**Choosing the Appropriate Funding Instrument and Funding Mechanism**

**for Extramural Research Support**

-   **NIH uses 3 major funding instruments to support extramural
    research:**

    -   **Grant:** Investigator decides the research to be designed or
        developed and the approach.

    -   **Contract:** Government decides the research to fill their
        perceived need and establishes detailed requirements. [NINR does
        not use the contract mechanism.]{.mark}

    -   **Cooperative Agreement:** Similar to grants, but awarding
        Institute/Center (IC) and recipient have substantial involvement
        in carrying out the project\'s activities. [NINR participates in
        other IC cooperative agreements but rarely initiates this
        mechanism.]{.mark}

-   **NIH uses 4 different funding avenues to support extramural
    research:**

    -   **Investigator-Initiated Research. Unsolicited:** The
        investigator initiates the research and submits a grant
        application within an area that is relevant to the NIH. Most
        applications for NIH support are unsolicited.

    -   **Program Announcement (PA). Solicited**: NIH solicits grant
        applications or cooperative agreements in a given research area
        representing a new, ongoing or expanded interest and/or
        high-priority program; Generally, no set-aside of funds, and
        applications submitted in response are often considered
        investigator-initiated in that the applicant has responsibility
        for the planning, direction, and execution of the proposed
        project.

    -   **Request for Applications (RFA). Solicited:** NIH solicits
        research grant applications for a one-time competition on a
        specific topic, Describes an IC initiative in a well-defined
        scientific area to stimulate research in a priority area;
        Set-aside of funds for a certain number of awards.

    -   **Request for Proposals (RFP). Solicited:** NIH solicits
        offerors to submit research proposals for a one-time competition
        on a specific IC topic; Set-aside of funds for a certain number
        of awards.

RFAs (grants/cooperative agreements) and RFPs (contracts) tend to be
used more in problem-oriented research efforts, such as disease-specific
programs, especially in their beginning stages (for example, in the
early years of the War on Cancer and of research on AIDS and
Alzheimer\'s disease).

-   **NIH uses numerous grant activities (e.g., R01, R03, R21, R43) to
    support unsolicited and solicited (RFA or PA) research. (See Table1
    below).**

[See <http://ninr.nih.gov/ninr/research/dea/restype.html> to determine
whether NINR supports a particular mechanism, and read the PA for
special NINR requirements.]{.mark} [See also
<http://ninr.nih.gov/ninr/research/dea/mechtable.pdf>]{.mark}.

+-----------------------------+----------------------------------------+
| **Table 1**. **Major Grant  |                                        |
| Activities NIH Uses to Fund |                                        |
| Extramural Research**       |                                        |
+=============================+========================================+
| **Activity**                | **Description**                        |
+-----------------------------+----------------------------------------+
| **Research Grants**         |                                        |
+-----------------------------+----------------------------------------+
| **Traditional Research      | **Research Project Grants** are        |
| Project Grant (R01)**       | awarded to eligible institutions on    |
|                             | behalf of a principal investigator to  |
|                             | support a discrete project related to  |
|                             | the investigator\'s area of interest   |
|                             | and competence. These grants make up   |
|                             | the largest category of NIH funding.   |
+-----------------------------+----------------------------------------+
| **Small Research Grant      | **Small Research Grants** support      |
| (R03)**                     | small research projects that can be    |
|                             | carried out in a short period of time  |
| <http://grants.nih.         | with limited resources for projects    |
| gov/grants/funding/r03.htm> | such as pilot or feasibility studies;  |
|                             | secondary analysis of existing data;   |
|                             | development of research methodology    |
|                             | and/or technology. Not all ICs accept  |
|                             | R03 applications.                      |
+-----------------------------+----------------------------------------+
| **Academic Research         | **Academic Research Enhancement        |
| Enhancement Award (AREA)    | Awards** provide support to scientists |
| (R15)**                     | at eligible domestic institutions for  |
|                             | small-scale health-related research    |
| <http://grants.nih.g        | projects, such as pilot research       |
| ov/grants/funding/area.htm> | projects and feasibility studies;      |
|                             | development, testing, and refinement   |
|                             | of research techniques; and similar    |
|                             | discrete research projects that        |
|                             | demonstrate research capability. Award |
|                             | is directed toward those smaller       |
|                             | public and private colleges and        |
|                             | universities that provide              |
|                             | undergraduate training for a           |
|                             | significant number of the U.S.         |
|                             | research scientists.                   |
+-----------------------------+----------------------------------------+
| **Exploratory/Developmental | **Exploratory/Developmental Research   |
| Research Grant (R21/R33)**  | Grants** seek to broaden the base of   |
|                             | inquiry in fundamental biomedical      |
| <http://grants.nih.         | research by encouraging applications   |
| gov/grants/funding/r21.htm> | for research projects that involve an  |
|                             | especially high degree of innovation   |
|                             | and novelty. NIH provides pilot-scale  |
|                             | support for potentially                |
|                             | ground-breaking ideas and methods that |
|                             | meet the following criteria: they lack |
|                             | sufficient preliminary data for        |
|                             | feasibility to be established, their   |
|                             | successful demonstration would have a  |
|                             | major impact on biomedical research,   |
|                             | and they fall within the areas         |
|                             | supported by the awarding I/C. Not all |
|                             | ICs accept R21/R33 applications.       |
+-----------------------------+----------------------------------------+
| **Small Business Innovation | **SBIR and STTR grants** are made to   |
| Research Grant (SBIR:       | eligible domestic for-profit small     |
| R43/R44)**                  | business concerns conducting           |
|                             | innovative research that has the       |
| **Small Business Technology | potential for commercialization.       |
| Transfer Grant (STTR:       |                                        |
| R41/R42)**                  |                                        |
|                             |                                        |
| <http://grants.nih.g        |                                        |
| ov/grants/funding/sbir.htm> |                                        |
+-----------------------------+----------------------------------------+
| **Program Project Grant     | **Program Project Grants** are more    |
| (P01)**                     | complex in scope and budget than the   |
|                             | individual basic research (R01) grant. |
|                             | While R01s are awarded to support the  |
|                             | work of one principal investigator     |
|                             | who, with supporting staff, is         |
|                             | addressing a scientific problem,       |
|                             | program project grants are available   |
|                             | to a group of several investigators    |
|                             | with differing areas of expertise who  |
|                             | wish to collaborate in research by     |
|                             | pooling their talents and resources.   |
|                             | Program project grants represent       |
|                             | synergistic research programs that are |
|                             | designed to achieve results not        |
|                             | attainable by investigators working    |
|                             | independently. Not all ICs accept P01  |
|                             | applications.                          |
+-----------------------------+----------------------------------------+
| **Research Center Grant     | **Research Center Grants** serve       |
| (P50/P60)**                 | varying scientific and IC-specific     |
|                             | purposes, but they have elements in    |
|                             | common. The grants are                 |
|                             | multidisciplinary in scope and may     |
|                             | focus more on an area or discipline of |
|                             | science than on a specific theme or    |
|                             | goal. Independent investigators direct |
|                             | the projects and cores. Center grants  |
|                             | offer a greater opportunity for        |
|                             | scientific interactions and overall    |
|                             | progress than with individually-funded |
|                             | projects. Not all ICs accept P50/P60   |
|                             | applications.                          |
+-----------------------------+----------------------------------------+
| **Scientific Meeting        | NIH provides support for scientific    |
| Support (R13)**             | meetings, conferences, and workshops   |
|                             | that are relevant to its scientific    |
| <http://grants.nih.gov/gr   | mission. Any U.S. institution or       |
| ants/funding/r13/index.htm> | organization, including an established |
|                             | scientific or professional society, is |
|                             | eligible to apply.                     |
+-----------------------------+----------------------------------------+

Table 2 below represents an integration of extramural research funding
avenues, instruments and mechanisms. [See
<http://ninr.nih.gov/ninr/research/dea/restype.html> to determine if
NINR supports a particular mechanism and read the PA for special NINR
requirements.]{.mark}

+----------------+--------------+--------------+------------------------+
| **Table 2.     |              |              |                        |
| Funding        |              |              |                        |
| Avenues,       |              |              |                        |
| Instruments    |              |              |                        |
| and Activities |              |              |                        |
| for Extramural |              |              |                        |
| Research**     |              |              |                        |
+----------------+--------------+--------------+------------------------+
| **Funding      | **Funding    | **Research   | **Features**           |
| Avenues**      | Instrument** | Activity**   |                        |
|                |              |              |                        |
|                |              | **           |                        |
|                |              | (Examples)** |                        |
+----------------+--------------+--------------+------------------------+
| **Investig     | **Grant**    | **R01,       | -   Principal          |
| ator-initiated |              | R21,\* R03,  |     investigator (PI)  |
| Research**     |              | etc.**       |     initiates an       |
|                |              |              |     application        |
| **(            |              |              |                        |
| Unsolicited)** |              |              | -   PI submits         |
|                |              |              |     application on any |
|                |              |              |     topic of his or    |
|                |              |              |     her choosing.      |
+----------------+--------------+--------------+------------------------+
| **Program      | **Grant**    | **R01, R03,  | -   Describes through  |
| Announcement   |              | R21, R43,    |     a formal statement |
| (PA)**         | **or**       | etc.**       |     a new, ongoing or  |
|                |              |              |     expanded interest  |
| *              | *            | **U01**      |     and/or             |
| *(Solicited)** | *Cooperative |              |     high-priority      |
|                | Agreement**  | **Specified  |     program            |
|                |              | in PA**      |                        |
|                |              |              | -   NIH invites grant  |
|                |              |              |     applications or    |
|                |              |              |     cooperative        |
|                |              |              |     agreement in a     |
|                |              |              |     given research     |
|                |              |              |     area               |
|                |              |              |                        |
|                |              |              | -   Generally active   |
|                |              |              |     for three years    |
|                |              |              |                        |
|                |              |              | -   Generally no set-  |
|                |              |              |     aside of funds     |
|                |              |              |                        |
|                |              |              | -   Applicant has      |
|                |              |              |     responsibility for |
|                |              |              |     planning,          |
|                |              |              |     direction, and     |
|                |              |              |     execution of       |
|                |              |              |     proposed project.  |
|                |              |              |                        |
|                |              |              | -   Applications       |
|                |              |              |     reviewed in CSR    |
|                |              |              |     with unsolicited   |
|                |              |              |     applications       |
+----------------+--------------+--------------+------------------------+
| **Requests for | **Grant**    | **R01, R03,  | -   NIH solicits       |
| Applications   |              | R21, R43,    |     research grant     |
| (RFA)**        | **or**       | etc.**       |     applications for a |
|                |              |              |     one-time           |
| *              | *            | **U01, U43** |     competition on a   |
| *(Solicited)** | *Cooperative |              |     specific topic     |
|                | Agreement**  | **Specified  |                        |
|                |              | in RFA**     | -   Describes an IC    |
|                |              |              |     initiative in a    |
|                |              |              |     well-defined       |
|                |              |              |     scientific area to |
|                |              |              |     stimulate research |
|                |              |              |     in a priority      |
|                |              |              |     area.              |
|                |              |              |                        |
|                |              |              | -   Set-aside of funds |
|                |              |              |     for a certain      |
|                |              |              |     number of awards   |
|                |              |              |                        |
|                |              |              | -   Applications       |
|                |              |              |     generally reviewed |
|                |              |              |     within the issuing |
|                |              |              |     IC                 |
+----------------+--------------+--------------+------------------------+
| **Requests for | **Contract   | **N01, N43** | -   Describes an IC    |
| Proposals      | Mechanism**  |              |     initiative in a    |
| (RFP)**        |              | **Specified  |     well-defined       |
|                |              | in RFP**     |     scientific area    |
| *              |              |              |                        |
| *(Solicited)** |              |              | -   NIH solicits       |
|                |              |              |     offerors to submit |
|                |              |              |     research proposals |
|                |              |              |     for a one-time     |
|                |              |              |     competition on a   |
|                |              |              |     specific topic     |
|                |              |              |                        |
|                |              |              | -   Set-aside of funds |
|                |              |              |     for a certain      |
|                |              |              |     number of awards   |
|                |              |              |                        |
|                |              |              | -   Applications       |
|                |              |              |     generally reviewed |
|                |              |              |     within the IC that |
|                |              |              |     issued the RFP     |
+----------------+--------------+--------------+------------------------+

[\* Note: NINR accepts R21 applications ONLY in response to a PA or RFA
when the R21 is specifically included as an acceptable response
mechanism, therefore, it may not be used for an investigator-initiated
application.]{.mark}

The chart and Table 3 below illustrate the percentage of awards that
were allocated to investigator-initiated (unsolicited) grant
applications, PA and RFAs between 1995 and 2003. For all years, the
majority (80%) of the awards resulted from investigator-initiated
research.

![](media/image1.wmf){width="6.786111111111111in"
height="4.647222222222222in"}

  ----------------------- -------- ----------------- -------------- --------------- ---------- --------------- ------------- -----------------
  Table 3. NIH Competing                                                                                                     
  Research Project                                                                                                           
  Award - R01 and R29                                                                                                        
  Only                                                                                                                       

  By Source of                                                                                                               
  Application (PA, RFA,                                                                                                      
  Unsolicited)                                                                                                               

  Source: Success rate                                                                                                       
  files Program                                                                                                              
  rfa_source_040416_rfm                                                                                                      

                                                     Source of                                                               
                                                     Applications                                                            

                                                     Program Ann                    Requests                   Unsolicited   
                                                     (PA)                           for Appn                                 
                                                                                    (RFA)                                    

  FY                      Number   Amount            Number         Amount          Number     Amount          Number        Amount

  1995                    5,618    \$1,205,355,600   323            \$78,091,124    408        \$93,422,531    4,887         \$1,033,841,945

  1996                    5,550    \$1,255,703,372   344            \$85,201,746    223        \$55,708,252    4,983         \$1,114,793,374

  1997                    5,994    \$1,400,742,175   424            \$106,531,792   242        \$61,696,600    5,328         \$1,232,513,783

  1998                    6,037    \$1,505,512,981   522            \$136,538,439   335        \$102,587,288   5,180         \$1,266,387,254

  1999                    6,860    \$1,927,579,121   689            \$201,480,565   450        \$144,604,765   5,721         \$1,581,493,791

  2000                    6,884    \$2,100,836,524   713            \$232,671,974   458        \$151,934,456   5,713         \$1,716,230,094

  2001                    6,818    \$2,235,420,697   635            \$223,429,093   497        \$177,423,962   5,686         \$1,834,567,642

  2002                    6,661    \$2,280,111,469   662            \$258,640,523   503        \$172,895,502   5,496         \$1,848,575,444

  2003                    7,255    \$2,517,169,505   654            \$251,611,358   589        \$200,817,196   6,012         \$2,064,740,951

                                                                                                                              

  1995                    100.0%   100.0%            5.7%           6.5%            7.3%       7.8%            87.0%         85.8%

  1996                    100.0%   100.0%            6.2%           6.8%            4.0%       4.4%            89.8%         88.8%

  1997                    100.0%   100.0%            7.1%           7.6%            4.0%       4.4%            88.9%         88.0%

  1998                    100.0%   100.0%            8.6%           9.1%            5.5%       6.8%            85.8%         84.1%

  1999                    100.0%   100.0%            10.0%          10.5%           6.6%       7.5%            83.4%         82.0%

  2000                    100.0%   100.0%            10.4%          11.1%           6.7%       7.2%            83.0%         81.7%

  2001                    100.0%   100.0%            9.3%           10.0%           7.3%       7.9%            83.4%         82.1%

  2002                    100.0%   100.0%            9.9%           11.3%           7.6%       7.6%            82.5%         81.1%

  2003                    100.0%   100.0%            9.0%           10.0%           8.1%       8.0%            82.9%         82.0%
  ----------------------- -------- ----------------- -------------- --------------- ---------- --------------- ------------- -----------------

![](media/image2.wmf){width="8.533333333333333in"
height="7.0680555555555555in"}