AN SBIR/STTR INITIATIVE FOR IMAGE-GUIDED CANCER INTERVENTIONS 

RELEASE DATE:  February 17, 2004

PA NUMBER:  PA-04-063 (November 21, 2005 - PA-04-063 has been reissued, see PA-06-031 and PA-06-032) 
                      (Expiration date extended, see NOT-CA-05-026) 

EXPIRATION DATE:  November 21, 2005

Department of Health and Human Services (DHHS)

PARTICIPATING ORGANIZATION:
National Institutes of Health (NIH) 
 (http://www.nih.gov)

COMPONENT OF PARTICIPATING ORGANIZATION:
National Cancer Institute (NCI) 
 (http://www.nci.nih.gov/)

CATALOG OF FEDERAL DOMESTIC ASSISTANCE NUMBER(S):  93.394

APPLICATION RECEIPT DATE(S):  Application submitted in response to this 
program announcement will be accepted at the standard application deadlines 
(April 1, August 1, December 1) 

THIS PA CONTAINS THE FOLLOWING INFORMATION

o Purpose of this PA
o Research Objectives
o Mechanism(s) of Support 
o Project Period and Amount of Award
o Eligible Institutions
o Individuals Eligible to Become Principal Investigators
o Where to Send Inquiries
o Submitting an Application
o Supplemental Instructions
o Peer Review Process
o Review Criteria
o Award Criteria
o Receipt and Review Schedule
o Required Federal Citations

PURPOSE OF THIS PA 

The purpose of this Program Announcement (PA) is to support the development 
and clinical validation of systems for image-guided interventions (IGI) for 
cancer.  Specifically, the goals of this program are to provide support for:

o The development and optimization of fully integrated cancer imaging, 
monitoring, and therapy systems.

o Validation of integrated IGI systems through clinical evaluations.  

o The development of multiple prototype integrated IGI systems as required 
for multi-site clinical evaluations.

o Partnerships among small business, large business, and academic clinical 
centers, as well as small business joint ventures, in order to reach the 
research goals. 

RESEARCH OBJECTIVES   

Recent advances in biomedical technologies that combine imaging with energy- 
and drug-delivery capabilities have stimulated the need for an integrated 
systems development approach and subsequent clinical evaluation of IGI for 
cancer.  Image-guided interventions may be sub-divided into three general 
categories: image-guided- diagnosis (IGD), surgery (IGS), and therapy (IGT).  
The common theme of all IGI applications is “image-guidance” which links 
imaging and interventions.  This crucial linkage implies the need for 
integration at both development and application stages of IGI.  Historically, 
research in IG technologies has primarily focused on development of 
components that perform a certain task, such as stereotactic localization or 
thermal ablation of tumors, in the IGI process.  Although researchers have 
used these systems to establish clinical feasibility, the lack of fully 
integrated and optimized IGI systems has been a major obstacle in further 
advancement of clinical IGI in cancer.   Furthermore, the complexity of IGI 
methods is expected to increase as versatile new biomedical technologies, 
such as molecular imaging, miniature electro-mechanical systems (MEMS), nano-
technology, and robotics find their way into the interventional suite in 
order to increase the accuracy and precision of target identification and 
treatment.  Hence, there is a growing need to go beyond the clinical 
feasibility stage for components of image-guided systems and develop, and 
clinically evaluate, integrated IGI systems for treatment of a variety of 
cancers.  The aim of this program is to stimulate a systems approach for 
integration and clinical testing of IGI technologies for treatment of cancer. 

The importance of developing oncologic IGI techniques has been emphasized in 
several recent NCI Progress Review Group (PRG) reports.   Moreover, the 
significance of small business contributions to the field of IGI was 
emphasized in several recent IGI-related NCI workshops.    In order to meet 
the objectives of IGI systems integration, optimization, and subsequent 
clinical evaluation, partnerships between small businesses that develop the 
component technologies and major imaging companies that provide the imaging 
platforms are encouraged.  Moreover, partnerships between small businesses 
and clinical sites may be necessary for the clinical evaluation of IGI 
products in cancer patients.  Because of the complexity of the technologies 
involved, there may be a need for small companies to develop joint ventures 
in order to leverage the experience of different companies and to pool their 
resources for integration of the component technologies. 

Areas of activity responsive to this PA include, but are not limited to, 
research and development in the integration and optimization of some or all 
of the following component systems into an imaging system as a fully 
integrated IGI system, and clinical evaluations of the IGI systems for 
cancer:

o Energy (e.g., electromagnetic radiation, heat, cold) delivery and 
monitoring
o Drug and gene delivery
o Real-time data registration, analysis, and display
o Robotics
o MEMS, nano-devices and particles
o Device-tracking 
o Physiological monitoring
o Intraluminal devices such as balloons, stents, endoscopes, and coils.

In the context of this PA, “integration” refers to the integration at the 
hardware and software levels when appropriate, in order to allow centralized, 
imaging-based operation and control of the IGI system.  Examples of 
integrated IGI systems include: (i) combined imaging and ablation systems, 
(ii) integration of molecular imaging and interventional devices to improve 
target recognition and interventions, (iii) integration of various magnetic 
resonance pulse sequences into interventional planning and guidance systems 
for physio-anatomic mapping for targeting and monitoring in IGI applications, 
or (iv) an integrated non-rigid registration, surgical, and imaging system.

SBIR and STTR Phase I applications may be submitted in response to this 
initiative for research on feasibility of systems integration and projection 
or modeling of performance characteristics of IGI technologies.  Phase II 
applications are expected to focus on one or both tasks of integration and 
clinical evaluation, depending on the maturity of technologies and complexity 
of each task.  Therefore, technologies that are close to integration are 
expected to move onto early phase oncologic clinical evaluation during Phase 
II.  This initiative supports the development of multiple prototype IGI 
systems as required for evaluations in multi-center clinical evaluations.   

Prospective applicants whose IGI applications focus on the development of 
component technologies, rather than integrated systems development, or 
clinical evaluation may consider the following complementary PA’s that 
support applications from academia and/or industry: 

Bioengineering Research Grants (BRG)
http://grants.nih.gov//grants/guide/pa-files/PA-02-011.html

Exploratory/Developmental Grants for Diagnostic Cancer Imaging (R21) 
http://grants.nih.gov/grants/guide/notice-files/NOT-CA-02-023.html

Industry-Academic Partnerships for Development of Biomedical Imaging Systems 
and Methods that are Cancer Specific (R21)
http://grants.nih.gov/grants/guide/pa-files/PAR-03-157.html

Quick-Trials for Novel Cancer Therapies
http://grants.nih.gov/grants/guide/pa-files/PAR-03-005.html

For a complete listing of past and currently active programs refer to the 
Cancer Imaging Program website: http://cip.cancer.gov

MECHANISMS OF SUPPORT

This PA uses the SBIR and STTR mechanisms, which are set-aside programs. As 
an applicant, you will be solely responsible for planning, directing, and 
executing the proposed project. Future unsolicited, competing- continuation 
applications based on this project will compete with all SBIR/STTR 
applications and will be reviewed according to the customary peer review 
procedures.

This PA uses just-in-time concepts. It also uses the modular budgeting 
format. Specifically, if you are submitting an application budget of $100,000 
total costs (direct, F&A and fee) or less, use the modular format and 
instructions as described in the current SBIR/STTR Omnibus Solicitation. 
Otherwise follow the instructions for non-modular budget research grant 
applications.  This program does not require cost sharing as defined in the 
current NIH Grants Policy Statement at 
http://grants.nih.gov/archive/grants/policy/nihgps_2003/index.htm#matching_or_cost_sharing.

Applications may be submitted for support as Phase I STTR (R41) or Phase I 
SBIR (R43) grants; Phase II STTR (R42) or Phase II SBIR (R44) grants; or the 
SBIR/STTR FAST-TRACK option as described in the SBIR/STTR Omnibus 
Solicitation.  Phase II applications in response to this PA will only be 
accepted as competing continuations of previously funded NIH Phase I 
SBIR/STTR awards.  The Phase II application must be a logical extension of 
the Phase I research, but not necessarily a Phase I project supported in 
response to this PA.

PROJECT PERIOD AND AMOUNT OF AWARD

The SBIR/STTR Omnibus Solicitation indicates the statutory guidelines of 
funding support and project duration periods for SBIR and STTR Phase I and 
Phase II awards.  For this PA, budgets up to $150,000 total costs per year 
and up to 2 years for Phase I may be requested.  A maximum of 3 years of 
support at budgets of up to $1,000,000 total costs per year may be requested 
for Phase II research that includes clinical evaluation.  Phase II activities 
that do not include clinical evaluation are limited to a maximum budget of 
$750,000 total cost per year. Total costs include direct costs, F&A, and 
fee/profit.  

ELIGIBLE INSTITUTIONS

Eligibility requirements are described in the SBIR/STTR Omnibus Solicitation.  
Only small business concerns are eligible to submit SBIR/STTR applications.  
A small business concern is one that, on the date of award for both Phase I 
and Phase II agreements, meets ALL of the criteria as described in the 
SBIR/STTR Omnibus Solicitation.

INDIVIDUALS ELIGIBLE TO BECOME PRINCIPAL INVESTIGATORS

Any individual with the skills, knowledge, and resources necessary to carry 
out the proposed research is invited to work with their institution to 
develop an application for support.  Individuals from underrepresented racial 
and ethnic groups as well as individuals with disabilities are always 
encouraged to apply for NIH programs.  On an SBIR application, the principal 
investigator must have his/her primary employment (more than 50%) with the 
small business at the time of award and for the duration of the project. The 
PI on an STTR application may be employed with the small business concern or 
the participating non-profit research institution as long as s/he has a 
formal appointment with or commitment to the applicant small business 
concern, which is characterized by an official relationship between the small 
business concern and that individual. 

WHERE TO SEND INQUIRIES

We encourage inquiries concerning this PA and welcome the opportunity to 
answer questions from potential applicants.  Inquiries may fall into two 
areas:  scientific/research and financial or grants management issues:

o Direct questions about scientific/research issues to:

Keyvan Farahani, Ph.D.
Cancer Imaging Program (CIP)
Division of Cancer Treatment and Diagnosis
National Cancer Institute
Executive Plaza North, Suite 6000
6130 Executive Boulevard
Bethesda, MD 20892
Rockville, MD 20852 (express/courier service)
Phone: 301-496-9531
Fax: 301-480-3507
E-mail: farahank@mail.nih.gov
CIP website: http://cip.cancer.gov

Laurence P. Clarke, Ph.D.
Cancer Imaging Program
Division of Cancer Treatment and Diagnosis
National Cancer Institute
Executive Plaza North, Suite 6000
6130 Executive Boulevard
Bethesda, MD 20892
Rockville, MD 20852 (express/courier service)
Phone: 301-435-9190
Fax: 301-480-3507
E-mail: lclarke@mail.nih.gov

o Direct questions about financial or grants management matters to:

Ted Williams
Grants Administration Branch
National Cancer Institute
6120 Executive Blvd. Room 243
Bethesda, MD 20892-7150
Telephone:  (301) 496-8785
Fax: (301) 496-8601
E-mail:  williate@mail.nih.gov

SUBMITTING AN APPLICATION

The PHS 398 research grant application must be used for all SBIR/STTR Phase 
I, Phase II and Fast-Track applications (new and revised.)  Effective October 
1, 2003, http://grants.nih.gov/grants/guide/notice-files/NOT-OD-03-055.html 
applications must have a Dun and Bradstreet (D&B) Data Universal Numbering 
System (DUNS) number as the Universal Identifier when applying for Federal 
grants or cooperative agreements. The DUNS number can be obtained by calling 
(866) 705-5711 or through the web site at http://www.dunandbradstreet.com/. 
The DUNS number should be entered on line 11 of the face page of the PHS 398 
form. The PHS 398 document is available at 
http://grants.nih.gov/grants/funding/phs398/phs398.html.  Prepare your 
application in accordance with the SBIR/STTR Omnibus Solicitation and the PHS 
398. Helpful information for advice and preparation of the application can be 
obtained at: http://grants.nih.gov/grants/funding/sbirgrantsmanship.pdf.  The 
NIH will return applications that are not submitted on the 5/2001 version of 
the PHS 398.  For further assistance contact GrantsInfo, Telephone: (301) 
435-0714, Email:GrantsInfo@nih.gov. 

The title and number of this PA must be typed on line 2 of the face page of 
the application. 

SUPPLEMENTARY INSTRUCTIONS:  The Phase I Research Plan of FAST-TRACK 
applications must conclude with a section on objective performance targets, 
or Milestones, to serve in the Institute programmatic evaluation of the 
success of Phase I work after completion.  The Milestones should be 
quantitative when appropriate.

If a copy or copies of a prototype will be needed for placement in one or 
more sites for pre-clinical or clinical evaluation, include a clear written 
justification for the funds requested in the Budget Justification Section, 
and make written reference in the application to this instruction. 

SENDING AN APPLICATION TO THE NIH: Submit a signed, typewritten original of 
the application, including the checklist, and five signed photocopies in one 
package to:

Center for Scientific Review
National Institutes of Health
6701 Rockledge Drive, Room 1040, MSC 7710
Bethesda, MD  20892-7710 (For USPS express or regular mail)
Bethesda, MD  20817 (for express/courier non-USPS service)

APPLICATION PROCESSING: Applications must be received by or mailed on or 
before the receipt dates described on the first page of this program 
announcement. The CSR will not accept any application in response to this PA 
that is essentially the same as one currently pending initial review unless 
the applicant withdraws the pending application.  The CSR will not accept any 
application that is essentially the same as one already reviewed.  This does 
not preclude the submission of a substantial revision of an unfunded version 
of an application already reviewed, but such application must include an 
Introduction addressing the previous critique. 

Although there is no immediate acknowledgement of the receipt of an 
application, applicants are generally notified of the review and funding 
assignment within 8 weeks.

PEER REVIEW PROCESS

Applications submitted for this PA that are complete will be assigned on the 
basis of established PHS referral guidelines.  Appropriate scientific review 
groups convened in accordance with the standard NIH peer review procedures 
(http://www.csr.nih.gov/refrev.htm) will evaluate applications for scientific 
and technical merit.  

As part of the initial merit review, all applications will:

o Undergo a selection process in which only those applications deemed to have 
the highest scientific merit, generally the top half of applications under 
review, will be discussed and assigned a priority score;
o Receive a written critique; and
o Receive a second level review by an appropriate advisory council or board.  

REVIEW CRITERIA

The goals of NIH-supported research are to advance our understanding of 
biological systems, improve the control of disease, and enhance health.  In 
the written comments, reviewers will be asked to discuss the following 
aspects of the application in order to judge the likelihood that the proposed 
research will have a substantial impact on the pursuit of these goals:

o Significance 
o Approach 
o Innovation
o Investigator
o Environment

ALL SBIR/STTR APPLICATIONS

1. Significance:  Does the proposed project have commercial potential to lead 
to a marketable product or process? Does this study address an important  
problem? What may be the anticipated commercial and societal benefits of the 
proposed activity? If the aims of the application are achieved, how will 
scientific knowledge be advanced? Does the application lead to enabling 
technologies (e.g., instrumentation, software) for further discoveries?  Will 
the technology have a competitive advantage over existing/alternate 
technologies that can meet the market needs?

2. Approach:  Are the conceptual framework, design, methods, and analyses 
adequately developed, well-integrated, and appropriate to the aims of the 
project? Is the proposed plan a sound approach for establishing technical and 
commercial feasibility? Does the applicant acknowledge potential problem 
areas and consider alternative strategies? Are the milestones and evaluation 
procedures appropriate?  

3. Innovation:  Does the project challenge existing paradigms or employ novel 
technologies, approaches or methodologies? Are the aims original and 
innovative? 

4. Investigators: Is the Principal Investigator capable of coordinating and 
managing the proposed SBIR/STTR? Is the work proposed appropriate to the 
experience level of the Principal Investigator and other researchers, 
including consultants and subcontractors (if any)? Are the relationships of 
the key personnel to the small business and to other institutions appropriate 
for the work proposed? 

5. Environment:  Is there sufficient access to resources (e.g., equipment, 
facilities)? Does the scientific and technological environment in which the 
work will be done contribute to the probability of success? Do the proposed 
experiments take advantage of unique features of the scientific environment 
or employ useful collaborative arrangements? 

ADDITIONAL REVIEW CRITERIA: In addition to the above criteria, the following 
items will be considered in the determination of scientific merit and the 
priority score:

PROTECTION OF HUMAN SUBJECTS FROM RESEARCH RISK: The involvement of human 
subjects and protections from research risk relating to their participation 
in the proposed research will be assessed. (See additional information and 
criteria included in the section on Federal Citations, below).
 
INCLUSION OF WOMEN, MINORITIES AND CHILDREN IN RESEARCH: The adequacy of 
plans to include subjects from both genders, all racial and ethnic groups 
(and subgroups), and children as appropriate for the scientific goals of the 
research.  Plans for the recruitment and retention of subjects will also be 
evaluated. (See additional information and Inclusion Criteria in the sections 
on Federal Citations, below).

Human Subjects:

1. Protection of Human Subjects from Research Risks - for all studies 
involving human subjects. See instructions and "Guidance for Preparing the 
Human Subjects Research Section.”  If an exemption is claimed, is it 
appropriate for the work proposed? If no exemption is claimed, are the 
applicant's responses to the six required points appropriate?  Are human 
subjects placed at risk by the proposed study? If so, are the risks 
reasonable in relation to the anticipated benefits to the subjects and 
others? Are the risks reasonable in relation to the importance of the 
knowledge that reasonably may be expected to be gained?  Are the plans 
proposed for the protection of human subjects adequate? 

2. Inclusion of Women Plan - Does the applicant propose a plan for the 
inclusion of both genders that will provide their appropriate representation? 
Does the applicant provide appropriate justification when representation is 
limited or absent? Does the applicant propose appropriate and acceptable 
plans for recruitment/outreach and retention of study participants? 

3. Inclusion of Minorities Plan - Does the applicant propose a plan for the 
inclusion of minorities that will provide their appropriate representation? 
Does the applicant provide appropriate justification when representation is 
limited or absent? Does the applicant propose appropriate and acceptable 
plans for recruitment/outreach and retention of study participants? 

4. Inclusion of Children Plan- for all studies involving human subjects.  
Does the applicant describe an acceptable plan in which the representation of 
children of all ages (under the age of 21) is scientifically appropriate and 
recruitment/retention is addressed realistically? If not, does the applicant 
provide an appropriate justification for their exclusion? 

5. Data and Safety Monitoring Plan - Does the applicant describe a Data and 
Safety Monitoring Plan that defines the general structure of the monitoring 
entity and mechanisms for reporting Adverse Events to the NIH and the IRB? 

CARE AND USE OF VERTEBRATE ANIMALS IN RESEARCH: If vertebrate animals are to 
be used in the project, the required five items described under Vertebrate 
Animals (section f of the Research Plan instructions) will be assessed.  

BIOHAZARDS:  Is the use of materials or procedures that are potentially 
hazardous to research personnel and/or the environment proposed? Is the 
proposed protection adequate? 

ADDITIONAL REVIEW CONSIDERATIONS: The following items may be also be 
considered by reviewers but will not be included in the determination of 
scientific merit.

SHARING RESEARCH DATA: Applicants requesting more than $500,000 in direct 
costs in any year of the proposed research must include a data sharing plan 
in their application. The reasonableness of the data sharing plan or the 
rationale for not sharing research data will be assessed by the reviewers. 
However, reviewers will not factor the proposed data sharing plan into the 
determination of scientific merit or priority score.  (See URL in Federal 
Citations, below.)

BUDGET:  The reasonableness of the proposed budget may be considered.  For 
all applications, is the percent effort listed for the PI appropriate for the 
work proposed? On applications requesting up to $100,000 total costs, is the 
overall budget realistic and justified in terms of the aims and methods 
proposed?  On applications requesting over $100,000 in total costs, is each 
budget category realistic and justified in terms of the aims and methods?   

PERIOD OF SUPPORT: The appropriateness of the requested period of support in 
relation to the proposed research.

PHASE II APPLICATIONS: In addition to the above criteria:

1.  How well did the applicant demonstrate progress toward meeting the Phase 
I objectives, demonstrating feasibility, and providing a solid foundation for 
the proposed Phase II activity? 

2.  Did the applicant submit a concise Commercialization Plan that adequately 
addresses the seven areas described in the Research Plan item J? 

3.  Does the project carry a high degree of commercial potential, as 
described in the Commercialization Plan? 

AMENDED APPLICATIONS

In addition to the above criteria, the following criteria will be applied to 
revised applications.

1. Are the responses to comments from the previous SRG review adequate?

2. Are the improvements in the revised application appropriate? 

PHASE I/PHASE II FAST-TRACK APPLICATION REVIEW CRITERIA

For Phase I/Phase II Fast Track applications, the following criteria also 
will be applied:

1.  Does the Phase I application specify clear, appropriate, measurable goals 
(milestones) that should be achieved prior to initiating Phase II? 

2.  Did the applicant submit a concise Commercialization Plan that adequately 
addresses the seven areas described in the Research Plan, item J? 

3.  To what extent was the applicant able to obtain letters of interest, 
additional funding commitments, and/or resources from the private sector or 
non-SBIR/ STTR funding sources that would enhance the likelihood for 
commercialization? 

4.  Does the project carry a high degree of commercial potential, as 
described in the Commercialization Plan? 

Phase I and Phase II Fast-Track applications that satisfy all of the review 
criteria will receive a single rating. Failure to provide clear, measurable 
goals may be sufficient reason for the scientific review group to exclude the 
Phase II application from Fast-Track review.

AWARD CRITERIA

Applications submitted in response to a PA will compete for available funds 
with all other recommended SBIR and STTR applications.  The following will be 
considered in making funding decisions:  

o Scientific merit of the proposed project as determined by peer review;
o Availability of funds; and 
o Relevance to program priorities.

For FAST-TRACK applications, the Phase II portion may not be funded until a 
Phase I final report and other documents necessary for continuation have been 
received and assessed by program staff that the Phase I milestones have been 
successfully achieved. 

RECEIPT AND REVIEW SCHEDULE  
See http://grants.nih.gov/grants/funding/sbirsttr_receipt_dates.htm.

REQUIRED FEDERAL CITATIONS 

HUMAN SUBJECTS PROTECTION: Federal regulations (45CFR46) require that 
applications and proposals involving human subjects must be evaluated with 
reference to the risks to the subjects, the adequacy of protection against 
these risks, the potential benefits of the research to the subjects and 
others, and the importance of the knowledge gained or to be gained. 
http://www.hhs.gov/ohrp/humansubjects/guidance/45cfr46.htm

DATA AND SAFETY MONITORING PLAN: Data and safety monitoring is required for 
all types of clinical trials, including physiologic, toxicity, and dose-
finding studies (phase I); efficacy studies (phase II); efficacy, 
effectiveness and comparative trials (phase III).  The establishment of data 
and safety monitoring boards (DSMBs) is required for multi-site clinical 
trials involving interventions that entail potential risk to the 
participants.  (NIH Policy for Data and Safety Monitoring, NIH Guide for 
Grants and Contracts, June 12, 1998: 
http://grants.nih.gov/grants/guide/notice-files/not98-084.html).  

SHARING RESEARCH DATA:  Starting with the October 1, 2003 receipt date, 
investigators submitting an NIH application seeking $500,000 or more in 
direct costs in any single year are expected to include a plan for data 
sharing or state why this is not possible. 
http://grants.nih.gov/grants/policy/data_sharing  Investigators should seek 
guidance from their institutions, on issues related to institutional 
policies, local IRB rules, as well as local, state and Federal laws and 
regulations, including the Privacy Rule. Reviewers will consider the data 
sharing plan but will not factor the plan into the determination of the 
scientific merit or the priority score.

INCLUSION OF WOMEN AND MINORITIES IN CLINICAL RESEARCH: It is the policy of 
the NIH that women and members of minority groups and their sub-populations 
must be included in all NIH-supported clinical research projects unless a 
clear and compelling justification is provided indicating that inclusion is 
inappropriate with respect to the health of the subjects or the purpose of 
the research. This policy results from the NIH Revitalization Act of 1993 
(Section 492B of Public Law 103-43).

All investigators proposing clinical research should read the "NIH Guidelines 
for Inclusion of Women and Minorities as Subjects in Clinical Research - 
Amended, October, 2001," published in the NIH Guide for Grants and Contracts 
on October 9, 2001 
(http://grants.nih.gov/grants/guide/notice-files/NOT-OD-02-001.html);
a complete copy of the updated Guidelines are available at 
http://grants.nih.gov/grants/funding/women_min/guidelines_amended_10_2001.htm.
The amended policy incorporates: the use of an NIH definition of clinical 
research; updated racial and ethnic categories in compliance with the new OMB 
standards; clarification of language governing NIH-defined Phase III clinical 
trials consistent with the new PHS Form 398; and updated roles and 
responsibilities of NIH staff and the extramural community.  The policy 
continues to require for all NIH-defined Phase III clinical trials that: a) 
all applications or proposals and/or protocols must provide a description of 
plans to conduct analyses, as appropriate, to address differences by 
sex/gender and/or racial/ethnic groups, including subgroups if applicable; 
and b) investigators must report annual accrual and progress in conducting 
analyses, as appropriate, by sex/gender and/or racial/ethnic group 
differences.

INCLUSION OF CHILDREN AS PARTICIPANTS IN RESEARCH INVOLVING HUMAN SUBJECTS:  
The NIH maintains a policy that children (i.e., individuals under the age of 
21) must be included in all human subjects research, conducted or supported 
by the NIH, unless there are scientific and ethical reasons not to include 
them. This policy applies to all initial (Type 1) applications submitted for 
receipt dates after October 1, 1998.

All investigators proposing research involving human subjects should read the 
"NIH Policy and Guidelines" on the inclusion of children as participants in 
research involving human subjects that is available at 
http://grants.nih.gov/grants/funding/children/children.htm

REQUIRED EDUCATION ON THE PROTECTION OF HUMAN SUBJECT PARTICIPANTS:  NIH 
policy requires education on the protection of human subject participants for 
all investigators submitting NIH proposals for research involving human 
subjects.  You will find this policy announcement in the NIH Guide for Grants 
and Contracts Announcement, dated June 5, 2000, at 
http://grants.nih.gov/grants/guide/notice-files/NOT-OD-00-039.html.  A 
continuing education program in the protection of human participants in 
research is available online at: http://cme.nci.nih.gov/

HUMAN EMBRYONIC STEM CELLS (hESC):  Criteria for federal funding of research 
on hESCs can be found at http://stemcells.nih.gov/index.asp and at 
http://grants.nih.gov/grants/guide/notice-files/NOT-OD-02-005.html.  Only 
research using hESC lines that are registered in the NIH Human Embryonic Stem 
Cell Registry will be eligible for Federal funding (see http://escr.nih.gov).   
It is the responsibility of the applicant to provide, in the project 
description and elsewhere in the application as appropriate, the official NIH 
identifier(s) for the hESC line(s) to be used in the proposed research.  
Applications that do not provide this information will be returned without 
review. 

PUBLIC ACCESS TO RESEARCH DATA THROUGH THE FREEDOM OF INFORMATION ACT: The 
Office of Management and Budget (OMB) Circular A-110 has been revised to 
provide public access to research data through the Freedom of Information Act 
(FOIA) under some circumstances.  Data that are (1) first produced in a 
project that is supported in whole or in part with Federal funds and (2) 
cited publicly and officially by a Federal agency in support of an action 
that has the force and effect of law (i.e., a regulation) may be accessed 
through FOIA.  It is important for applicants to understand the basic scope 
of this amendment.  NIH has provided guidance at 
http://grants.nih.gov/grants/policy/a110/a110_guidance_dec1999.htm.

Applicants may wish to place data collected under this PA in a public 
archive, which can provide protections for the data and manage the 
distribution for an indefinite period of time.  If so, the application should 
include a description of the archiving plan in the study design and include 
information about this in the budget justification section of the 
application. In addition, applicants should think about how to structure 
informed consent statements and other human subjects procedures given the 
potential for wider use of data collected under this award.

STANDARDS FOR PRIVACY OF INDIVIDUALLY IDENTIFIABLE HEALTH INFORMATION:  The 
Department of Health and Human Services (DHHS) issued final modification to 
the “Standards for Privacy of Individually Identifiable Health Information”, 
the “Privacy Rule,” on August 14, 2002.  The Privacy Rule is a federal 
regulation under the Health Insurance Portability and Accountability Act 
(HIPAA) of 1996 that governs the protection of individually identifiable 
health information, and is administered and enforced by the DHHS Office for 
Civil Rights (OCR). Those who must comply with the Privacy Rule (classified 
under the Rule as “covered entities”) must do so by April 14, 2003 (with the 
exception of small health plans which have an extra year to comply).  

Decisions about applicability and implementation of the Privacy Rule reside 
with the researcher and his/her institution. The OCR website 
(http://www.hhs.gov/ocr/) provides information on the Privacy Rule, including 
a complete Regulation Text and a set of decision tools on “Am I a covered 
entity?”  Information on the impact of the HIPAA Privacy Rule on NIH 
processes involving the review, funding, and progress monitoring of grants, 
cooperative agreements, and research contracts can be found at 
http://grants.nih.gov/grants/guide/notice-files/NOT-OD-03-025.html

URLs IN NIH GRANT APPLICATIONS OR APPENDICES: All applications and proposals 
for NIH funding must be self-contained within specified page limitations. 
Unless otherwise specified in an NIH solicitation, Internet addresses (URLs) 
should not be used to provide information necessary to the review because 
reviewers are under no obligation to view the Internet sites.   Furthermore, 
we caution reviewers that their anonymity may be compromised when they 
directly access an Internet site.

HEALTHY PEOPLE 2010: The Public Health Service (PHS) is committed to 
achieving the health promotion and disease prevention objectives of "Healthy 
People 2010," a PHS-led national activity for setting priority areas. This 
RFA is related to one or more of the priority areas. Potential applicants may 
obtain a copy of "Healthy People 2010" at 
http://www.health.gov/healthypeople. 

AUTHORITY AND REGULATIONS: This program is described in the Catalog of 
Federal Domestic Assistance at http://www.cfda.gov/ and is not subject to the 
intergovernmental review requirements of Executive Order 12372 or Health 
Systems Agency review.  Awards are made under the authorization of Sections 
301 and 405 of the Public Health Service Act as amended (42 USC 241 and 284) 
and under Federal Regulations 42 CFR 52 and 45 CFR Parts 74 and 92.  All 
awards are subject to the terms and conditions, cost principles, and other 
considerations described in the NIH Grants Policy Statement.  The NIH Grants 
Policy Statement can be found at 
http://grants.nih.gov/grants/policy/policy.htm

The PHS strongly encourages all grant recipients to provide a smoke-free 
workplace and discourage the use of all tobacco products.  In addition, 
Public Law 103-227, the Pro-Children Act of 1994, prohibits smoking in 
certain facilities (or in some cases, any portion of a facility) in which 
regular or routine education, library, day care, health care, or early 
childhood development services are provided to children.  This is consistent 
with the PHS mission to protect and advance the physical and mental health of 
the American people.


Weekly TOC for this Announcement
NIH Funding Opportunities and Notices


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Research (OER)
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Bethesda, Maryland 20892
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and Human Services (HHS)
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