Deadlines and process...

Deadlines

Except for AIDS-related projects, applications must be postmarked by January 25, May 25 or September 25. Applications for AIDS-related projects must be postmarked by May 1, September 1, and January 2.

Note: When available, this section indicates the deadlines for applications to the funding agency which will be stated in terms of the date(s) or between what dates the application should be received. When not available, applicants should contact the funding agency for deadline information.

Range of Approval/Disapproval Time

The length of the review cycle is from 8 to 9 months for projects that are not AIDS related. 4 to 5 months for AIDS related projects.

Preapplication Coordination

Not applicable. This program is excluded from coverage under E.O. 12372.

Note: This section indicates whether any prior coordination or approval is required with governmental or nongovernmental units prior to the submission of a formal application to the federal funding agency.

Appeals

A principal investigator may question the procedural aspects of the review of his/her application by communicating with the staff of the NIH Institute or Center to which the application was assigned for potential funding. A description of the NIH Peer Review Appeal procedures is available on the NIH home page http://grants1.nih.gov/grants/guide/notice-files/not97-232.html.

Note: In some cases, there are no provisions for appeal. Where applicable, this section discusses appeal procedures or allowable rework time for resubmission of applications to be processed by the funding agency. Appeal procedures vary with individual programs and are either listed in this section or applicants are referred to appeal procedures documented in the relevant Code of Federal Regulations (CFR).

Renewals

Renewal (competing continuation, type 2) applications are accepted.

Note: In some instances, renewal procedures may be the same as for the application procedure, e.g., for projects of a non-continuing nature renewals will be treated as new, competing applications; for projects of an ongoing nature, renewals may be given annually.

Who can benefit...

Institutions as described above and the faculty and students of such institutions will benefit.

Beneficiaries
About this section:

This section lists the ultimate beneficiaries of a program, the criteria they must satisfy and who specifically is not eligible. The applicant and beneficiary will generally be the same for programs that provide assistance directly from a Federal agency. However, financial assistance that passes through State or local governments will have different applicants and beneficiaries since the assistance is transmitted to private sector beneficiaries who are not obligated to request or apply for the assistance.

What types of assistance...

Project Grants

The funding, for fixed or known periods, of specific projects. Project grants can include fellowships, scholarships, research grants, training grants, traineeships, experimental and demonstration grants, evaluation grants, planning grants, technical assistance grants, survey grants, and construction grants.

How much financial aid...

Range and Average of Financial Assistance

Up to $150,000 in direct costs may be requested. In addition to direct costs, facilities and administrative costs (formerly, indirect costs) at the negotiated rate(s) for the institution are included in the total award. The average award for FY 2003 was $145,118.

Note: This section lists the representative range (smallest to largest) of the amount of financial assistance available. These figures are based upon funds awarded in the past fiscal year and the current fiscal year to date. Also indicated is an approximate average amount of awards which were made in the past and current fiscal years.

Obligations

(Grants) FY 03 $31,055,205 (Institutes and Centers); FY 04 est $31,986,831; and FY 05 est $32,946,466.

Note: The dollar amounts listed in this section represent obligations for the past fiscal year (PY), estimates for the current fiscal year (CY), and estimates for the budget fiscal year (BY) as reported by the Federal agencies. Obligations for non-financial assistance programs indicate the administrative expenses involved in the operation of a program.

Account Identification

75-0846-0-1-552.

Note: Note: This 11-digit budget account identification code represents the account which funds a particular program. This code should be consistent with the code given for the program area as specified in Appendix III of the Budget of the United States Government.

Examples of funded projects...

Awards were made for health-related research projects that pertain to the missions of the various funding components of NIH. Lists of the awards made in fiscal year 2003 are available on the AREA home page (http://grants1.nih.gov/grants/funding/area.htm).

About this section

This section indicates the different types of projects which have been funded in the past. Only projects funded under Project Grants or Direct Payments for Specified Use should be listed here. The examples give potential applicants an idea of the types of projects that may be accepted for funding. The agency should list at least five examples of the most recently funded projects.

Program accomplishments...

In fiscal year 2003, approximately 214 awards were made. This reflects the number of meritorious biomedical or behavioral science research projects that were supported and, at a minimum, the number of students who were exposed to research and became aware of scientific research as a career possibility. It is estimated that 214 awards will be made in both fiscal years 2004 and 2005.

Criteria for selecting proposals...

Funding decisions are based on scientific merit (42 CFR 52h), program relevance, and an institution's record of having educated individuals at the baccalaureate level who subsequently obtained doctoral degrees in the health sciences. Scientific merit review encompasses: the significance, approach, and innovation of the proposed research; the competency of the principal investigator; the adequacy of the resources and environment; the proposed budget and requested period of support; and, where applicable, the adequacy of the measures for protecting against adverse effects upon humans, animals, or the environment.

Assistance considerations...

Length and Time Phasing of Assistance

Awards are made in a single, lump sum and are expendable for up to 3 years.

Formula and Matching Requirements

This program has no statutory formula or matching requirements.

Note:
A formula may be based on population, per capita income, and other statistical factors. Applicants are informed whether there are any matching requirements to be met when participating in the cost of a project. In general, the matching share represents that portion of the project costs not borne by the Federal government. Attachment F of OMB Circular No. A-102 (Office of Management and Budget) sets forth the criteria and procedures for the evaluation of matching share requirements which may be cash or in-kind contributions made by State and local governments or other agencies, institutions, private organizations, or individuals to satisfy matching requirements of Federal grants or loans.

Cash contributions represent the grantees' cash outlay, including the outlay of money contributed to the grantee by other public agencies, institutions, private organizations, or individuals. When authorized by Federal regulation, Federal funds received from other grants may be considered as the grantees' cash contribution.

In-kind contributions represent the value of noncash contributions provided by the grantee, other public agencies and institutions, private organizations or individuals. In-kind contributions may consist of charges for real property and equipment, and value of goods and services directly benefiting and specifically identifiable to the grant program. When authorized by Federal legislation, property purchased with Federal funds may be considered as grantees' in-kind contribution.

Maintenance of effort (MOE) is a requirement contained in certain legislation, regulations, or administrative policies stating that a grantee must maintain a specified level of financial effort in a specific area in order to receive Federal grant funds, and that the Federal grant funds may be used only to supplement, not supplant, the level of grantee funds.

Post assistance requirements...

Reports

Annual progress reports are required. In addition, Progress, invention, and expenditure reports are required at the end of the project period.

Note: This section indicates whether program reports, expenditure reports, cash reports or performance monitoring are required by the Federal funding agency, and specifies at what time intervals (monthly, annually, etc.) this must be accomplished.

Audits

In accordance with the provisions of OMB Circular No. A- 133 (Revised, June 27, 2003), "Audits of States, Local Governments, and Nonprofit Organizations," nonfederal entities that expend financial assistance of $500,000 or more in Federal awards will have a single or a program-specific audit conducted for that year. Nonfederal entities that expend less than $500,000 a year in Federal awards are exempt from Federal audit requirements for that year, except as noted in Circular No. A-133. In addition, grants and cooperative agreements are subject to inspection and audits by DHHS and other Federal government officials.

Note: This section discusses audits required by the Federal agency. The procedures and requirements for State and local governments and nonprofit entities are set forth in OMB Circular No. A-133. These requirements pertain to awards made within the respective State's fiscal year - not the Federal fiscal year, as some State and local governments may use the calendar year or other variation of time span designated as the fiscal year period, rather than that commonly known as the Federal fiscal year (from October 1st through September 30th).

Records

Expenditures and other financial records must be retained for 3 years from the day on which the grantee submits the last expenditure report for the grant period.

Note: This section indicates the record retention requirements and the type of records the Federal agency may require. Not included are the normally imposed requirements of the General Accounting Office. For programs falling under the purview of OMB Circular No. A-102, record retention is set forth in Attachment C. For other programs, record retention is governed by the funding agency's requirements.

Regulations...

Authorization

Public Law 104-91.

Note: This section lists the legal authority upon which a program is based (acts, amendments to acts, Public Law numbers, titles, sections, Statute Codes, citations to the U.S. Code, Executive Orders, Presidential Reorganization Plans, and Memoranda from an agency head).

Regulations, Guidelines, And Literature

45 CFR 74; 42 CFR 52. NIH Grants Policy Statement, (Rev.) December 1, 2003. The PHS 398 application form and the AREA Program Guidelines may both be obtained from the NIH Home Page (See Application Procedure above for URL addresses.

Contact information...

Web Sites
Regional Or Local Office

Ms. Linda Stecklein, NIH AREA Coordinator, Office of Extramural Programs, Office of Extramural Research, Rockledge I, Room 3524, Bethesda, MD 20892-7910; Telephone: (301) 402-7989; FAX: (301) 480-0146; E-mail: stecklel@od.nih.gov. Also each NIH Institute has an AREA contact person, whose information is listed on the AREA home page (http://grants1.nih.gov/grants/funding/area.htm).

Note: This section lists the agency contact person, address and telephone number of the Federal Regional or Local Office(s) to be contacted for detailed information regarding a program such as: (1) current availability of funds and the likelihood of receiving assistance within a given period; (2) pre-application and application forms required; (3) whether a pre-application conference is recommended; (4) assistance available in preparation of applications; (5) whether funding decisions are made at the headquarters, regional or local level; (6) application renewal procedures (including continuations and supplementals) or appeal procedures for rejected applications; and (7) recently published program guidelines and material. However, for most federal programs, this section will instruct the reader to consult the so-called Appendix IV of the Catalog due to the large volume of Regional and Local Office Contacts for most agencies. This information is provided in Additional Contact Information (see below).

Headquarters Office

Office of Extramural Programs, Office of Extramural Research, National Institutes of Health, Bethesda, MD 20892. Telephone: (301) 402-7989.

Note: This section lists names and addresses of the office at the headquarters level with direct operational responsibility for managing a program. A telephone number is provided in cases where a Regional or Local Office is not normally able to answer detailed inquiries concerning a program. Also listed are the name(s) and telephone number(s) of the information contact person(s) who can provide additional program information to applicants.

Additional Contact Information (Appendix IV)

Due to the large volume of regional and local office contacts for most agencies, full contact information is also provided separately here in a PDF format: