COLLABORATIVE STUDIES ON ALZHEIMER AND RELATED DISEASES
RELEASE DATE: September 2, 2004
RFA Number: RFA-AG-05-006
EXPIRATION DATE: December 22, 2004
Department of Health and Human Services (DHHS)
PARTICIPATING ORGANIZATION:
National Institutes of Health (NIH)
(http://www.nih.gov)
COMPONENTS OF PARTICIPATING ORGANIZATION:
National Institute on Aging (NIA)
(http://www.nih.gov/nia/)
National Institute of Neurological Diseases and Stroke (NINDS)
(http://www.ninds.nih.gov/)
CATALOG OF FEDERAL DOMESTIC ASSISTANCE NUMBERS: 93.866, 93.853
LETTER OF INTENT RECEIPT DATE: November 21, 2004
APPLICATION RECEIPT DATE: December 21, 2004
THIS RFA CONTAINS THE FOLLOWING INFORMATION
o Purpose of this RFA
o Research Objectives
o Mechanism of Support
o Funds Available
o Eligible Institutions
o Individuals Eligible to Become Principal Investigators
o Special Requirements
o Where to Send Inquiries
o Letter of Intent
o Submitting an Application
o Peer Review Process
o Review Criteria
o Receipt and Review Schedule
o Award Criteria
o Required Federal Citations
PURPOSE OF THIS RFA
The NIA and NINDS encourage wider use of data and samples generated by
grants supported by the institute(s) including the Alzheimer’s Disease
Centers (ADCs). The purpose of this RFA is to accelerate collaborative
cross-disciplinary and multi-institutional approaches that will
contribute new and vital information about the clinical and
pathological course of normal aging and the neurodegenerative diseases
associated with aging.
This RFA requires the utilization of data and/or samples from at least
three currently funded NIA ADCs with the possibility of using
additional relevant data or samples from outside of the Centers. The
project must use the National Alzheimer’s Coordinating Center (NACC)
http://www.alz.washington.edu/ for expert advice on planning, study
design, and also utilize NACC for statistical analyses and data
management during conduct of the research projects. Applicants can be
from the Alzheimer’s Disease Centers, the Morris K. Udall Centers, or
the research community at large. There should be a plan to share data
originating from these studies by archiving them at NACC or another
appropriate National databank so that other investigators will be able
to conduct additional analyses when appropriate. There must also be a
plan to encourage sample utilization after the current study.
This is a research opportunity for scientists both within and outside
the ADCs to gain access to unique resources related to Alzheimer’s
Disease, other neurodegenerative diseases, and normal aging and to
support collection of new data and samples. Applicants can also propose
to utilize Center data and samples to investigate other age-related
neurodegenerative diseases, such as Vascular dementia, Parkinson’s
dementia, Lewy Body disease, Fronto-Temporal dementia, as well as study
psychiatric symptoms associated with dementia, socio behavioral aspects
of dementia, and management and care of dementia patients.
The National Institute of Neurological Disorders and Stroke (NINDS) is
interested in those specific applications which include the Morris K.
Udall Centers of Excellence, or other Parkinson’s research centers, in
the pursuit of those research objectives focused on Parkinson's Disease
(PD) or related parkinsonisms. The PD center need not be located with
ADCs, but collaboration with those ADCs with existing samples and data
sets focused on PD is required. Specific scientific projects of
interest include the use of clinico-pathological correlations to study
mechanisms of pathogenesis in PD or other parkinsonian conditions,
characterization of the pathological features of these conditions, and
the collection of patient data on their associated symptoms.
RESEARCH OBJECTIVES
Background
As research on Alzheimer’s disease (AD) has matured, new aspects of the
disease are being addressed. More emphasis is being placed on the
clinical and neuropathological changes that distinguish the initial
stages of AD from normal aging as well as variations in the initial
symptomatology (endophenotypes). At the same time it is becoming
increasingly clear that AD shares features with neurodegenerative
diseases that include Parkinson’s disease, Lewy Body disease, and
Fronto-Temporal dementia. Therefore, research is also encouraged that
focuses on collecting diagnostic information, brain tissue and
biological samples that allow further differentiation among these
diseases and documentation of common features.
Using the large subject pool enrolled at the Alzheimer’s Disease
Centers, larger scale multi-site collaborative studies are feasible to
study successful aging, normal aging, mild cognitive impairment (MCI)
and mild AD. It is expected that access to larger data sets through
data pooling will increase statistical power and permit
characterization of the rarer and mixed phenotypes among the various
diseases. Presently a minimum data set (MDS) including demographic and
clinical and pathological diagnostic variables is available at the
National Alzheimer’s Coordinating Center and plans are nearly complete
to greatly expand data collection from all future enrollees in the ADCs
that will provide uniform clinical and psychometric data for future
studies, the Uniform Data Set (UDS). Applicants are urged to consult
with NACC to determine the data elements available. Use of these
elements may help in the detection of potential biomarkers or patterns
that will help identify persons at risk for disease, characterize and
diagnose the different disease entities, refine description of disease
course, and monitor response to treatment in different subsets of AD
and other patients e.g., genetic subsets, ethnic minorities, the oldest
old, or those with less common neurodegenerative diseases. For
information about the data elements included in the MDS and the UDS,
contact NACC.
Collections of biological specimens including brain tissue (fixed and
frozen), serum, plasma, CSF, DNA and cell lines are stored at the
various Alzheimer’s Centers (contact NACC for locations) and DNA and
cell lines for genetic studies are stored at the National Cell
Repository for Alzheimer’s Disease (NCRAD),
http://ncrad.iu.edu/forResearchers/samples.asp. Applicants are also
encouraged to use samples from other specimen repositories supported by
NIH, if appropriate.
The NIA Alzheimer’s Disease Centers program is authorized by the Public
Health Service Act, Section 445, and includes seventeen Alzheimer’s
Disease Research Centers (ADRCs) and twelve Alzheimer’s Disease Core
Centers (ADCCs). The Alzheimer’s Centers have provided a platform for
the growth of research and training of scientists for AD research and
have been the leaders in research on clinico-pathological correlations
to compare normal aging and AD as well as in answering many basic
research questions on AD and related dementias. The main function of
the ADCs is to support cutting-edge research either directly or
indirectly by providing well-characterized patients and family
information and tissue and other biological specimens from persons with
AD and from age-matched control subjects for various projects.
The National Alzheimer’s Coordinating Center was established to collect
a common data set from all NIA funded Alzheimer’s Disease Centers in
order to facilitate collaboration among the Alzheimer’s Disease Centers
on important unanswered questions pertaining to AD, related disorders,
and normal aging. The database consists of several datasets including
the MDS, data from previous collaborative projects, and soon will also
contain the UDS mentioned above.
Objectives
This RFA invites studies that utilize existing samples and data
gathered by the Centers and/or studies that collect additional data and
samples within the Center network to target specific research questions
best addressed by collaborative studies. In such projects, collection
and utilization of data and/or samples need not be confined to the
applicant Centers but also could involve other Centers and other data
sources. Applicants will find on the NACC website the current directory
of the ADCs as well as a description of the data collected at the
Centers. To initiate the process, potential applicants may contact the
NIA Program Officer listed below, or the Director of NACC to determine
which Centers to contact to set up collaborations. Alternatively the
applicant may contact Centers directly to discuss potential
collaborations. Searches may be done on the entire database or on
individual datasets after approval for access has been granted. NACC
can use the MDS data to help applicants locate subjects with particular
characteristics for whom tissues and biological specimens may be
available at participating ADCs and will facilitate contact among
applicants responding to this RFA with the ADCs to locate information
and specimens for this project. Any questions regarding the UDS can be
directed to NACC or the NIA program officer listed below. Additionally
NACC provides statistical and epidemiological consulting concerning
research questions, study design and analytic methods best suited to
the overall NACC database or the individual Centers. Applicants should
budget funds to subcontract to NACC for consulting and data management
expenses for the tenure of the award.
Possible examples of scientific problems that could be addressed by
applications include but are not limited to collaborative projects
that:
o Study expression of Alzheimer’s disease, other related dementias and
normal brain aging in specific minority groups, in terms of
clinicopathological correlations, diagnostic issues, biomarkers, co-
morbidities, particular risk factors, differential prevalence, clinical
presentation or course of disease.
o Determine the impact of co-morbid pathological conditions (such as
diabetes; hypertension; heart disease; altered metabolic profiles) on
normal and abnormal cognitive brain aging, especially in relation to
vulnerable individuals, such as the oldest old.
o Study biological samples (brain tissue, blood, CSF, and other body
fluids) collected by standardized methods and currently stored at
selected Alzheimer’s Disease Centers to get sufficient numbers of
samples to reach statistical significance; set up biochemical screens
to identify molecules indicative of disease state (messenger RNAs,
proteins, carbohydrates, and lipids) and their relative concentration
in brain, serum, CSF, and other body fluids in various subject
populations. For example, protein identity, concentration, and
localization could be analyzed by proteomics methodologies, such as
MALDI-TOF spectroscopy, protein arrays, antibody arrays or tissue
microarrays using biological samples from persons with 1) successful
aging, 2) normal aging, 3) mild cognitive impairment, 4) early stages
of AD, 5) late stages of AD, 6) AD with Lewy bodies, 7) AD with
cerebrovascular disease, 8) Parkinson’s dementia, etc., at various ages
and degrees of disease progression. It may then be possible to identify
patterns or profiles of molecules that could be used to distinguish
among the various conditions, serve as biomarkers for preclinical
disease, diagnosis or disease progression, or offer clues to molecular
changes causing initiation and progression of disease processes in
vulnerable cell types in specific brain regions.
o Conduct microarray studies in specific brain regions and studies of
gene expression in single identified cells to illuminate the local and
widespread changes in gene expression that accompany successful aging,
normal aging, MCI, the different stages of AD and related
neurodegenerative diseases. Appropriately characterized brains from
persons who died with minimal agonal stress, with relatively short
postmortem intervals, and from whom brain RNA can be analyzed
quantitatively could be identified from Center resources for such
studies. Microarray or cellular data generated by different
investigators and compiled into a reference dataset would be one step
towards identifying genomic expression changes in brain regions and
particular cell populations that consistently parallel age or disease
phenotypes and endophenotypes.
o Characterize the pathological features (such as plaques, tangles,
Lewy bodies, selective cell vulnerability, synapse loss, atrophy, white
matter lesions, and micro infarcts), in different brain regions of
selected individuals to elucidate the temporal and spatial development
of pathologies in successful aging, normal aging, MCI, and early stages
of AD.
o Identify the pathology or combination of pathologies that best
explains the neuropsychological deficits, if any, in individual
subjects.
o Determine whether any of the possible precursors of overt pathology
distinguish brains of persons with normal aging from brains of
persons who show subtle age-related cognitive changes often preceding
AD, from brains of persons with early AD. These changes could include
but are not limited to regional alterations in levels or processing of
tau or APP, changes in energy metabolism, oxidative markers, calcium-
regulatory mechanisms, inflammatory processes, inappropriate neuronal
entry into the cell cycle, altered folding, metabolism or degradation
of proteins, changes in axonal transport, or synaptic function.
o Investigate relationships between exposure to certain agents (such as
ACHE inhibitors, statins, antihypertensives, anti-inflammatories,
antioxidants, hormones, or vitamins) and onset or progression of the
disease.
o Study the incremental value of imaging on the clinical diagnosis of
AD and non-AD dementias.
o Investigate common mechanisms of disease pathogenesis in Alzheimer’s
disease, Parkinson’s disease, and Lewy Body disease, through molecular
studies and/or clinico-pathological correlations.
o Characterize the role and impact of different socio-cultural
environments in terms of risk of or protection from dementia.
o Evaluate caregiver characteristics and the dynamics underlying care
management across socio-economic groups, ethnicity, demographic
variables, and along the continuum of disease development and
progression.
o Define the disease-related and/or socio-cultural factors impacting on
consent to participate in clinical research, and testing of the
validity of various approaches to determine consent to clinical
research in different subgroups of patients in the Alzheimer’s Disease
Centers.
o Utilize and/or collect data on behavioral components and psychiatric
symptoms associated with the development and progression of Alzheimer’s
disease and other dementias such as vascular dementia, Parkinson’s
dementia, Lewy body disease, and mixed dementia.
Applicants are encouraged to contact the Program Officers listed below
to clarify requirements and to discuss potential projects.
MECHANISM OF SUPPORT
This RFA will use the NIH R01 award mechanism. As an applicant you
will be solely responsible for planning, directing, and executing the
proposed project. This RFA is a one-time solicitation. Future
unsolicited, competing-continuation applications based on this project
will compete with all investigator-initiated applications and will be
reviewed according to the customary peer review procedures. The
anticipated award date is July 2005. Applications that are not funded
in the competition described in this RFA may be resubmitted as NEW
investigator-initiated applications using the standard receipt dates
for NEW applications described in the instructions to the PHS 398
application.
This RFA uses just-in-time concepts. It also uses the modular
budgeting as well as the non-modular budgeting formats (see
http://grants.nih.gov/grants/funding/modular/modular.htm).
Specifically, if you are submitting an application with direct costs in
each year of $250,000 or less, use the modular budget format.
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/grants/policy/nihgps_2003/NIHGPS_Part2.htm.
FUNDS AVAILABLE
The NIA intends to commit approximately $2 million in FY 2005 to fund 3
to 5 new grants in response to this RFA. An applicant may request a
project period of up to 5 years and a budget for direct costs of up to
$350,000 per year. (NIH no longer counts consortium F&A costs as a
direct cost when determining if an applicant is in compliance with a
direct cost limitation on a solicited application. See
http://grants.nih.gov/grants/guide/notice-files/NOT-OD-04-040.html
for further details.) NINDS is setting aside funds to make one award
if the focus is on Parkinson’s Disease and related disorders and
applicants utilize the resources of the Udall Centers. Because the
nature and scope of the proposed research will vary from application to
application, it is anticipated that the size and duration of each award
could also vary. Although the financial plans of NIA and NINDS provide
support for this program, awards pursuant to this RFA are contingent
upon the availability of funds and the receipt of a sufficient number
of meritorious applications.
ELIGIBLE INSTITUTIONS
You may submit (an) application(s) if your institution has any of the
following characteristics:
o For-profit or non-profit organizations
o Public or private institutions, such as universities, colleges,
hospitals, and laboratories
o Units of State and local governments
o Eligible agencies of the Federal government
o Domestic or foreign institutions/organizations
INDIVIDUALS ELIGIBLE TO BECOME PRINCIPAL INVESTIGATORS The Principal
Investigator (PI) may be an ADC or Udall Center - based senior
investigator or a scientist outside the Center network with
demonstrated capability to organize and direct collaborative,
interdisciplinary research activities. Individuals from
underrepresented racial and ethnic groups as well as individuals with
disabilities are always encouraged to apply for NIH programs.
SPECIAL REQUIREMENTS
At least three Alzheimer’s Disease Centers have to be involved in the
collaborative projects funded by NIA. Other Centers as well as
different data and specimen sources also may be utilized for data or
tissue collection. There must be a comprehensive collaborative
agreement among all participating entities that defines the
relationships among the PI, the participating Centers, other data
sources, and NACC. The PI must have a documented agreement and a plan
to subcontract with NACC and use NACC to manage data related to the
project. The participating Centers and other data sources must agree to
provide the data and/or samples necessary to complete the project
including the minimum data set for patients not enrolled in an ADC
Clinical Core. There should be clear agreement from all parties
regarding relationships, plans for interaction, details of data sharing
and mechanisms for transferring data to NACC. The letters of agreement
should be signed by an authorized individual at each participating site
and should accompany the application. Applications that at the time of
submission do not include within the application documentation of
collaboration with at least three ADC sites, other Center sites, if
appropriate, and NACC, will be returned without review.
There must also be a plan for sample utilization beyond that of the
initial application, including future access to data and samples. NIA
will evaluate the adequacy of the sharing plan before making funding
decisions. The PI should commit at least 10 percent effort to the
project, whereas participating investigators at the Centers should
commit at least 5 percent effort to this project. The application
should provide detailed information regarding procedures for obtaining
informed consent and adherence to local and state laws for surrogate
consent. Applicants should provide insurance of compliance with
relevant state and Federal regulations regarding confidentiality,
consent and sharing of human data and biological samples.
In order to assure active collaborations with the Alzheimer’s Disease
Centers, Udall Centers and NACC, all senior members of the
collaborative team in NIA-sponsored projects are expected to attend at
least one of the semi-annual meetings of the Alzheimer’s Center
Directors or in the case of NINDS-sponsored projects, the annual Udall
Centers meeting. The cost of data transfer to NACC, data management and
statistical consulting by NACC, and travel for senior investigators to
the Centers meeting should be included in the proposed budget.
Sharing of Data and Biological Resources
Sharing of Unique Research Resources and Data: Restricted availability
of unique research resources, upon which further studies are dependent,
can impede the advancement of research. The NIH is interested in
ensuring that particular research resources developed through grants
become readily available to the broader research community in a timely
manner for further research, development, and application, in the
expectation that this will lead to products and knowledge of benefit to
the public health.
Data sharing promotes many goals of the NIH research endeavor. It is
particularly important for unique data that cannot be readily
replicated. Data sharing allows scientists to expedite the translation
of research results into knowledge, products, and procedures to improve
human health. The NIH endorses the sharing of final research data to
serve these and other important scientific goals, and expects and
supports the timely release and sharing of final research data from
NIH supported studies for use by other researchers. Data should be made
as widely and freely available as possible while safeguarding the
privacy of participants, and protecting confidential and proprietary
data.
To address this interest in assuring that research data and resources
are accessible NIH normally requires that applicants seeking $500,000
or more in direct costs in any single year submit a plan for data
sharing. However, this RFA requires a data sharing plan for all
applications. NIA requires applicants who respond to this RFA to
submit a plan (1) for sharing final research data generated through the
grant or state why data sharing is not possible, (2) for sharing
research resources generated through the grant, and (3) for exercising
intellectual property rights, should any be generated through this
grant, while making such research resources available to the broader
scientific community.
The data sharing plan should conform to NIH Data Sharing Policy in
accordance with the Final NIH Statement on Sharing Research Data
(http://grants.nih.gov/grants/guide/notice-files/NOT-OD-03-032.html).
Guidance on NIH data sharing policy and implementation, including FAQs,
is available at: http://grants.nih.gov/grants/policy/data_sharing/.
The sharing of research resources plan and intellectual property plan
must make unique research resources readily available for research
purposes to qualified individuals within the scientific community in
accordance with the NIH Grants Policy Statement
(http://grants.nih.gov/grants/policy/nihgps_2003/) and the Principles
and Guidelines for Recipients of NIH Research Grants and Contracts on
Obtaining and Disseminating Biomedical Research Resources
(http://www.ott.nih.gov/policy/rt_guide_final.html or
http://ott.od.nih.gov/NewPages/64FR72090.pdf).
Applicants are encouraged to discuss the plans with their Institutional
Official and Office of Technology Transfer prior to submission of the
application. The applicant organization signature on the application
indicates the agreement of the organization with the plan in the
application.
NIA program staff will consider the adequacy of the sharing plan and
its consistency with NIH and NIA/NINDS policies on data sharing and
intellectual property when determining whether to recommend an
application for award. The approved plan will become a condition of
the grant award and Progress Reports must contain information on
activities for the sharing of research resources.
WHERE TO SEND INQUIRIES
We encourage inquiries concerning this RFA and welcome the opportunity
to answer questions from potential applicants. Inquiries may fall into
three areas: scientific/research, peer review, and financial or grants
management issues:
o Direct your questions about scientific/research issues, Alzheimer’s
Centers and relationships with NACC to:
Creighton H. Phelps, Ph.D.
Program Director, Alzheimer’s Disease Centers
Neuroscience and Neuropsychology of Aging
National Institute on Aging
Gateway Building, Suite 350
Bethesda, MD 20892-9205
Telephone: (301) 496-9350
FAX: (301) 496-1494
Email: phelpsc@nia.nih.gov
o Direct your questions regarding scientific/research issues,
Parkinson’s disease and related disorders, and Udall Centers to:
Diane D. Murphy, Ph.D.
Program Director
Neurodegeneration Group
National Institute of Neurological Disorders and Stroke
NSC Room 2223
6001 Executive Blvd.
Rockville, MD 20852
Telephone: (301) 496-5680
FAX: (301) 480-1080
Email: dm152o@nih.gov
o Direct your questions about peer review issues to:
Mary Nekola, Ph.D., Chief
Scientific Review Office
National Institute on Aging
Gateway Building, Room 2C212
Bethesda, MD 20892-9205
Telephone: (301) 496-9666
FAX: (301) 402-0066
Email: NekolaM@nia.nih.gov
o Direct your questions about financial or grants management matters
to:
Deborah Stauffer
Lead Grants Management Specialist
Office of Grants and Contract Management
National Institute on Aging
Gateway Building, Room 2N212
Bethesda, MD 20892-9205
Telephone: (301) 496-1472
FAX: (301) 402-3672
Email: stauffed@nia.nih.gov
Or
Kimberly Campbell
Grants Management Specialist
Grants Management Branch
National Institute of Neurological Disorders and Stroke
6001 Executive Blvd. Rm. 3249
Rockville, MD 20892
Telephone: (301) 496-7809
FAX: (301) 402-0219
Email: kc274k@nih.gov
LETTER OF INTENT
Prospective applicants are asked to submit a letter of intent that
includes the following information:
o Descriptive title of the proposed research
o Name, address, and telephone number of the Principal Investigator
o Names of other key personnel
o Participating institutions
o Number and title of this RFA
Although a letter of intent is not required, is not binding, and does
not enter into the review of a subsequent application, the information
that it contains allows Institute staff to estimate the potential
review workload and plan the review.
The letter of intent is to be sent by the date listed at the beginning
of this document. The letter of intent should be sent to:
Creighton H. Phelps, Ph.D.
Program Director, Alzheimer’s Disease Centers
Neuroscience and Neuropsychology of Aging
National Institute on Aging
Gateway Building, Suite 350
Bethesda, MD 20892-9205
Telephone: (301) 496-9350
FAX: (301) 496-1494
Email: phelpsc@nia.nih.gov
SUBMITTING AN APPLICATION
Applications must be prepared using the PHS 398 research grant
application instructions and forms (rev. 5/2001). 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 D&B number can be obtained by calling (866)
705-5711 or through the web site at http://www.dunandbradstreet.com/.
The D&B 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 in an
interactive format. For further assistance contact GrantsInfo,
Telephone (301) 710-0267, Email: GrantsInfo@nih.gov.
USING THE RFA LABEL: The RFA label available in the PHS 398 (rev.
5/2001) application form must be affixed to the bottom of the face page
of the application. Type the RFA number on the label. Failure to use
this label could result in delayed processing of the application such
that it may not reach the review committee in time for review. In
addition, the RFA title and number must be typed on line 2 of the face
page of the application form and the YES box must be marked. The RFA
label is also available at:
http://grants.nih.gov/grants/funding/phs398/labels.pdf.
SENDING AN APPLICATION TO THE NIH: Submit a signed, typewritten
original of the application, including the Checklist, and three 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
Bethesda, MD 20817 (for express/courier service)
At the time of submission, two additional copies of the application and
all copies of the appendix material must be sent to:
Mary Nekola, Ph.D., Chief
Scientific Review Office
National Institute on Aging
7201 Wisconsin Avenue, Suite 2C212, MSC 9205
Bethesda, MD 20892-9205
Telephone: (301) 496-9666
FAX: (301) 402-0066
Email: NekolaM@nia.nih.gov
APPLICATION PROCESSING: Applications must be received on or before the
application receipt date listed in the heading of this RFA. If an
application is received after that date, it will be returned to the
applicant without review. Applications must be complete at the time of
submission.
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.
The Center for Scientific Review (CSR) will not accept any application
in response to this RFA that is essentially the same as one currently
pending initial review, unless the applicant withdraws the pending
application. However, when a previously unfunded application,
originally submitted as an investigator-initiated application, is to be
submitted in response to an RFA, it is to be prepared as a NEW
application. That is, the application for the RFA must not include an
Introduction describing the changes and improvements made, and the text
must not be marked to indicate the changes from the previous unfunded
version of the application.
PEER REVIEW PROCESS
Upon receipt, applications will be reviewed for completeness by the CSR
and responsiveness by the NIA and NINDS. Incomplete and/or
nonresponsive applications will not be reviewed.
Applications that are complete and responsive to the RFA will be
evaluated for scientific and technical merit by an appropriate peer
review group convened by the NIA in accordance with the review criteria
stated below. As part of the initial merit review, all applications
will:
o Undergo a process in which only those applications deemed to have the
highest scientific merit, generally the top half of the applications
under review, but possibly more, will be discussed and assigned a
priority score
o Receive a written critique
o Receive a second level review by the National Advisory Council on
Aging or the National Advisory Neurological Disorders and Stroke
Council.
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 evaluate the
application in order to judge the likelihood that the proposed research
will have a substantial impact on the pursuit of these goals. The
scientific review group will address and consider each of the following
criteria in assigning the application’s overall score, weighting them
as appropriate for each application.
o Significance
o Approach
o Innovation
o Investigator
o Environment
The application does not need to be strong in all categories to be
judged likely to have major scientific impact and thus deserve a high
priority score. For example, an investigator may propose to carry out
important work that by its nature is not innovative but is essential to
move a field forward.
SIGNIFICANCE: Does this study address an important problem? If the aims
of the application are achieved, how will scientific knowledge be
advanced? What will be the effect of these studies on the concepts or
methods that drive this field?
APPROACH: Are the conceptual framework, design, methods, and analyses
adequately developed, well-integrated, and appropriate to the aims of
the project? Does the applicant acknowledge potential problem areas and
consider alternative tactics?
INNOVATION: Does the project employ novel concepts, approaches or
methods? Are the aims original and innovative? Does the project
challenge existing paradigms or develop new methodologies or
technologies?
INVESTIGATOR: Is the investigator appropriately trained and well suited
to carry out this work? Is the work proposed appropriate to the
experience level of the principal investigator and other researchers
(if any)?
ENVIRONMENT: Does the scientific 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? Is there
evidence of institutional support?
ADDITIONAL REVIEW CRITERIA:
In addition to the above criteria the following items will be
considered in determining scientific merit and priority score.
The adequacy of collaborative arrangements as documented by signed
agreements and a plan to subcontract with NACC to manage data related
to the project.
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 criteria
included in the section on Federal Citations, below).
INCLUSION OF WOMEN AND MINORITIES IN RESEARCH: The adequacy of plans to
include subjects from both genders, and all racial and ethnic groups
(and subgroups) as appropriate for the scientific goals of the
research. Plans for the recruitment and retention of subjects will
also be evaluated. (See Inclusion Criteria in the sections on Federal
Citations, below).
CARE AND USE OF VERTEBRATE ANIMALS IN RESEARCH: If vertebrate animals
are to be used in the project, the five items described under Section f
of the PHS 398 research grant application instructions (rev. 5/2001)
will be assessed.
BUDGET: The reasonableness of the proposed budget and the requested
period of support in relation to the proposed research.
RECEIPT AND REVIEW SCHEDULE
Letter of Intent Receipt Date: November 21, 2004
Application Receipt Date: December 21, 2004
Peer Review Date: March 2005
Council Review: May 2005
Earliest Anticipated Start Date: July 1, 2005
AWARD CRITERIA
Award criteria that will be used to make award decisions include:
o Scientific merit (as determined by peer review)
o Availability of funds
o Programmatic priorities.
REQUIRED FEDERAL CITATIONS
ANIMAL WELFARE PROTECTION: Recipients of PHS support for activities
involving live, vertebrate animals must comply with PHS Policy on
Humane Care and Use of Laboratory Animals
(http://grants.nih.gov/grants/olaw/references/PHSPolicyLabAnimals.pdf),
as mandated by the Health Research Extension Act of 1985
(http://grants.nih.gov/grants/olaw/references/hrea1985.htm), and the
USDA Animal Welfare Regulations
(http://www.nal.usda.gov/awic/legislat/usdaleg1.htm), as applicable.
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
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.
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.
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 are required to place data collected under this RFA in the
National Alzheimer’s Coordinating Center data bank, which can provide
protections for the data and manage the distribution for an indefinite
period of time. 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 structure informed consent statements and other human
subjects procedures for wider use of data collected under this award by
other qualified researchers.
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).
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.healthypeople.gov/.
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.
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