FOOD ALLERGY RESEARCH CONSORTIUM AND STATISTICAL CENTER
RELEASE DATE: August 24, 2004
RFA Number: RFA-AI-04-034
EXPIRATION DATE: December 17, 2004
Department of Health and Human Services (DHHS)
PARTICIPATING ORGANIZATION:
National Institutes of Health (NIH)
(http://www.nih.gov/)
COMPONENT OF PARTICIPATING ORGANIZATION:
National Institute of Allergy and Infectious Diseases (NIAID)
(http://www.niaid.nih.gov)
CATALOGUE OF FEDERAL DOMESTIC ASSISTANCE NUMBERS:
No. 93.855, Immunology, Allergy, and Transplantation Research
No. 93.856, Microbiology and Infectious Diseases Research
LETTER OF INTENT RECEIPT DATE: November 16, 2004
APPLICATION RECEIPT DATE: December 16, 2004
THIS RFA CONTAINS THE FOLLOWING INFORMATION
o Purpose of this RFA
o Research Objectives
o Mechanisms 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 Supplementary Instructions
o Peer Review Process
o Review Criteria
o Receipt and Review Schedule
o Award Criteria
o Required Federal Citations
PURPOSE OF THIS RFA
The National Institute of Allergy and Infectious Diseases (NIAID) invites
applications from single institutions or consortia of institutions to
establish the Food Allergy Research Consortium, a collaborative research
program designed to develop new approaches to treat and prevent food allergy.
Applications are also invited to establish a Statistical and Clinical
Coordinating Center (SACCC) to support the clinical research projects
undertaken by the Consortium. The goals of the program are to: (1) develop
immune intervention strategies for preventing and treating food allergy; (2)
identify the mechanisms of development, loss and re-emergence of oral
tolerance; (3) determine the molecular and functional characteristics of food
allergens; and (4) determine the role of the gastrointestinal (GI) tract in
development and loss of oral tolerance.
RESEARCH OBJECTIVES
Background
Food allergy is an immunologic disease responsible for substantial morbidity
and mortality. Food allergy occurs in 6 – 8% of children and 2% of adults, and
prevalence is increasing. Severe food allergic reaction may cause anaphylaxis
and death. In the United States, approximately 30,000 anaphylactic episodes
and 150 deaths per year are due to food allergy. Six foods (milk, egg,
peanuts, tree nuts, fish, shellfish) cause 90% of all allergic reactions to
foods, and peanuts and tree nuts are the most common food allergens causing
anaphylaxis. Food allergic disorders encompass IgE-mediated immediate
hypersensitivity and cell-mediated hypersensitivity. Both immune mechanisms
contribute to the gastrointestinal (GI), cutaneous, respiratory and systemic
symptoms associated with food allergy.
The GI tract is responsible for digestion and absorption of nutrients
essential for survival of the organism, and GI mucosal immunity provides
critical functions that support distinctions between nutrients and pathogens.
Oral tolerance describes the immunosuppressive mechanism that prevents
individuals from developing an allergic response to foods. Failure to develop
or maintain oral tolerance precedes food allergy in children and adults.
Delayed maturation of GI mucosal immunity and oral tolerance in newborns is
linked to the high incidence of food allergy in children under 3 years of age.
Several common childhood food allergies (cow’s milk and egg) are frequently
transient, whereas other allergies (peanut) often persist throughout
adulthood.
Limitations of and lack of consensus on methods for diagnosis and management
of food allergy hinder development of best clinical practices. Diagnosis is
confirmed by the double-blind, placebo-controlled food challenge, a test with
inherent risk of severe reactions. The most effective strategy to prevent an
allergic episode is strict food avoidance. Compliance with strict food
avoidance is complicated by the ubiquitous presence of certain foods, such as
peanut, soy, milk, and egg, in processed foods, poor food labeling practices
and cross-contamination of food products during processing. Recent advances in
food allergy research suggest that new, focused research directions will
advance our understanding of the pathophysiology of food allergy and translate
these findings into new options for identification and treatment of
susceptible individuals.
In June 2003, the NIAID convened an Expert Panel on Food Allergy Research to
evaluate the current state of IgE-mediated food allergy and to make
recommendations for targeted basic science and clinical research. The Expert
Panel concluded that the field of food allergy research is poised to make
significant advances in the prevention and treatment of food allergies and
anaphylactic reactions to foods and recommended new initiatives to eliminate
critical gaps in understanding GI physiology, immunology and the mechanism of
oral tolerance; the pathophysiology of food allergy and food allergy-
associated anaphylaxis and the molecular characteristics of food allergens.
The panel also recommended targeted research to define the natural history of
childhood and adult-onset food allergy, including the importance of
understanding spontaneous reestablishment of tolerance following development
of allergy; and to develop new immune-based therapies to prevent and treat
food allergy. The summary of this meeting is posted at
http://www.niaid.nih.gov/dait/pdf/11-20-03FAreport1.pdf.
Objective and Scope
The objectives of this research program are to: explore the pathobiology
underlying the development and loss of oral tolerance and the development and
reversal of food allergies; translate these findings into new immune-based
approaches to prevent and treat food allergy; and explore the molecular and
functional characteristics of food allergens. Close interaction between basic
scientists and clinical investigators should promote utilization of patient
materials in research and accelerate the translation of basic research
advances to clinical application.
Food Allergy Research Consortium
To be deemed responsive, applications must contain at least two projects
organized around a central hypothesis:
o One project, termed “immune intervention project,” must focus on an immune
intervention in either human food allergic subjects, an animal model of food
allergy, or both. The project must test the intervention selected in either:
(a) a clinical trial; (b) a pre-clinical study with strong likelihood of
leading to a clinical trial; or (c) both a pre-clinical study and a clinical
trial. The intervention may include mechanistic and/or biomarker studies.
Additional details are found in “Supplementary Instructions.”
o The second project, termed “immune mechanisms in observational study,” must
study immune mechanisms in food allergic subjects during an observational
study without interventions. This project must utilize clinical samples from
food allergic individuals. One example is to utilize specimens and clinical
data from food-allergic subjects in a longitudinal study and also evaluate
immune parameters accompanying the development and reversal of food allergy.
The study may include biomarker studies. Additional details are found in
“Supplementary Instructions.”
o If additional projects are proposed, each one must also be organized around
the same central hypothesis.
This program is milestone-based and funding beyond the first year will be
contingent upon satisfactory progress in meeting negotiated milestones (see
“SPECIAL REQUIREMENTS” and “COOPERATIVE AGREEMENT TERMS AND CONDITIONS OF
AWARD” for additional information on this requirement).
For the purposes of this RFA, pre-clinical studies are defined as research
projects testing immune intervention strategies to prevent or treat food
allergy using animal models such as, but not limited to, inbred and
genetically-modified mice, pigs and non-human primates. For the NIH definition
of clinical research and clinical trials, see
http://grants.nih.gov/grants/funding/phs398/instructions2/p3_definitions.htm.
Studies involving genetically-modified foods will not be supported under this
RFA.
Research areas considered responsive to this RFA include, but are not limited
to, the following:
o Delineation of the unique properties of the gastrointestinal tract that
promote oral tolerance and the failure of tolerance, including the role of
innate immunity, the Th1/Th2 microenvironments, and regulatory T cells in the
pathogenesis of food allergy;
o Analysis of the molecular and functional characteristics of food allergens
and the role that food processing may have in the development of antigenicity
and in the severity of food allergic reactions;
o Investigation of the natural history of food allergy, including analysis of
the immunologic parameters underlying development and reversal of food allergy
and the acquisition of new food sensitivities; and
o Testing or development of new immunologic approaches to prevent and treat
food allergy with either clinical trials, preclinical studies that have the
potential to lead to new clinical trials, or both preclinical studies and
clinical trials.
Statistical and Clinical Coordinating Center (SACCC)
The SACCC will provide coordination, assistance, centralized data management,
and analytical support for all human studies within the first and second
projects of the Food Allergy Research Consortium, that is, for all clinical
trials and for all immune mechanisms in observational studies involving food
allergic patients funded under this RFA. SACCC responsibilities include
statistical design, data collection and analysis, and logistical support for
the Consortium Steering Committee and the NIAID Data and Safety Monitoring
Board (DSMB). Specifically, the SACCC will provide assistance in the
following areas:
o Clinical Trial Design, Implementation and Management: Develop and
implement plans for the statistical design, analysis and management of
clinical trials, including monitoring clinical sites, implementing Standard
Operating Procedures, and training of site clinical, technical and data
management staff.
o Protocol Development: Assist in developing clinical protocols, protocol
modifications, case report forms, consent forms and Manual of Operations.
o Regulatory Requirements: Assist in the preparation of Investigational New
Drug (IND) applications to the Food and Drug Administration, as well as
interim and annual reports; track IND applications; and provide data to IND
sponsors (NIAID, pharmaceutical company or other entity).
o Computerized Data and Communication Systems: Establish and manage a secure
and confidential computerized system to collect study data; provide quality
assurance for and report on study data; establish electronic communication
linkages between clinical sites and the SACCC; and provide a computerized
system for clinical site registration and for the receipt, follow-up, report
and disposition of adverse events.
o Distribution of Study Medications: Receive, package and deliver study
medications to clinical sites, and maintain an inventory and tracking system
for all study medications.
o Prepare reports and analyses to be used for presentations and publications.
o Consortium Steering Committee and NIAID DSMB: Provide logistical support
for meetings and teleconferences of the Consortium Steering Committee and the
NIAID DSMB including budgeted support for travel, lodging, meeting venues and
teleconferences as required by the Consortium, as specified in the
“Cooperative Agreement Terms and Conditions of Award”.
o The Principal Investigator of the SACCC shall be a member of the Steering
Committee.
MECHANISM OF SUPPORT
This RFA will use the NIH single project (U01) and NIH multi-project
cooperative agreement (U19), "assistance" mechanisms, rather than
"acquisition" mechanisms. The applicant 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.
The NIH U01 and U19 are cooperative agreement award mechanisms in which the
Principal Investigator retains the primary responsibility and dominant role
for planning, directing, and executing the proposed project, with NIH staff
being substantially involved as a partner with the Principal Investigator, as
described under the section "Cooperative Agreement Terms and Conditions of
Award."
The total project period for applications submitted in response to this RFA
may not exceed five years.
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
the investigator is 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.
Applicants for U19 grants must follow special application guidelines in the
NIAID Brochure entitled INSTRUCTIONS FOR APPLICATIONS FOR MULTI-PROJECT
AWARDS; this brochure is available via the WWW
at:http://www.niaid.nih.gov/ncn/grants/multibron.htm.
FUNDS AVAILABLE
The NIAID intends to commit approximately $3.6 million in FY 2005 to fund two
to three new U19 grants for the Food Allergy Research Consortium, and $0.9
million in FY 2005 to fund one new U01 grant for the Statistical and Clinical
Coordinating Center. An applicant may request a project period of up to five
years. 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 will also vary. Although the financial plans of the NIAID 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. At this time, the NIAID has not determined whether or how this
solicitation will be continued beyond the present RFA.
ELIGIBLE INSTITUTIONS
The applicant may submit (an) application(s) if the 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
o Faith-based or community-based organizations
Foreign Organizations:
Several special provisions apply to applications submitted by foreign
organizations:
o Funds for alterations or renovations cannot be requested.
o Charge back of customs and import fees is not allowed.
o Format: every effort should be made to comply with the format
specifications, which are based
upon a standard U.S. paper size of 8.5" x 11”.
o Funds for up to 8% administrative costs can be requested,
(http://grants.nih.gov/grants/guide/notice-files/NOT-OD-01-028.html)
o Organizations must comply with federal/NIH policies on human subjects,
animals and biohazards.
o Organizations must comply with federal/NIH biosafety and biosecurity
regulations.
o Proposed research should provide a unique research opportunity, not
available in the U.S.
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.
SPECIAL REQUIREMENTS
1. Meetings – Food Allergy Research Consortium and Statistical and Clinical
Coordinating Center
The Steering Committee will serve as the main governing body for the
Consortium and will consist of the following voting members: the Principal
Investigators, two additional scientists from each awardee appointed by the
Principal Investigator, the Director of the SACCC, and the NIAID Scientific
Coordinator. The Committee shall meet twice each year in the Bethesda, MD
area. At the first meeting of the Steering Committee, a Chair will be selected
from among the non-Federal members.
All Steering Committee members of the Food Allergy Research Consortium and the
Statistical and Clinical Coordinating Center must agree to participate in the
meetings and teleconferences of the Steering Committee and other subcommittees
to be established by the Steering Committee. Each awardee agrees to work
collaboratively with the Consortium, its Steering Committee and the SACCC,
abide by the policies, procedures, recommendations and decisions of the
Steering Committee, and participate in all Steering Committee activities.
Additional details of the Steering Committee are found in “Cooperative
Agreement Terms and Conditions of Award,” item 4, Collaborative
Responsibilities.
Applications for a SACCC should budget for travel and lodging for all non-
government Steering Committee members, to attend two Steering Committee
meetings per year, and also budget for arranging teleconferences of the
Steering Committee and other subcommittees to be established by the Steering
Committee.
2. Milestones - Food Allergy Research Consortium
This program is milestone-based and funding beyond the first year will be
contingent upon satisfactory progress in meeting milestones. These milestones
should be in the form of concrete accomplishments whose attainment represents
significant advancement toward the overall goals of each project. The
milestones in the initial application will serve as examples for purposes of
review of the scientific merit. Final milestones will be negotiated between
the awardee and the NIAID.
3. Statistical and Clinical Coordinating Center
The Principal Investigator of the SACCC may not serve as a U19 Principal
Investigator or as a Project Leader for a U19 project funded under this RFA.
Applications for the SACCC should include in their budget request support for
travel and lodging of all members of the Steering Committee to attend the
Committee meetings in Bethesda, MD, to be held as specified in the
“Cooperative Agreement Terms and Conditions of Award” section. In addition,
the budget should include support for arranging teleconferences of the
Steering Committee and other subcommittees to be established by the Steering
Committee, and for meetings and teleconferences of the Data and Safety
Monitoring Board (DSMB). It is anticipated that the DSMB will consist of five
to seven members, who will have one meeting per year in Bethesda, MD and one
meeting per year by teleconference. Additional details on the DSMB are
provided under “Cooperative Agreement Terms and Conditions of Award,” item 4.
Collaborative Responsibilities.
COOPERATIVE AGREEMENT TERMS AND CONDITIONS OF AWARD
The following terms and conditions will be incorporated into the award
statement and provided to the Principal Investigator as well as the
institutional official at the time of award.
These special Terms of Award are in addition to, and not in lieu of, otherwise
applicable OMB administrative guidelines, HHS Grant Administration Regulations
at 45 CFR Part 74 and 92, and other HHS, PHS, and NIH Grant Administration
policy statements.
The administrative and funding instruments used for this program are the
single project (U01) and multi-project (U19) cooperative agreements,
"assistance", rather than "acquisition" mechanisms, in which substantial NIH
scientific and/or programmatic involvement with the awardees is anticipated
during the performance of the activity. Under the cooperative agreement, the
NIH purpose is to support and/or stimulate the recipient's activity by
involvement in and otherwise working jointly with the award recipient in a
partner role, but it is not to assume direction, prime responsibility, or a
dominant role in the activity. Consistent with this concept, the dominant role
and prime responsibility for the activity resides with the awardees for the
project as a whole, although specific tasks and activities in carrying out the
research will be shared among the awardees and the NIAID Scientific
Coordinator.
1. Monitoring Clinical Studies
When clinical studies or trials are a component of the research proposed,
NIAID policy requires that studies be monitored commensurate with the degree
of potential risk to study subjects and the complexity of the study. AN
UPDATED NIAID policy was published in the NIH Guide on July 8, 2002 and is
available at:
http://grants.nih.gov/grants/guide/notice-files/NOT-AI-02-032.html.
The full policy, including terms and conditions of award, is
available at: http://www.niaid.nih.gov/ncn/pdf/clinterm.pdf.
This award provides support for one or more NIH-defined clinical trials. The
NIH Policy for research supported as an NIH Clinical Trial, “NIH Guidelines on
the Inclusion of Women and Minorities as Subjects in Clinical Research”, was
updated October 9, 2001 (URL listed below under REQUIRED FEDERAL CITATIONS). A
description of plans to conduct analyses, as appropriate, by sex/gender and/or
racial/ethnic groups must be included in clinical trial protocols and the
results of the subset analyses must be reported to NIH in Progress Reports,
Competitive Renewal Applications, and in the required Final Progress Report,
as stated in the Guidelines.
2. Awardee Rights and Responsibilities
Awardees will have primary responsibility for defining the research
objectives, approaches and details of the projects within the guidelines of
the RFA and for performing the scientific activity. Specifically, awardees
have primary responsibility as described below.
Consortium Principal Investigators and the Director of the SACCC, as voting
members of the Steering Committee, shall be responsible for establishing and
following the policies of the committee and for the development and review of
milestones of progress. Principal Investigators will be expected to
participate in two Steering Committee meetings each year, in the Bethesda
vicinity or by teleconference. Meetings will be organized by the Chair of the
Steering Committee.
3. NIAID Staff Responsibilities
An NIAID Program Official will be responsible for the normal program
stewardship, including monitoring program progress, approving changes and
concurring in proceeding into study implementation stage. Release of each
yearly funding increment for U19s will be based on a review of progress
towards achieving the previously agreed upon milestones, and for the SACCC,
evaluation will be based on achieving effective support of clinical trials and
the DSMB. The Government, via the NIAID Program Official, will have access to
data generated under this Cooperative Agreement and may periodically review
the data and progress reports. NIAID staff may use information obtained from
the data for the preparation of internal reports on the activities of the
study. However, awardees will retain custody of and have primary rights to
all data developed under these awards, subject to Government rights of access
consistent with HHS, PHS, and NIH policies.
The NIAID Scientific Coordinator will have substantial scientific/programmatic
involvement during the conduct of this activity through technical assistance,
advice and coordination above and beyond normal program stewardship for
grants. This includes providing guidance and support in the development,
assembly, and submission of all required regulatory documents, e.g., those
regarding the use of investigational drugs, to the Food and Drug
Administration. As a member of the Steering Committee, the NIAID Scientific
Coordinator will serve as a resource for protocol design and development and
provide scientific/programmatic support during the accomplishment of the
research by participating in the design of the activities, advising in the
selection of sources or resources (e.g., determining where a particular
reagent can be found), advising in management and technical performance, or
participating in the preparation of publications. The NIAID Scientific
Coordinator will be a voting member of the Steering Committee and participate
in all Steering Committee activities, including, but not limited to,
conference calls, subcommittees and special committees.
An NIAID Medical Officer will monitor the clinical trials and serve as the
Medical Monitor. Should a pharmaceutical or biotechnology company sponsoring a
clinical trial choose to name its own Medical Monitor, then the NIAID Medical
Officer will work with the company-assigned Medical Monitor.
4. Collaborative Responsibilities
Steering Committee
The Steering Committee will serve as the main governing body for the
Consortium and will consist of the following voting members: the Principal
Investigators of each funded U19 application, two additional members appointed
by the Principal Investigators of each funded U19 application, the Director of
the SACCC, and the NIAID Scientific Coordinator. The Committee shall meet
twice each year in the Bethesda, MD area. At the first meeting of the Steering
Committee, a Chair will be selected from among the non-Federal members. All
members of the Steering Committee must agree to participate in all Steering
Committee meetings and teleconferences.
The Steering Committee will be responsible for: (1) reviewing and
prioritizing the research projects to be undertaken by the Consortium; (2)
making recommendations on funding of Consortium research projects; (3)
reviewing and determining project milestones; (4) establishing appropriate
methods/measures to assess progress and the attainment of milestones; (5)
evaluating progress of Consortium research projects, recommending
modifications in research goals and milestones, and, when appropriate,
curtailing projects for lack of progress; and (6) coordinating all activities
of the Consortium. The Steering Committee may also recommend that the
clinical, pre-clinical, mechanistic and biomarker studies proposed by the
awardees require modification, coordination/consolidation with other projects,
or will not be carried out by the Consortium. Therefore, the specific projects
proposed in applications may not necessarily be those that are implemented by
the Consortium.
The Steering Committee will establish priorities and set milestones for the
Consortium within 6 months of the award. Review of milestones shall be linked
to the annual funding cycle and submission of the annual progress report. The
NIAID Scientific Coordinator will monitor accomplishment of milestones and
work with the Steering Committee to redirect, replace and/or curtail research
projects that do not meet negotiated milestones during the funding period. Any
re-budgeting that will result in a change of scope of the individual projects
undertaken by the Consortium must be approved by the Grants Management
Specialist in consultation with the NIAID Program Official.
Each awardee agrees to work collaboratively with the Consortium, its Steering
Committee and the SACCC, abide by the policies, procedures, recommendations
and decisions of the Steering Committee, and participate in all Steering
Committee activities.
Data and Safety Monitoring Board
The NIAID will appoint five to seven individuals to an independent Data and
Safety Monitoring Board (DSMB) to advise the Institute on issues pertaining to
appropriateness of clinical protocols and the conduct and safety of clinical
research and clinical trials. Information is also provided to the Principal
Investigator, Co-Investigators and the Steering Committee. The DSMB will meet
at least twice a year, by teleconference or in the Bethesda, MD vicinity. The
SACCC will be responsible for organizing DSMB meetings and teleconferences.
5. Arbitration:
Any disagreement that may arise on scientific/programmatic matters (within the
scope of the award), between award recipients and the NIAID may be brought to
arbitration. An arbitration panel will be composed of three members – one
chosen by the awardee, a second member selected by the NIAID, and the third
member selected by the two prior selected members. This special arbitration
procedure in no way affects the awardee's right to appeal an adverse action
that is otherwise appealable in accordance with the PHS regulations at 42 CFR
Part 50, Subpart D and HHS regulation at 45 CFR Part 16.
These special Terms of Award are in addition to and not in lieu of otherwise
applicable OMB administrative guidelines, HHS Grant Administration Regulations
at 45 CFR Parts 74 and 92, and other HHS, PHS, and NIH Grant Administration
policy statements.
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 questions about scientific/research issues to:
Marshall Plaut, M.D.
Division of Allergy, Immunology, and Transplantation
National Institute of Allergy and Infectious Diseases
Room Number 3093, MSC-6601
6610 Rockledge Drive
Bethesda, MD 20892-6601
Telephone: 301.-435-4425
FAX: 301-402-0175
Email: mp27s@nih.gov
o Direct questions about peer review issues to:
Geetha Bansal
Division of Extramural Activities
National Institute of Allergy and Infectious Diseases
Room 3145, MSC-7616
6700-B Rockledge Drive
Bethesda, MD 20892-7616
Telephone: (301) 402-1464
FAX: (301) 402-2638
Email: gb183z@nih.gov
o Direct questions about financial or grants management matters to:
Michael Fato
Division of Extramural Activities
National Institute of Allergy and Infectious Diseases
Room 2247, MSC-7614
6700-B Rockledge Drive
Bethesda, MD 20892-7614
Telephone: (301) 451-2690
FAX: (301) 480-3780
Email: mf59e@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 NIAID 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:
Geetha Bansal
Division of Extramural Activities
National Institute of Allergy and Infectious Diseases
Room 3145, MSC-7616
6700-B Rockledge Drive
Bethesda, MD 20892-7616
Telephone: (301) 402-1464
FAX: (301) 402-2638
Email: gb183z@nih.gov
SUBMITTING AN APPLICATION
Applicants for U19 grants must follow special application guidelines in the
NIAID Brochure entitled INSTRUCTIONS FOR APPLICATIONS FOR MULTI-PROJECT
AWARDS; this brochure is available via the WWW at:
http://www.niaid.nih.gov/ncn/grants/multibron.htm.
Applications for U01 grants use the same format as R01 applications.
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) 435-0714,
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/label-bk.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 exact copies of the grant
application and all five sets of any appendix material must be sent to:
Geetha Bansal
Division of Extramural Activities
National Institute of Allergy and Infectious Diseases
Room 3145, MSC-7616
6700-B Rockledge Drive
Bethesda, MD 20892-7616
BETHESDA, MD 20817 (for express mail or courier service)
Applications that are not received as a single package on or before the
December 16, 2004 or that do not conform to the instructions contained in PHS
398 (rev. 5/01) Application Kit (for the U19 application: as modified in, and
superseded by, the NIAID BROCHURE ENTITLED "INSTRUCTIONS FOR APPLICATIONS FOR
MULTI-PROJECT AWARDS"), will be judged non-responsive and will be returned to
the applicant.
It is highly recommended that the appropriate NIAID program contact be
consulted before submitting the letter of intent and during the early stages
of preparation of the application. (See program contact under INQUIRIES).
SPECIAL INSTRUCTIONS FOR COMPLETION OF APPLICATIONS IN RESPONSE TO THIS RFA:
Applicants for U19 cooperative agreements must follow special application
guidelines in the NIAID Brochure entitled INSTRUCTIONS FOR APPLICATIONS FOR
MULTI-PROJECT AWARDS; this brochure is available from NIAID listed under
INQUIRIES via the WWW at: http://www.niaid.nih.gov/ncn/grants/multibron.htm.
This brochure presents specific instructions for sections of the PHS 398 (rev.
5/01) application form that should be completed differently than usual. For
all other items in the application, follow the usual instructions in the PHS
398.
APPLICATION PROCESSING: Applications must be received by 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.
The NIH 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. While the investigator may still benefit from the previous
review, the RFA application is not to state explicitly how.
CONCURRENT SUBMISSION OF AN R01 AND A COMPONENT PROJECT OF A MULTI-PROJECT
APPLICATION: Current NIH policy permits a component research project of a
multi-project grant application to be concurrently submitted as a traditional
individual research project (R01) application. If, following review, both the
multi-project application and the R01 application are found to be in the
fundable range, the investigator must relinquish the R01 and will not have the
option to withdraw from the multi-project grant. This is an NIH policy
intended to preserve the scientific integrity of a multi-project grant, which
may be seriously compromised if a strong component project(s) is removed from
the program. Investigators wishing to participate in a multi-project grant
must be aware of this policy before making a commitment to the Principal
Investigator and awarding institution.
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.
SUPPLEMENTARY INSTRUCTIONS
Food Allergy Research Consortium Applications (U19)
Research Plan for Immune Intervention Project
o Each application must contain a project that is either a clinical trial of
a food allergy therapy, a pre-clinical study with strong potential to lead to
a food allergy therapy, or both a pre-clinical study and a clinical trial.
o Clinical Trials: Applications proposing a clinical trial must include: the
scientific rationale for the therapeutic intervention; confirmation of the
ability to acquire the drug and the timetable for drug availability; study
design including statistical analyses; target population; primary and
secondary outcomes; and, if applicable, associated mechanistic and/or
biomarker studies.
o Pre-clinical Studies: Applications proposing a pre-clinical study should
include not only a full description of such a study, but also, in the
experimental design section, a brief synopsis describing a proposed phase I
clinical trial that would follow successful completion of the pre-clinical
study. The synopsis should include a brief description of the same elements
described above for clinical trials.
o Pre-clinical Studies plus Clinical Trials: Applications proposing a pre-
clinical study may also propose an actual phase I clinical trial. If both a
pre-clinical study and a phase I clinical trial are proposed, then not only
full details of the pre-clinical study, but also full details of the trial,
not just a synopsis, are required.
Research Plan for Immune Mechanisms in Observational Study Project
The Immune Mechanisms Project must include the scientific rationale for the
study; study design including statistical analysis; target population;
retention of the population for the duration of the study; primary and
secondary outcomes; conceptual framework for selecting and designing the
mechanistic studies and, if applicable, biomarker studies.
Milestones
Each U19 project must propose annual milestones that form the basis of
progress evaluation by the Steering Committee. These milestones should be in
the form of concrete accomplishments whose attainment represents significant
advancement toward the overall goals of each project. The milestones in the
initial application will serve as examples for purposes of review of the
scientific merit. As stated in the “Cooperative Agreement Terms and Conditions
of Award,” the final milestones are negotiated with the Steering Committee and
may be different from the milestones in the initial application.
Statistical and Clinical Coordinating Center Applications (U01)
Applications for the Statistical and Clinical Coordinating Center should
include the following:
o A plan for statistical design and analyses of clinical trials and
observational studies which should include a summary of overall strategy and
approaches to overcoming anticipated obstacles for the type of clinical trials
and observational studies that may be undertaken by the Food Allergy Research
Consortium;
o A plan for management of clinical trials and observational studies that
includes:
- clinical site monitoring;
- collection, storage, and reporting of data;
- a system for adverse event reporting;
- assistance in development, implementation, and modification of
clinical protocols, including preparation of Manual of Operations;
- assistance in the preparation and tracking of Investigational New
Drug applications; and
- preparation of reports and analyses for review and publication.
o Provision of statistical, technical and logistical support to the Steering
Committee and the NIAID DSMB.
Budget – Statistical and Clinical Coordinating Center
For the purpose of budget development and project planning, applicants should
assume that, at any one time, there will be protocols at some stage of
development (from early protocol design and development, through post-
treatment data analysis), involving no more than three Phase I clinical
trials, three Phase II clinical trials and three immune mechanisms
observational studies
Steering Committee
The voting membership of the Steering Committee will include the Principal
Investigator of each U19 and two additional members appointed by the Principal
Investigator for each funded application, the Director of the SACCC, and the
NIAID Scientific Coordinator. The NIAID Program Official, if different from
the NIAID Scientific Coordinator, may attend the Steering Committee meetings,
as a non-voting participant. The NIAID Scientific Coordinator has one vote.
The chairmanship of the Steering Committee will be determined at the first
meeting. The Steering Committee will convene at least twice a year. One
meeting will be in the Bethesda, MD vicinity; the second meeting may be in the
Bethesda vicinity or by a teleconference.
PEER REVIEW PROCESS
Upon receipt, applications will be reviewed for completeness by the CSR and
responsiveness by the NIAID. Incomplete and/or non-responsive applications
will be returned to the applicant without further consideration or review.
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 NIAID in accordance with the review criteria stated below. 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
o Receive a second level review by the National Advisory Allergy and
Infectious Diseases Council
REVIEW CRITERIA
Review Criteria for the U19 Food Allergy Research Consortium
The general review criteria for U19 multi-project cooperative agreement
applications are presented in the NIAID brochure entitled "INSTRUCTIONS FOR
APPLICATIONS FOR MULTI-PROJECT AWARDS” at
http://www.niaid.nih.gov/ncn/grants/multibron.htm.
Review Criteria for the U01 Statistical and Clinical Coordinating Center
These include standard NIH criteria:
o Significance
o Approach
o Innovation
o Investigator
o Environment
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 these criteria in assigning the
application’s overall score, weighting them as appropriate for each
application. 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 the determination of scientific merit and the
priority score:
Additional review criteria for the Statistical and Clinical Coordinating
Center include:
1. Qualifications and experience of the Director of the Center and the staff
to manage clinical trials and clinical observational studies.
- documentation of training, expertise, relevant experience,
leadership/management skills
2. Ability to provide statistical leadership in the design and analysis of
clinical trials.
3. Quality of the management plan for supporting the conduct clinical trials,
including:
- site monitoring and the collection, storage and reporting of data
- experience assisting with regulatory activities, including
Investigational New Drug applications
- a system for adverse event reporting
- preparation of reports and analyses for review and publication.
4. Ability to provide statistical, technical and logistical support to the
Steering Committee and to the DSMB.
5. Appropriateness of the staffing plan.
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, 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 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.
ADDITIONAL REVIEW CONSIDERATIONS
SHARING RESEARCH DATA: Applicants requesting $500,000 or more in direct costs
in any year of the proposed research are expected to 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 instructions and URL
to policy in the Federal Citations, below.)
BUDGET: The reasonableness of the proposed budget and the requested period of
support in relation to the proposed research. However, reviewers will not
factor budget considerations into the determination of scientific merit or
priority score.
RECEIPT AND REVIEW SCHEDULE
Letter of Intent Receipt Date: November 16, 2004
Application Receipt Date: December 16, 2004
Peer Review Date: April, 2005
Council Review: June, 2005
Earliest Anticipated Start Date: July, 2005
AWARD CRITERIA
Award criteria that will be used to make award decisions include:
o Scientific merit of the proposed project 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
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 Safety and Monitoring, NIH Guide for Grants and
Contracts, June 12, 1998:
http://grants.nih.gov/grants/guide/notice-files/not98-084.html).
SHARING RESEARCH DATA: 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 AMENDMENT "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.
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.
This policy announcement is 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.
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 RFA 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).
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 Catalogue of Federal Domestic Assistance at
http://www.cfda.gov/ in the following citations: No. 93.855, Immunology,
Allergy, and Transplantation Research and No. 93.856, Microbiology and
Infectious Diseases Research. Awards are made under authorization of Sections
301 and 405 of the Public Health Service Act as amended (42 USC 241 and 284)
and administered under NIH grants policies and Federal Regulations 42 CFR 52
and 45 CFR Parts 74 and 92. This program is not subject to the
intergovernmental review requirements of Executive Order 12372 or Health
Systems Agency review.
The NIH Grants Policy Statement is available at
http://grants.nih.gov/grants/policy/policy.htm. This document includes general
information about the grant application and review process; information on the
terms and conditions that apply to NIH Grants and cooperative agreements; and
a listing of pertinent offices and officials at the NIH. All awards are
subject to the terms and conditions, cost principles, and other considerations
described in the NIH Grants Policy Statement.
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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