Department of Health and Human Services
National Institutes of Health (NIH)(http://www.nih.gov/)
Components of Participating Organizations
National Cancer Institute (NCI)(http://www.cancer.gov/)
Title: Early Detection Research Network: Clinical Validation Centers (U01)
Reissuance of RFA-CA-05-005
Update: The following update relating to this announcement has been issued:
Request For Applications (FOA) Number: RFA-CA-09-018
Catalog of Federal Domestic Assistance Number(s)
Release Date: July 24, 2009
Letters of Intent Receipt Date: September 29, 2009
Application Receipt Date: October 29, 2009
Peer Review Date: February/March 2010
Council Review Date: May 2010
Earliest Anticipated Start Date: July 2010
Additional Information To Be Available Date (URL Activation Date): Not applicable
Expiration Date: October 30, 2009
for E.O. 12372
The NCI anticipates holding a pre-application meeting on September 29, 2009 at 9:00 am - noon EDT to which all interested prospective applicants are invited. NCI program and review staff members will make presentations to explain the goals and objectives for the NCI Early Detection Research Network and its components, including Clinical Validation Centers. The discussion will also cover the preparation of applications and the peer review process. An NCI Grants Management Specialist will be available to answer financial questions. The meeting will be videocast with an opportunity for internet viewers to submit questions by e-mail.
Additional Overview Content
Table of Contents
Part II Full Text of Announcement
Section I. Funding Opportunity Description
1. Research Objectives
Section II. Award Information
1. Mechanism(s) of Support
2. Funds Available
Section III. Eligibility Information
1. Eligible Applicants
A. Eligible Institutions
B. Eligible Individuals
2. Cost Sharing or Matching
3. Other - Special Eligibility Criteria
Section IV. Application and Submission Information
1. Address to Request Application Information
2. Content and Form of Application Submission
3. Submission Dates and Times
A. Receipt, Review and Anticipated Start Dates
1. Letter of Intent
B. Sending an Application to the NIH
C. Application Processing
D. Application Assignment
4. Intergovernmental Review
5. Funding Restrictions
6. Other Submission Requirements
Section V. Application Review Information
2. Review and Selection Process
A. Additional Review Criteria
B. Additional Review Considerations
C. Resource Sharing Plan(s)
3. Anticipated Announcement and Award Dates
Section VI. Award Administration Information
1. Award Notices
2. Administrative and National Policy Requirements
A. Cooperative Agreement Terms and Conditions of Award
1. Principal Investigator Rights and Responsibilities
2. NIH Responsibilities
3. Collaborative Responsibilities
4. Arbitration Process
Section VII. Agency Contact(s)
1. Scientific/Research Contact(s)
2. Peer Review Contact(s)
3. Financial/ Grants Management Contact(s)
4. Intellectual Property Contact(s)
Section VIII. Other Information - Required Federal Citations
1. Research Objectives
In this Funding Opportunity Announcement (FOA), the Division of Cancer Prevention (DCP), National Cancer Institute (NCI), solicits new and competing renewal applications for Clinical Validation Center (CVCs) awards. CVCs conduct clinical research on the validation of biomarkers for early cancer detection and risk assessment and serve as clinical resource centers for collaborative research within the EDRN by participating in collaborative biomarker validation studies and collaborating with other EDRN components.
CVCs are one of the four components of the national Early Detection Research Network (EDRN or “Network”, http://edrn.nci.nih.gov/). The mission of EDRN is the development, evaluation, and validation of biomarkers for early cancer detection, risk assessment and the molecular diagnosis and prognosis of early cancer. Each of the four scientific components of EDRN is covered by a parallel FOA.
These main EDRN components include:
1. Clinical Validation Centers (CVCs; formerly known as Clinical Epidemiology and Validation Centers) (this RFA-CA-09-018);
2. Biomarker Developmental Laboratories (BDLs) (RFA-CA-09-017 ), which will discover, develop, and characterize new or refine existing biomarkers and assays;
3. Biomarker Reference Laboratories (BRLs) (RFA-CA-09-019 ), which will serve as a Network resource for clinical and laboratory validation of biomarkers, including technological development and refinement; and
4. Data Management and Coordinating Center (DMCC) (RFA-CA-09-020), which will support statistical and computational analyses, data management, protocol development, informatics infrastructure, and will coordinate network-wide meetings and conferences.
All EDRN-related FOAs are open to all qualified applicants, NOT only to the current EDRN awardees.
Biomarkers-Definition. Biomarkers are defined as cellular, biochemical, and molecular (including genetic and epigenetic) characteristics by which normal and/or abnormal processes can be recognized and/or monitored. Biomarkers are measurable in biological materials, such as in tissues, cells, and/or bodily fluids.
Overall Goals of the Early Detection Research Network. The EDRN program is established to: (a) promote translational research to identify biomarkers for cancer risk, early detection, and molecular diagnosis and prognosis of early cancer; and (b) coordinate biomarker research and therapeutic strategies in order to reduce cancer morbidity and mortality. These goals are to be achieved through strategic and systematic, evidence-based discovery, development, and validation of biomarkers (for details, see the EDRN Objectives in the Guidelines document on the EDRN web site at http://edrn.nci.nih.gov/FOA-guidelines).
EDRN’s goals include but are not limited to the following:
Since its inception in 1999, the EDRN has followed a "vertical" approach to biomarker research — that is, through the development, use, and support of an established, integrated, multidisciplinary research environment, which facilitates collaborations and hand-offs among technology developers, basic scientists, clinicians, epidemiologists, biostatisticians, and other health professionals, and, therefore, one that expedites efficacious clinical applications of the molecular knowledge that has burgeoned in recent years.
EDRN Phases of Biomarker Development. EDRN has produced a system for evaluating biomarkers as tools to clinically detect cancer before symptoms appear, and to identify people at risk (http://edrn.nci.nih.gov/). A five-phase approach has been established as a standard and a roadmap for successfully translating research on biomarker applications from the laboratory to the bedside:
Phase 1: the pre-clinical exploratory phase;
Phase 2: the validation phase (case/control);
Phase 3: the retrospective longitudinal phase;
Phase 4: the prospective screening study phase; and
Phase 5: the cancer control phase.
For more details, see Biomarker Development Plan in the FOA Guidelines, Section I: http://edrn.nci.nih.gov/FOA-guidelines.
In addition to the establishment of the five-phase approach for biomarker development, a coherent and comprehensive set of guidelines for study design for the discovery and evaluation of biomarkers for use in screening and early cancer detection, diagnosis, or prognosis has been delineated. A prospective-specimen collection, retrospective-blinded-evaluation (PRoBE) design for biomarker development is proposed. A set of rigorous study design standards and guidelines are described, which further address issues regarding the rate of false discovery due to the use of samples of convenience and introduction of bias and data over-fitting. The PRoBE study design includes four key components, which relate to: 1) the clinical context and outcomes; 2) criteria for measuring biomarker performance; 3) the biomarker itself; and 4) the sample size included in the study (see Biomarker Development Plan in the FOA Guidelines, Section I: http://edrn.nci.nih.gov/FOA-guidelines).
EDRN Administrative Structures
EDRN Organization: Structured around four main scientific components, EDRN currently includes 24 Biomarker Developmental Laboratories (BDLs), six Biomarker Reference Laboratories (BRLs), 10 Clinical Epidemiology and Validation Centers (CEVCs), and a Data Management and Coordinating Center (DMCC) (see “The Early Detection Research Network: Investing in Translational Research on Biomarkers of Early Cancer and Cancer Risk, Fourth Report; NIH Publication No. 07-6135, January 2008” at http://edrn.nci.nih.gov/docs).
Steering Committee: The Steering Committee (SC) is the governing body of EDRN and is comprised of all EDRN Principal Investigators (PIs), including the PDs/PIs of Multi-PI awards, and the NCI-designated Program Coordinator. The SC has responsibility for the scientific management and oversight of all Network activities, including monitoring the activities of the DMCC. For the administrative structure and responsibilities of the Steering Committee, see "Collaborative Responsibilities."
The Network Consulting Team (NCT) is composed of a Chairperson and non-EDRN members appointed by NCI. The NCT reviews the progress of the EDRN, recommends new research initiatives, and ensures that the Network is responsive to promising opportunities in early detection research and risk assessment. The NCT can recommend new research projects to the SC or to NCI. Members of the NCT can serve on ad-hoc Committees of the EDRN, internal review groups, and as consultants to subcommittees.
The DMCC provides logistic support for the conduct of the SC and NCT meetings.
Headquarters: The institution of the Chair of the SC serves as the Headquarters of the EDRN. The Chairperson of the SC is a Principal Investigator (PI) of an EDRN cooperative agreement award and is elected by the SC. The Chairperson serves as the PI of the Headquarters and implements the scientific, operational, and organizational policies of the Network. The SC Chairperson provides executive leadership, scientific direction, and management for the Network. The Headquarters serve as a center for dissemination of information to investigators and institutions in EDRN, as well as to others outside the Network.
Funds: Funds will reside with: 1) the individually funded U01/U24 awardees in EDRN; and 2) the Headquarters.
The Principal Investigators (PIs) will have funds available through the individual EDRN U01/U24 awards to support the development of the scientific program and clinical protocols (30% of the funds for each BDL and CVC will be restricted for collaborative research projects- see Section IV.6 Other Submission Requirements and Information; Additional-budget related information). All investigators will be encouraged to seek supplemental funding through the Small Business Innovation awards (SBIR, R43 and/or R44), Small Business Technology Transfer awards (STTR, R41 and/or R42), Exploratory/Developmental grants (R21 and/or R33), and other research support mechanisms.
Core Funds will be available to the institution of the Chair of the SC. Applicants cannot apply for the Core Funds in their U01 applications submitted in response to this FOA. Core Funds are reserved for post-award collaborative research and for a variety of other functions. Release of these Core Funds will be based on the recommendations of the SC.
Core funds are used to:
1. Support EDRN multisite biomarker validation trials (see “Process of Biomarker Validation” in Section I of the EDRN FOA Guidelines document at http://edrn.nci.nih.gov/FOA-guidelines);
2. Expand participation in EDRN through supplemental funding to an investigator, who is not part of the Network (however, receipt of these supplemental funds does not, in and of itself, imply membership on the SC);
3. Provide support for the development of new biomarker tests to the point at which they can be validated at multiple centers and in larger populations. If test reagents are required to scale-up at this point, the SC may provide funding to contract commercial laboratories or companies that can scale up production and maintain the quality of the reagents (e.g., monoclonal antibodies, labels, etc.), and to CVCs for subject accrual; and
4. Support data management, travel, meetings, and other EDRN collaborative activities, including participation in the EDRN Associate Membership Program (see EDRN Administrative Structures in the EDRN FOA Guidelines document at http://edrn.nci.nih.gov/FOA-guidelines).
Semi-annual financial reports from the Headquarters will be required to report Core funds.
Recipients of Core Funds, such as commercial laboratories or manufacturing companies and institutions of outside investigators, participating, for example, in validation studies, will be subjected to the resource sharing and intellectual property requirements set forth in Section IV.6 of the corresponding EDRN FOA for Other Submission Requirements and Information. Awardees must advise Core Funds recipients and outside investigators of these requirements.
Specific Research Objectives and Requirements of this FOA:
Scope. To establish and enhance the Clinical Validation Centers (CVCs; formerly known as Clinical Epidemiology and Validation Centers), which form one of the four scientific components of the EDRN. The responsibilities of CVC are to:
1. Conduct research on the validation of biomarkers for early cancer detection and risk assessment (i.e., EDRN-defined Phase 2 and Phase 3 studies) and short-term (less than 5-year duration) prospective, comparative biomarker screening studies;
2. Serve as a resource center for collaborative research within the Network by participating in collaborative biomarker validation studies under the coordination of the EDRN SC, by providing high quality biological specimens to other EDRN investigators for use in biomarker discovery, and by contributing biospecimens for the formation of EDRN reference sets (note that the types and quantities of specimens will be agreed upon between the individual CVC and BDL and NCI after the U01s are awarded); and
3. Partner with EDRN BDLs and BRLs.
Funded CVCs are expected to develop validation studies with other EDRN investigators and to seek funding in support of those activities from the EDRN Core Fund.
Types of Cancer. Applications for research on cancers of common occurrence (e.g., those of the prostate, breast, colon, and lung) are encouraged. Proposed studies may also focus on other cancers that are major causes of cancer-related morbidity and mortality (e.g., those of the ovary, pancreas, liver, esophageal, and stomach).
1) Investigator-Initiated Biomarker Validation Studies:
Applicants must propose research projects on biomarkers for early cancer detection and/or risk assessment that conform to EDRN-defined Phase 2 or Phase 3 studies (http://edrn.nci.nih.gov/FOA-guidelines). Analytical studies to establish and compare the sensitivity and specificity as well as the predictive accuracy of biomarkers in a clinical context, including inter- and intra-laboratory reproducibility in collaboration with an EDRN BRL, may also be proposed. Biomarker discovery is not within the scope of this FOA and applications proposing biomarker discovery will be considered unresponsive.
Applicants may propose studies that can be conducted within the individual CVC or through inter-institutional collaboration. It is essential, however, that the CVCs identify and concentrate their resources on the most promising scientific opportunities, that studies be completed as planned, and that the methodologies employed are sound, and where appropriate, innovative. Research projects may include, but are not limited to:
A multi-center validation study will not commence until the protocol is reviewed by the SC and approved by the NCI and registered with the EDRN DMCC. All statistical analyses will be conducted by DMCC in collaboration with the funded investigators. In case of a Phase 2 or 3 multi-center validation trial requiring new specimen collection, the use of EDRN’s Validation Study Information System (VSIMS) is mandatory. Partners, such as biotechnology or diagnostic companies, who are willing to contribute to the study materially and financially agree to take the successful biomarker test to the FDA for approval, are welcome to participate in these studies.
To avoid bias and make best use of resources, proposed biomarker validation studies should follow EDRN-established guidelines and use key elements of the PRoBE design (see Biomarker Development Plan in the FOA Guidelines, Section I: http://edrn.nci.nih.gov/FOA-guidelines). These criteria include the randomized selection of case patients and control subjects from a well-defined prospective cohort that is relevant to the intended clinical application, rigorous protocols that precisely define data items and procedures to measure them, and mechanisms to ensure that biomarker and outcome assessments cannot influence each other. A PRoBE evaluation study should be conducted for biomarkers that show promise in discovery studies that use the same clinical context and population. The evaluation of the performance of a marker or marker combination can be undertaken by using a PRoBE design and randomly splitting the dataset into a training set for discovery and a test set for evaluation.
The importance of defining the intended clinical context in which a biomarker will be used during the initial phases of its development also entails the modeling and analysis of the cost-benefit effect of its implementation in the clinic. Such modeling and analysis is intended to aid the optimized combination of the developed biomarker with other existing modalities to increase their combined impact on the targeted population. EDRN expects that applicants will develop active collaborations with investigators funded by the NCI’s Cancer Intervention and Surveillance Modeling Network (CISNET; http://cisnet.cancer.gov/index.html), which will facilitate the efficient incorporation of cost-benefit effect modeling and analysis in the study design and the development of biomarkers.
2) Collaborative Resource for the Network:
As a collaborative resource for the Network, CVCs will facilitate the discovery, clinical validation, and clinical application of biomarkers through participation in multi-institutional studies. CVCs will provide archived specimens (regardless of the funding source) for discovery and validation studies. Active prospective collections can be proposed only: (1) for validation studies proposed in this application; (2) EDRN-sponsored Reference Sets collections; (3) in response to requests from other EDRN investigators that have been recommended by the SC and approved by NCI; and (4) in collaboration with cooperative groups or any ongoing trials that provide a unique opportunity for prospective longitudinal collection of specimens for major epithelial cancers to ensure the success of the collaborative Network research projects. Restricted set-aside funds may be used to support specimen collections for reference sets and to support requests from other investigators (see section IV.6 “Other Submission Requirements and Information” for information on restricted set-aside funds). If requested by NCI, specimens from newly accrued patients must be shipped to NCI toward the formation of reference sets. All specimen collection and storage should follow the guidelines provided in the National Cancer Best Practice for Biospecimen Resources (http://biospecimens.cancer.gov/practices/default.asp).
CVCs will provide expertise on population studies, protocol development, and pathological assessment, and will participate in data quality control, analysis, and interpretation of validation studies. The EDRN SC has developed guidelines for the collection and distribution of specimen reference sets for collaborative Network research (http://edrn.nci.nih.gov/resources/sample-reference-sets) and CVCs will help develop guidelines for new reference sets. The members of all EDRN BDLs, BRLs, and CVCs must agree to follow the decisions of the EDRN Steering Committee.
EDRN is developing a biomarker database for which expertise in clinical epidemiology is crucial. CVCs will lead discussions with the relevant EDRN Collaborative Group on supporting biological, clinical, and epidemiologic data to assess the inclusion of these biomarkers in the database. The final biomarker lists for all organ sites will be presented to an NCI-appointed Biomarker Expert Group, which will evaluate the supporting data and recommend to NCI for their inclusion in the database.
3) Partner with EDRN BDLs and BRLs:
To facilitate the development and validation of clinically useful biomarkers, all awarded CVCs must partner with awarded EDRN BDLs that focus on cancers in the same organ sites. After the awards are made, NCI will work with the funded CVCs and BDLs to establish these partnerships. The partnering between CVCs and BDLs will include but not be limited to:
Where appropriate, the CVC will also partner with an EDRN BRL that has the expertise to help develop the biomarker assays being employed by the CVC and BDLs.
Organization of the CVC:
The CVC will be assembled by a Principal Investigator (PD/PI) who will form a multidisciplinary and, if appropriate, inter-institutional arrangement for both the individual CVC’s research and for Network collaborative research projects. The CVC should be constructed in a flexible manner to permit ad hoc affiliations with qualified groups to participate in high-priority research across the entire range of clinical studies relevant to early cancer detection and risk assessment. The PD/PI will designate a member of this CVC to serve as Project Manager who will liaise with his/her counterpart at the NCI to monitor the CVC’s progress towards meeting its research goals.
Investigators participating in a CVC may come from academic, community, and industrial settings. For participation in a particular study, the CVC leadership can solicit any site that has the necessary technical qualifications and accrual potential to contribute to the study's timely completion and to the CVC's accrual responsibility.
Applicants to this FOA are encouraged to form formal collaborations with other Networks, NCI Cooperative Groups, and/or community-based organizations to broaden the coverage of different organ sites and accrual. Because early detection and treatment issues are often related, the CVC may need participation from various medical organizations. For some activities, the CVC may need to relate programmatically to other research infrastructures supported by the NCI (for e.g., Specialized Programs of Research Excellence [SPOREs] http://spores.nci.nih.gov/), Breast and Colon Cancer Family Registries (http://epi.grants.cancer.gov/CFR/about_breast.html; http://epi.grants.cancer.gov/CFR/about_colon.html),Cooperative Human Tissue Network (http://chtn.nci.nih.gov/)), with ongoing NCI clinical research programs/trials (e.g., Clinical Community Oncology Program [CCOP] (http://prevention.cancer.gov/programs-resources/programs/ccop), Prostate, Lung, Colon, and Ovarian Trial [PLCO](http://prevention.cancer.gov/programs-resources/groups/ed/programs/plco), NCI's Clinical Trials Cooperative Group (http://www.cancer.gov/cancertopics/factsheet/NCI/clinical-trials-cooperative-group)), or with other Federal agencies. Certain types of trials in earlier detection, especially those involving treatment, may best be conducted as inter-group studies with treatment-oriented cooperative groups, such as the NCI Clinical Cooperative Groups, NCI-designated Cancer Centers, international collaborators, clinical epidemiologists, and health maintenance organizations. The need for such cooperation should be anticipated and provided by the CVC leadership.
With respect to these collaborations, applicants must advise any collaborating investigators from these programs that their institutions will be subject to the resource sharing and intellectual property requirements set forth in Section IV.6 under “Other Submission Requirements and Information.”
Note: EDRN applicants are encouraged to seek actively additional funding/resources to push the biomarkers validation/implementation efforts beyond the EDRN-sponsored scope of research.
NON-RESPONSIVE. This FOA will not support biomarker discovery projects or research on fundamental biological mechanisms, such as studies on growth regulation, cell cycle control, or other basic studies.
See Section VIII, Other Information - Required Federal Citations, for policies related to this announcement.
1. Mechanism of Support
This funding opportunity uses the NIH U01 cooperative agreement award mechanism(s).The Project Directors/Principal Investigators (PDs/PIs) will be solely responsible for planning, directing, and executing the proposed project.
This FOA uses “Just-in-Time” information concepts. It also uses non-modular budget formats described in the PHS 398 application instructions (see ).
This funding opportunity uses a cooperative agreement award mechanism. In the cooperative agreement mechanism, the PD/PI or PDs/PIs retain(s) 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 PD(s)/PI(s), as described under the Section VI. 2. Administrative Requirements, "Cooperative Agreement Terms and Conditions of Award."
The estimated amount of funds available for the support of up to 10 projects awarded as a result of this announcement is $9 -10 million for fiscal year 2010. Future year amounts will depend on annual appropriations. An applicant may request a project period of up to 5 years at a budget of up to $600,000 per year (direct costs).
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 NCI provide support for this program,
awards pursuant to this funding opportunity are contingent upon the
availability of funds and the receipt of a sufficient number of meritorious
Facilities and administrative (F&A) costs requested by consortium participants are not included in the direct cost limitation, see NOT-OD-05-004.
grants policies as described in the NIH
Grants Policy Statement.
3. Other-Special Eligibility Criteria
Resubmissions. Resubmission applications are not permitted in response to this FOA.
Renewal Applicants may submit a renewal application. Renewal applications are permitted but only for U01 awards funded under the RFA-CA-05-005 (EDRN: Clinical Epidemiology and Validation Centers). Note that these renewal applications will be subject to evaluation using additional Review Criteria relative to new applications (see Section V of this FOA).
Number of Applications. Applicants may submit more than one application, provided each application is scientifically distinct. However, applicants must be aware that a given PD/PI may serve in this role on only one funded EDRN award. Still, investigators, who are PDs/PIs on one type of EDRN application, may be included as non-PD/PI key personnel or co-investigators on another EDRN award.
1. Address to
Request Application Information
The PHS 398 application instructions are available at http://grants.nih.gov/grants/funding/phs398/phs398.html in an interactive format. Applicants must use the currently approved version of the PHS 398. For further assistance, contact GrantsInfo -- Telephone: (301) 435-0714; Email: GrantsInfo@nih.gov.
Telecommunications for the hearing impaired: TTY 301-451-5936.
2. Content and Form of Application Submission
Applications must be prepared using the current PHS 398 research grant application instructions and forms. Applications must have a 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.dnb.com/us/. The D&B number should be entered on line 11 of the face page of the PHS 398 form.
The title and number of this funding opportunity must be typed in item (box) 2 only of the face page of the application form and the YES box must be checked.
The exceptions from the PHS398 instructions and detailed information on the application structure and components are provided in Section IV.6. Other Submission Requirements. All applicants must follow the specific instructions in that section.
Submission Dates and Times
Applications must be received on or before the receipt date described below (Section IV.3.A). Submission times N/A.
3.A. Receipt, Review, and Anticipated Start Dates
Letters of Intent Receipt Date: September 29, 2009
Application Receipt Date: October 29, 2009
Peer Review Date: February/March 2010
Council Review Date: May 2010
Earliest Anticipated Start Date: July 2010
3.A.1. Letter of Intent
Prospective applicants are asked to submit a letter of intent that includes the following information:
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 NCI staff to
estimate the potential review workload and plan the review.
The letter of intent is to be sent by the date listed in Section IV.3.A.
The letter of intent
should be sent to:
Sudhir Srivastava, Ph.D., M.P.H.
Division of Cancer Prevention
National Cancer Institute
6130 Executive Boulevard, EPN Room 3142
Bethesda, MD 20892-7362
Telephone: (301) 435-1594
FAX: (301) 402-8990
3.B. Sending an Application to the NIH
Applications must be prepared using the forms found in the PHS 398 instructions for preparing a research grant application. 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 (for U.S. Postal Service express or regular mail)
Bethesda, MD 20817 (for express/courier delivery; non-USPS service)
deliveries of applications are no longer permitted (see http://grants.nih.gov/grants/guide/notice-files/NOT-OD-03-040.html).
At the time of submission, two additional copies of the application and all copies of the appendix material must be sent to:
Division of Extramural Activities
National Cancer Institute
6116 Executive Boulevard, Room 8041, MSC 8329
Bethesda, MD 20892-8329 (for U.S. Postal Service regular or express mail)
Rockville, MD 20852 (for non-USPS delivery)
Telephone: (301) 496-3428
FAX: (301) 402-0275
Applications must be received on or before the application receipt date described above (Section IV.3.A.). If an application is received after that date, the application may be delayed in the review process or not reviewed. Upon receipt, applications will be evaluated for completeness by the CSR and for responsiveness by the reviewing Institute. Incomplete and/or non-responsive applications will not be reviewed.
The NIH will not accept any application in response to this funding opportunity 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 a funding opportunity, it is to be prepared as a NEW application. That is, the application for the funding opportunity 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.
Information on the status of an application should be checked by the PI in the eRA Commons at https://commons.era.nih.gov/commons/.
4. Intergovernmental Review
This initiative is not subject to intergovernmental
5. Funding Restrictions
All NIH awards are subject to the terms and conditions, cost principles, and other considerations described in the NIH Grants Policy Statement. The Grants Policy Statement can be found at NIH Grants Policy Statement.
Pre-award costs are allowable. A grantee may, at its own risk and without NIH prior approval, incur obligations and expenditures to cover costs up to 90 days before the beginning date of the initial budget period of a new or renewal award if such costs: 1) are necessary to conduct the project; and 2) would be allowable under the grant, if awarded, without NIH prior approval. If specific expenditures would otherwise require prior approval, the grantee must obtain NIH approval before incurring the cost. NIH prior approval is required for any costs to be incurred more than 90 days before the beginning date of the initial budget period of a new or renewal award.
The incurrence of pre-award costs in anticipation of a competing or non-competing award imposes no obligation on NIH either to make the award or to increase the amount of the approved budget if an award is made for less than the amount anticipated and is inadequate to cover the pre-award costs incurred. NIH expects the grantee to be fully aware that pre-award costs result in borrowing against future support and that such borrowing must not impair the grantee's ability to accomplish the project objectives in the approved time frame or in any way adversely affect the conduct of the project (see the NIH Grants Policy Statement at http://grants.nih.gov/archive/grants/policy/nihgps_2003/index.htm).
Special Instructions for Preparation of the CVC Application
Instructions for the Preparation of EDRN CVC Applications RESEARCH PLAN: The standard PHS398 Research Plan (Items 2-5 as per Revision 11/07 of the PHS 398 Table of Contents) is altered as follows:
Specific Sections 1-6 to be included in Research Plan are described below. (Table of Contents should be modified accordingly.)
Section 1 – Progress Report (Renewal Applications)/Relevant Experience (new applications) (up to 10 pages suggested)
Progress Report (for Incumbent EDRN CEVC awardees who are submitting a competing renewal application)
a. Applicants must list the goals of biomarker research proposed in their previous application, describe progress made to achieve these goals, and indicate the status of developed markers according to the EDRN-defined biomarker phases. Applicants should highlight their progress using the EDRN-developed Evaluation Metrics (http://edrn.nci.nih.gov/docs). The same information must be provided on biomarker research supported by restricted set-aside funds. If the applicant participated in any Network-wide validation studies, he/she should elaborate on the role played and the contribution made to the outcome of the study.
b. Applicants must state patient accrual and specimen collections proposed in their previous application and report the numbers of patients actually accrued, type of clinical information available on them, the number and types of specimen aliquots collected, and numbers of these aliquots that are available for EDRN studies. They should also list the numbers and types of aliquots supplied to other EDRN investigators and to non-EDRN investigators. The same information must be provided on any specimens collected using their restricted set-aside funds.
c. Applicants must describe their participation in EDRN activities, and their contributions in terms of collaborations within and outside the Network in meeting the goals of the EDRN (see EDRN Fourth Report at http://edrn.nci.nih.gov/docs)
d. Applicants must provide a brief synopsis of the review from the latest site visit by external reviewers and describe steps taken to address any concerns in these reviews.
Relevant Experience (New applicants):
Describe briefly experience of the investigator group in biomarker validation studies with emphasis on aspects directly relevant to the goals of EDRN, in general, and CVC, in particular.
Section 2 - Research Plan for Biomarker Validations Studies (up to 15 pages suggested):
Applicants should concisely describe their proposed biomarker validation research projects. These projects should conform to the requirements for EDRN-defined Phase 2 or Phase 3 studies. Depending on the composition and structure of the group, this section may be organized as distinct projects or as one integrated plan.
Applicants must describe the significance, background, rationale, preliminary data, study design, and approaches for the proposed studies. Applicant should focus on validation studies that are likely to yield significant results within 3 years, which will allow the applicant to make a ‘go or no go’ decision for further study. The success of the project will be measured by the criteria conforming to the FDA’s Biomarker Qualification guidelines.
Section 3 - Collaborative Resource for the Network (up to 10 pages suggested)
a) Applicant organization: Applicants should describe the group’s expertise, specialized or unique facilities, core resources, and services that are available to support their participation in EDRN validation studies. Applicants should describe any ongoing grant-supported, institutional, or private sector resources that augment or complement resources for which funding from this FOA is sought. The roles of all key personnel, collaborators, and consultants who are associated with the application should be briefly described. This section should also clearly describe the formal organizational structure of the CVC, including lines of authority and responsibility, with particular attention to the relationship of the organizational structure to the CVC major objectives. Applicants are encouraged to use this section of the application to highlight how the diverse expertise of the group members contributes to the innovation of which the group is capable, the flexibility they possess to redirect research when scientific progress warrants it, and their ability to anticipate new directions, based on their individual experience and ability to contribute to a collective effort. The roles and expertise of all key personnel, collaborators, and consultants who are associated with the application should be documented; letters from collaborators and consultants should be included in the appendix.
b) Patient accrual: Applicants must document their ability to recruit patients, procure specimens prospectively, collect epidemiological and clinical data using EDRN-developed Common Data Elements (CDEs; http://www.compass.fhcrc.org/edrnnci/bin/cde/DESearch.asp), and process, track, and store specimens. Applicants should describe in detail any proposed prospective specimen collections, either new or ongoing, that will be used for EDRN activities. The description should include information on the types of patients and controls to be accrued, clinical information to be collected, and types of specimens to be collected. Active prospective collections can be proposed only for validation studies proposed in this application and in collaboration with cooperative groups or any ongoing trials that provide a unique opportunity for prospective longitudinal collection for major epithelial cancers to ensure the success of the collaborative Network research projects. If the applicants already have specimen repositories that they are willing to make available to ERDN-collaborative studies, they should describe the purpose of the study(s) from which samples are being made available and the extent of the clinical information collected. Sites with adequate existing case-control repositories that will be available to EDRN investigators should furnish a list of types and number of specimens by organ site and provide information on histopathological stage and clinical grade and the availability of follow-up data.
Applicants should describe procedures for quality assurance and laboratory quality control. The procedures and the documentation should include confirmation of pathology and radiology reports and inter-laboratory comparisons of test results and procedures. The applicants must discuss their experience with quality control issues and other considerations that may arise in multi-institutional studies. All new specimen collections and storage should follow the guidelines provided in the National Cancer Best Practice for Biospecimen Resources, which are available at http://biospecimens.cancer.gov/practices/default.asp.
Applicants must state that they will participate in the EDRN Research Network Exchange (ERNE; https://ginger.fhcrc.org/edrn/imp/GateServlet?pwd), which allows investigators to locate appropriate specimens at the EDRN-supported CVCs and BDLs. Applicants must also describe and submit the distribution policy and procedures for their existing resources. The applicants must describe their plan to work with the EDRN SC and how their specimen distribution will be coordinated through their committee. The applicants should state which committee will have the veto power in case of a disagreement. The distribution of specimens collected through EDRN will be governed through the EDRN-established procedures, and the EDRN SC will be the final decision body.
c) Collaborative activities: Applicants should describe the experience of their group in collaborative programs and activities with academic and industry partners. Some examples of collaborations that may be provided in support of the application include demonstrated evidence of:
Section 4 - Partnering with EDRN Biomarker Developmental Laboratories and Biomarker Reference Laboratories (up to 3 pages suggested):
Applicants should describe their experience in collaborating with investigators involved in biomarker discovery and development or with investigators involved in assay development and describe plans to establish partnerships with EDRN BDLs and BRLs that are funded in response to the concurrent FOA for these laboratories.
EDRN encourages Pharma and Biotech to participate in Network-sponsored studies for moving biomarkers through qualification for an FDA-approved clinical use. NCI will serve as a concierge to facilitate partnership with relevant laboratories and centers within EDRN.
Awardees under the auspices of this FOA should obtain appropriate licenses for technologies that are necessary for the conduct of the proposed research so that the goals that are proposed can be accomplished. A statement from the applicant institution to that effect is required in the letter to be included in the appendix.
Section 5 - Project Management Plan (up to 4 pages suggested)
Applicants should provide a Project Management Plan that covers the following:
1) A Project Manager with whom other EDRN laboratories and centers and NCI program staff members can communicate about various details and activities of the study. The PD/PI will usually be the Project Manager; however, another person can be specified to fulfill this role.
2) Tentative timelines for conducting the proposed validation studies and specimen collections that briefly describe how and when the goals of the projects will be achieved. For a validation study (http://edrn.nci.nih.gov/FOA-guidelines), the timeline could include:
For a proposed biospecimen collection, the timeline could include:
3) Milestones that are well described, quantitative, and scientifically justified. Discuss the milestones as a means of judging the success of the proposed studies during the initial 3 years of support for the U01 award. Specific aims may not be regarded as milestones (unless they include quantitative end points). Specific aims describe the goals and intended path of the proposed research. Quantitative milestones are a way of determining whether an applicant has successfully reached the specified goals. In most cases, applicants should provide a milestone for each specific aim or project.
Shortly before the 3 years are completed, the progress made towards these milestones and achieving the proposed timelines will be reviewed by a program site visit of the laboratory. Depending on the assessment from the site visits, the NCI reserves the right to terminate CVC awards with insufficient progress prior to the end of the 5-year term..
Applicants must list quantitative milestones related to their proposed biomarker projects and validation studies (Section 2 - Research Plan for Biomarkers Validations Studies). The following are examples of quantitative milestones.
Applicants must list quantitative milestones related to any proposed patient and specimen accrual and to specimen distribution to other EDRN and non-EDRN investigators (Section 3- Collaborative Resource for the Network). The following is an example of quantitative milestone.
Accrual of 500 new colorectal cancer cases and 500 matched controls and associated CDEs as described in the application, and collect, process and store twelve 500 microliter aliquots of sera and twelve 500 microliter aliquots of plasma for each subject.
Applicants must list quantitative milestones related to establishing collaborative projects with EDRN BDLs (Section 3 - Partnering with EDRN BDLs and BRLs). The following is an example of a quantitative milestone.
Establish collaborative projects with two EDRN BDLs and provide specimens to these BDLs for both discovery and EDRN-defined Phase 2 studies.
Section 6 – Compliance with terms and conditions of award for EDRN Cooperative Agreement (maximum 3 pages): Specific issues related to cooperative agreements must be addressed in this section.
Applicants must include their specific plans for responding to the "Cooperative Agreement Terms and Conditions of Award" (Section VI, 2A of this FOA). Applicants should state their willingness to collaborate and share data freely with the other EDRN components, to participate in planning and attending workshops and symposia, to serve on the Steering Committee and be bound by its decisions, and to share data and research resources with each other and the NCI. Successful applicants will be expected to submit (via the internet) information on specimen collections per the Network’s Common Data Elements (CDEs) and register their protocols with the Network’s DMCC. Applicants should state their willingness to adapt their data management system so that it is compatible with EDRN data infrastructures.
If the proposed CVC is to involve a for-profit entity (entities), it is the applicant’s responsibility to ensure that the industrial partner freely shares protocols and study designs with NCI staff and collaborating investigators. NCI will help establish Confidential Disclosure Agreements with all parties involved.
Additional Budget-related Information
a) Applicants must adhere to the overall budget limits as defined in Section II. Funds Available.
b) The PD/PI must include a minimum of 1.8 person months of his/her time per year to the U01 award. This commitment cannot be reduced in later years of the award.
c) Applicants must budget for travel and per diem expenses for SC meetings. In the first year, applicants should plan for the Principal Investigator and an additional senior investigator to attend a Planning Meeting and two SC meetings. In the second and subsequent years, applicants should plan for the PI and another investigator to attend two SC meetings per year.
d) Applicants must budget for travel and per diem expenses for participation in Network workshops and symposia. Applicants should plan that at least two investigators will attend a Network workshop or symposium every 18 months.
e) Applicants must set aside 30 percent of their annual budgets for Network collaborative studies and/or collecting specimens to fulfill specific Network needs:
The use of these set-aside funds will be restricted and must be reviewed and approved by the EDRN SC and then recommended to, and approved by the NCI for release from the individual U01 awards. The set-aside amounts should be listed in the Other Expenses category under the heading “Network Collaborative Funds.”
f) Applicants must budget for data collection on relevant common data elements (CDEs) for specimens during the course of study. For CDEs, please visit the EDRN web site at http://edrn.nci.nih.gov/.
All paper PHS 398 applications must provide appendix material on CDs only, and include five identical CDs in the same package with the application (see http://grants.nih.gov/grants/guide/notice-files/NOT-OD-08-031.html).
Do not use the Appendix to circumvent the page limitations of the Research Plan component. An application that does not observe the required page limitations may be delayed in the review process.Resource Sharing Plan(s)
NIH considers the sharing of unique research resources developed through NIH-sponsored research an important means to enhance the value of, and advance research. When resources have been developed with NIH funds and the associated research findings published or provided to NIH, it is important that they be made readily available for research purposes to qualified individuals within the scientific community. If the final data/resources are not amenable to sharing, this must be explained in Resource Sharing section of the application. See http://grants.nih.gov/grants/policy/data_sharing/data_sharing_faqs.htm.
(a) Data Sharing Plan: Regardless of the amount requested, investigators are expected to include a brief 1-paragraph description of how final research data will be shared, or explain why data-sharing is not possible. Applicants are encouraged to discuss data-sharing plans with their NIH program contact. See Data-Sharing Policy or http://grants.nih.gov/grants/guide/notice-files/NOT-OD-03-032.html.
(b) Sharing Model Organisms: Regardless of the amount requested, all applications where the development of model organisms is anticipated are expected to include a description of a specific plan for sharing and distributing unique model organisms and related resources, or state appropriate reasons why such sharing is restricted or not possible. See Sharing Model Organisms Policy and NIH Guide NOT-OD-04-042.
(c) Genome-Wide Association Studies (GWAS): Regardless of the amount requested, applicants seeking funding for a genome-wide association study are expected to provide a plan for submission of GWAS data to the NIH-designated GWAS data repository, or provide an appropriate explanation why submission to the repository is not possible. A genome-wide association study is defined as any study of genetic variation across the entire genome that is designed to identify genetic associations with observable traits (such as blood pressure or weight) or the presence or absence of a disease or condition. For further information, see Policy for Sharing of Data Obtained in NIH Supported or Conducted Genome-Wide Association Studies,and .
In addition to the standard NIH rules, the following EDRN-specific requirements apply:
(d) Specimen Sharing: The success of EDRN is dependent on collaborative interactions of all its laboratories. Clinical specimen collection funded through EDRN cooperative agreements must become available to all investigators in the network and must be made available for network validation studies. Applicants seeking to use funding via this U01 mechanism to collect clinical specimens must state their willingness to share these samples with others in the network.
(e) Intellectual Property: NIH recognizes that certain research activities may result in inventions and that grantees are entitled to protect such inventions through patenting and licensing activities in accordance with the Bayh-Dole Act, 35 USC § 200 et seq. and the implementing regulations, 37 CFR Part 401 ("Bayh-Dole Act"). However, the EDRN's core mission of collaboration both between Network members and between Network members and third party industry partners necessarily anticipates the sharing of intellectual property arising out of research resources developed in Network-related activities.
Since it is the policy of the NIH to make available to the public the results and accomplishments of the activities which it funds, applicants who respond to an EDRN FOA are expected to submit an Intellectual Property Management Plan (IPMP), which addresses the strategy to be followed for both solely or jointly owned inventions (including patents and licensing issues) and how these resources will be made available to the broader scientific community, consistent with the EDRN initiative. This plan should be included in the program description of the application and any approved IPMP will become a condition of the grant award. For more details on the preparation of an IPMP can be found at http://ttb.nci.nih.gov/ipplans.html. For further Licensing and IP issues related to Biomarker Discovery, Development, and Validation, see Section III of the FOA Guidelines document, at http://edrn.nci.nih.gov/FOA-guidelines.
Only the review criteria described below will be considered in the review process.
2. Review and Selection Process
Applications that are complete and responsive to the FOA will be evaluated for scientific and technical merit by an appropriate peer review group convened by the NCI and in accordance with NIH peer review procedures (http://grants1.nih.gov/grants/peer/), using the review criteria stated below.
As part of the scientific peer review, all applications will:
The following will be considered in making funding decisions:
The mission of the NIH is to support science in pursuit of knowledge about the biology and behavior of living systems and to apply that knowledge to extend healthy life and reduce the burdens of illness and disability. As part of this mission, applications submitted to the NIH for grants or cooperative agreements to support biomedical and behavioral research are evaluated for scientific and technical merit through the NIH peer review system.
Overall Impact. Reviewers will provide an overall impact/priority score to reflect their assessment of the likelihood for the project to exert a sustained, powerful influence on the research field(s) involved, in consideration of the following five core review criteria, and additional review criteria (as applicable for the project proposed).
Core Review Criteria. Reviewers will consider each of the five review criteria below in the determination of scientific and technical merit, and give a separate score for each. An application does not need to be strong in all categories to be judged likely to have major scientific impact. For example, a project that by its nature is not innovative may be essential to advance a field.
Significance. Does the project address an important problem or a critical barrier to progress in the field? If the aims of the project are achieved, how will scientific knowledge, technical capability, and/or clinical practice be improved? How will successful completion of the aims change the concepts, methods, technologies, treatments, services, and/or preventative interventions that drive this field?
In addition, specific to this FOA: What is the likelihood that proposed biomarkers will be adopted into routine clinical practice if shown to be efficacious?
Investigator(s). Are the PDs/PIs, collaborators, and/or other researchers well suited to the project? If Early Stage Investigators or New Investigators are involved, do they have appropriate experience and training? If established investigators are involved, have they demonstrated an ongoing record of accomplishments that have advanced their field(s)? If the project is collaborative or multi-PD/PI, do the investigators have complementary and integrated expertise and are their leadership approach(es), governance plan(s), and organizational structure appropriate for the project?
In addition, specific to this FOA: Does the research experience and qualifications of the PD/PI and co-investigators demonstrate an understanding the design, administration, and analysis of multi-institutional clinical research?
Innovation. Does the application challenge and seek to shift current research or clinical practice paradigms by utilizing novel theoretical concepts, approaches or methodologies, instrumentation, or interventions? Are the concepts, approaches, methodologies, instrumentation, and/or interventions novel to one field of research or novel in a broad sense? Is a refinement, improvement, or new application of theoretical concepts, approaches, methodologies, instrumentation, and/or interventions proposed?
Approach. Are the overall strategy, methodology, and
analyses well-reasoned and appropriate to accomplish the specific aims of the
project? Are potential problems, alternative strategies, and benchmarks
for success presented? If the project is in the early stages of development,
will the strategy establish feasibility and will particularly risky aspects be
If the project involves clinical research, are the plans for 1) protection of human subjects from research risks, and 2) inclusion of minorities and members of both sexes/genders, as well as the inclusion of children, justified in terms of the scientific goals and research strategy proposed?
In addition, specific to this FOA: Do the proposed biomarker validation studies incorporate principles suggested by the PRoBE study design as described in Section I of the FOA Guidelines document, at http://edrn.nci.nih.gov/FOA-guidelines? Has the applicant provided adequate data from EDRN-defined Phase 1 and/or Phase 2 biomarker studies to warrant the proposed validation trial? Are parameters, such as sensitivity, specificity, and predictive value chosen to characterize the biomarkers/reagents sufficient and appropriate? Are the study designs supported by adequate sample size and statistical reasoning? Are the considerations for minimizing bias, chance, over-fitting and reproducibility issues given in the proposed study design and are they adequate?
Do the applicants present a sound plan for patient recruitment, retention, and follow up, for high quality specimen collection, processing, and storage, and for obtaining high quality clinical and epidemiological information linked to specimens? Do appropriate quality assurance and quality control programs exist, including on-site audits that assure high-quality research and patient safety? Are institutional data management and statistical analyses, procedures, and policies adequate, appropriate, and consistent with accepted standards? Will the Network collaboration be utilized when necessary to satisfy the requirements for timely completion of proposed studies?
Are the plans for partnering with EDRN BDLs and BRLs sound and adequately described?
Environment. Will the scientific environment in which the work will be done contribute to the probability of success? Are the institutional support, equipment, and other physical resources available to the investigators adequate for the project proposed? Will the project benefit from unique features of the scientific environment, subject populations, and/or collaborative arrangements?
In addition, specific to this FOA: Do the PD/PI and co-investigators have access to the appropriate patient populations? Does the applicant have access to pathology review and documentation of the pathology report? Does the applicant have access to treatment information and other necessary patient data, such as medical history? Do they have a good biorepository, in particular, of preclinical samples?
In addition, specific to this FOA: Has the applicant adequately addressed his/her institutional patent policy?
In addition to the above review criteria, the following criteria will be applied to applications in the determination of scientific merit and the impact/ priority score.
Collaborative Strengths: Are there adequate plans for effective interaction and coordination with the other Network components, the SC, the DMCC, and the NCI? Do the investigators state their willingness to collaborate and share information? Do the investigators state their willingness to abide by the priorities and policies agreed upon by the SC for collaborative studies? Has the applicant developed collaborations with an industrial partner(s), if applicable, who are committed to submit the validated assays for FDA approval?
Project Management Plan: Are the milestones given in the Project Management Plan appropriate to allow for an evaluation of the progress the CVC has made on the proposed biomarker validation projects, specimen collections, and partnering with BDLs? Are the decision criteria well defined to enhance for selection of biomarkers that are likely to succeed in clinical testing?
Progress (Renewal Applications only): Did the applicants undertake and complete the biomarker validation projects proposed in the previous application or supported with set-aside funds? Were any of the biomarkers moved forward towards clinical validation? Did the applicants accrue the numbers of patients and types of specimens proposed in their original application or supported with set-aside funds? Did they supply a reasonable fraction of these specimens to other investigators or for use in EDRN validation studies or reference set collections? Did the PD/PI participate in EDRN SC meetings, workshops and other collaborative activities? Are the reviews from site visits conducted by NCI program and external consultants described and has the PD/PI addressed any concerns identified by the reviewers.
Additional Review Criteria. As applicable for the project proposed, reviewers will consider the following additional items in the determination of scientific and technical merit, but will not give separate scores for these items.
Protections for Human Subjects. For research that involves human subjects but does not involve one of the six categories of research that are exempt under 45 CFR Part 46, the committee will evaluate the justification for involvement of human subjects and the proposed protections from research risk relating to their participation according to the following five review criteria: 1) risk to subjects; 2) adequacy of protection against risks; 3) potential benefits to the subjects and others; 4) importance of the knowledge to be gained; and 5) data and safety monitoring for clinical trials.
For research that involves human subjects and meets the criteria for one or more of the six categories of research that are exempt under 45 CFR Part 46, the committee will evaluate: 1) the justification for the exemption; 2) human subjects involvement and characteristics; and 3) sources of materials.
Inclusion of Women, Minorities, and Children. When the proposed project involves clinical research, the committee will evaluate the proposed plans for inclusion of minorities and members of both genders, as well as the inclusion of children.
Vertebrate Animals. The committee will evaluate the involvement of live vertebrate animals as part of the scientific assessment according to the following five points: 1) proposed use of the animals, and species, strains, ages, sex, and numbers to be used; 2) justifications for the use of animals and for the appropriateness of the species and numbers proposed; 3) adequacy of veterinary care; 4) procedures for limiting discomfort, distress, pain and injury to that which is unavoidable in the conduct of scientifically sound research including the use of analgesic, anesthetic, and tranquilizing drugs and/or comfortable restraining devices; and 5) methods of euthanasia and reason for selection if not consistent with the American Veterinary Medical Association (AVMA) Guidelines on Euthanasia.
Renewal Applications. When reviewing a Renewal application (formerly called a competing continuation application), the committee will consider the progress made in the last funding period.
Biohazards. Reviewers will assess whether materials or procedures proposed are potentially hazardous to research personnel and/or the environment, and if needed, determine whether adequate protection is proposed.
Additional Review Considerations. As applicable for the project proposed, reviewers will address each of the following items, but will not give scores for these items and should not consider them in providing an overall impact/priority score.
Budget and Period Support. Reviewers will consider whether the budget and the requested period of support are fully justified and reasonable in relation to the proposed research.
Select Agent Research. Reviewers will assess the information provided in this section of the application, including: 1) the Select Agent(s) to be used in the proposed research; 2) the registration status of all entities where Select Agent(s) will be used; 3) the procedures that will be used to monitor possession use and transfer of Select Agent(s); and 4) plans for appropriate biosafety, biocontainment, and security of the Select Agent(s).
Resource Sharing Plans. Reviewers will comment on whether the following Resource Sharing Plans, or the rationale for not sharing the following types of resources, are reasonable: 1) Data Sharing Plan (http://grants.nih/gov/grants/policy/data_sharing/data_sharing_guidance.htm); 2) Sharing Model Organisms (http://grants.nih.gov/grants/guide/notice-files/NOT-OD-04-042.html); and 3) Genome Wide Association Studies (GWAS) (http://grants.nih.gov/grants/guide/notice-files/NOT-OD-07-088.html).
3. Anticipated Announcement and Award
1. Award Notices
After the peer review of the application is completed, the PD/PI will be able to access his or her Summary Statement (written critique) via the eRA Commons.
application is under consideration for funding, NIH will request
"just-in-time" information from the applicant. For details,
applicants may refer to the NIH
Grants Policy Statement Part II: Terms and Conditions of NIH Grant Awards,
Subpart A: General.
formal notification in the form of a Notice of Award (NoA) will be
provided to the applicant organization. The NoA signed by the grants management
officer is the authorizing document. Once all administrative and programmatic
issues have been resolved, the NoA will be generated via email notification
from the awarding component to the grantee business official (designated in
Item 12 on the Application Face Page). If a grantee is not email enabled, a
hard copy of the NoA will be mailed to the business official.
Selection of an application for award is not an authorization to begin performance. Any costs incurred before receipt of the NoA are at the recipient's risk. These costs may be reimbursed only to the extent considered allowable pre-award costs. See also Section IV.5. Funding Restrictions.
2. Administrative and National Policy Requirements
All NIH grant and cooperative agreement awards include the NIH Grants Policy Statement as part of the NoA. For these terms of award, see the NIH Grants Policy Statement Part II: Terms and Conditions of NIH Grant Awards, Subpart A: General (http://grants.nih.gov/archive/grants/policy/nihgps_2003/index.htm) and Part II Terms and Conditions of NIH Grant Awards, Subpart B: Terms and Conditions for Specific Types of Grants, Grantees, and Activities (http://grants.nih.gov/archive/grants/policy/nihgps_2003/index.htm).
The following Terms and Conditions will be incorporated into the award statement and will be provided to the Principal Investigator as well as to the appropriate institutional official, at the time of award.
Cooperative Agreement Terms and Conditions of Award
The following special terms of award are in addition to, and not in lieu of, otherwise applicable U.S. Office of Management and Budget (OMB) administrative guidelines, U.S. Department of Health and Human Services (HHS) grant administration regulations at 45 CFR Parts 74 and 92 (Part 92 is applicable when State and local Governments are eligible to apply), and other HHS, PHS, and NIH grant administration policies.
The administrative and funding instrument used for this program will be the cooperative agreement an "assistance" mechanism (rather than an "acquisition" mechanism), in which substantial NIH programmatic involvement with the awardees is anticipated during the performance of the activities. Under the cooperative agreement, the NIH purpose is to support and stimulate the recipients' activities by involvement in and otherwise working jointly with the award recipients in a partnership role; it is not to assume direction, prime responsibility, or a dominant role in the activities. Consistent with this concept, the dominant role and prime responsibility resides with the awardees for the project as a whole, although specific tasks and activities may be shared among the awardees and the NIH as defined below.
2. A.1. Principal Investigator Rights and Responsibilities
The PD/PI or PDs/PIs will have the primary responsibility and accountability to the applicant organization officials and to the NCI for the performance and the proper conduct of the research supported by the U01 mechanism in accordance with the terms and conditions that are stated in the FOA. The PI will be a voting member of the Steering Committee (SC) and, together with an additional senior investigator, will attend a Planning Meeting and two SC meetings in the first year, two SC meetings in each of the subsequent years of the award, and one EDRN-sponsored scientific workshop every 18 months (this usually coincides with one of the SC meetings). Attendance at these meetings is required as part of this cooperative agreement.
The PD/PI will have the primary responsibility to define the scientific objectives and approaches for the individual CVC, including research design and protocol development, participant recruitment and follow-up, data collection, quality control, and interim data and safety monitoring, and to plan, conduct, analyze, and publish results. The cohort or specimen repositories the CVC establishes will provide specimens to address the scientific hypotheses of these studies, but the main portion of these specimens should be reserved for EDRN validation studies.
The PD/PI will submit the final protocol to the NCI for approval before the commencement of the study. Protocol must conform to the EDRN-developed Common Data Elements (CDEs) for data collection. In case the CDEs are not available, the PI will work with the EDRN DMCC and NCI Program Coordinator to develop the CDEs.
All funded applications will be discussed by the SC or its designee to help coordinate the project management plans, collaborations, and protocol designs. Approval is required prior to project commencement.
PD/PI Responsibilities for Network Collaborative Studies:
The PD/PI will collaborate with other EDRN components to advance promising biomarkers towards EDRN validation studies and provide EDRN investigators appropriate specimens for quick evaluation.
The PD/PI will be responsible for accepting and implementing the goals, priorities, common protocols, procedures, and policies agreed upon by the SC for the individual and Network collaborative studies.
The PD(s)/PI(s) will ensure Network and NCI review and approval of protocols, concepts, final protocol documents, informed consents, and study amendments, and advise NCI of changes in protocol status.
The PD/PI will be responsible for collaborating on common research designs or protocols, including methods and requirements for joint participation and collaboration as recommended by the SC, and handling of data, including appropriate sharing of methods and data among collaborating organizations.
The PD/PI will assume responsibility for managing individual protocols/research and collaborative projects approved by the SC. The PD/PI of a CVC will verify that participating sites have all relevant human risk assurance documents, as required, on file with the Office for Human Research Protections (OHRP), HHS.
Awardees will retain custody of and have primary rights to the data and software developed under these awards, subject to Government rights of access consistent with current HHS, PHS, and NIH policies.
2. A.2. NIH Responsibilities
An NIH Project Scientist [and/or “Project Coordinator,” or “Project Collaborator,” or “Intramural Scientist”] will have substantial programmatic involvement that is above and beyond the normal stewardship role in awards, as described below.
The NCI Program Coordinator will have substantial scientific programmatic involvement during conduct of this activity, through technical assistance, initiation of Network collaborative projects, data sharing and analysis, composition of reports, advice and coordination. There will be only one NCI Program Coordinator for the Network. However, the Program Coordinator may be assisted by other NCI Program Directors and staff members on specific scientific issues as needed.
Because of the Network’s diverse research agenda and the number of tasks that have to be accomplished to achieve its goals, a number of NCI staff members may interact with the Network as needed. The NCI Program Coordinator (who is and will be a staff member in the Division of Cancer Prevention) will assist the Network on scientific and programmatic issues, and advise the Network on the availability of other resources. A member from the Chemoprevention Branch, DCP, NCI, will be available to assist the Network on intermediate endpoints and on any ongoing chemoprevention trials relevant to the Network studies. A member from the Biometry Branch, DCP, NCI, will be available to assist the Network on the issues of study design, sample size, and other statistical computations. The other NCI staff may assist and advise the Network on relevant programmatic and scientific issues through the NCI Program Coordinator.
The NCI Program Coordinator will convene the initial meeting of the SC, have voting membership on the Steering Committee, and, as determined by that committee, its subcommittees.
Although the PD(s)/PI(s) will have lead responsibilities in all collaborative tasks and activities, it is anticipated that the NCI Program Coordinator will have lead responsibilities in managing and sharing the broad programmatic issues among awardees.
The NCI reserves the right to adjust funding, withhold support, suspend, terminate, or curtail the study or an individual award in the event of a failure to comply with the Terms and Conditions of Award, data reporting, quality control, or other major breach of the protocol, or human subject ethical issues, whenever applicable.
The NCI Project Scientists/Coordinators/Collaborators and other substantially involved NIH staff members will not attend peer review meetings of renewal (competing continuation) and/or supplemental applications. If such participation is essential, these individuals will seek NCI waiver according to the NCI procedures for management of conflict of interest.
Additionally, an NCI Program Director acting as the Program Official will be responsible for the normal scientific and programmatic stewardship of the awards and will be named in the award notice. A Program Official may also have substantial programmatic involvement (e.g., as a Project Scientist). In that case, the individual involved will not attend peer review meetings of renewal (competing continuation) and/or supplemental applications, or will seek NCI waiver.
2.A.3. Collaborative Responsibilities
Steering Committee (SC):
The SC will be a governing body of the EDRN. It will provide overall scientific management oversight and will be responsible for developing collaborative research designs, protocols, and manuals, facilitating the conduct and monitoring of studies, and reporting study results. The SC will be composed of: (a) the PD(s)/PI(s) representing EDRN awardees (one representative per each EDRN award); and (b) the NCI Program Coordinator. Each voting member will have one vote.
The Chair (non-NIH person) will be selected by the SC. The awardee institution represented by the Chair of the SC will serve as the Headquarters (for definition, see Network Organization). Subcommittees, including the existing ones, will be established and maintained by the SC, as it deems appropriate; the NCI Program Coordinator will serve on subcommittees, as he/she deems appropriate.
After all the Network components have been funded, the SC will convene. Responsibilities of the SC include, but are not limited to (investigators are encouraged to review the EDRN Manual of Operations at http://edrn.nci.nih.gov/about-edrn/edrn-mo-v3-1-0.pdf/download), the following activities:
The SC will establish a Data and Safety Monitoring Committee (DSMC) for clinical trials as appropriate to ensure protection of human subjects.
The SC will review patient accrual, follow-up, protocol compliance, results of audits, and regulatory requirements at the participating Centers and formally report the results of its reviews to the NCI.
The SC will promote and foster the inclusion of women and ethnic minorities in clinical studies and assure the completeness of informed consent.
The SC will track the Network research progress and assure that the results of laboratory research and clinical studies are published in peer-reviewed journals in a timely manner and in accordance with the publication policies of the Network.
At any time during a Network project (i.e., collaborative research using Core Funds), the SC may ask a BDL or CVC to serve as a BRL on an as needed basis with appropriate compensation from Core Funds. The SC may also examine the validation data for biomarkers/reagents developed by the Network, and decide when a biomarker is sufficiently validated, or recommend when to stop non-productive experiments relating to biomarkers validation.
The SC will discuss collaborative projects to be pursued jointly with the funds set aside from the Headquarters and from individual U01 awardees.
Collaborative studies/protocols will be approved by the SC. Data will be submitted centrally to the DMCC. The SC will define the rules regarding access to data and publications consistent with NCI policies.
The SC will plan one of several Workshops during the Network project period to inform the scientific community and relevant advocacy groups of the progress made toward development and clinical application of biomarkers developed through the Network. The NCI Program Coordinator, members of the Network Consulting Team, and other NCI staff will provide the SC with advice on participants for the workshops and symposia. The DMCC will manage the logistics for these meetings.
The SC in consultation with the NCI will determine the PI of the Network-wide validation study.
For additional information on PD(s)/PI(s)’ responsibilities for the SC, see the EDRN Manual of Operations posted at http://edrn.nci.nih.gov/about-edrn/
EDRN PDs/PIs and their awardee institutions will be required to accept and
implement policies approved by the Steering Committee.
2.A.4. Dispute Resolution
Any disagreements that may arise in scientific or programmatic matters (within the scope of the award) between award recipients and the NIH may be brought to arbitration. A Dispute Resolution Panel will be convened. It will have three members: a designee of the Steering Committee chosen without NIH staff voting, one NIH designee, and a third designee with expertise in the relevant area who is chosen by the other two; in the case of individual disagreement, the first member may be chosen by the individual awardee. This special dispute resolution procedure does not alter the awardee's rights in accordance with PHS regulations 42 CFR Part 50, Subpart D and HHS regulations 45 CFR Part 16.
Awardees will be required to submit the Non-Competing Continuation Grant Progress Report (PHS 2590) annually and financial statements as required in the NIH Grants Policy Statement.
A final progress report, invention statement, and Financial Status Report are required when an award is relinquished when a recipient changes institutions or when an award is terminated.
encourage your inquiries concerning this funding opportunity 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
1. Scientific/Research Contacts:
Sudhir Srivastava, Ph.D., M.P.H.
Division of Cancer Prevention
National Cancer Institute
6130 Executive Boulevard, EPN Room 3142
Bethesda, MD 20892-7362 (for U.S. Postal Service regular or express mail)
Rockville, MD 20852 (for non-USPS delivery)
Telephone: (301) 435-1594
FAX: (301) 402-8990
2. Peer Review Contacts:
Division of Extramural Activities
National Cancer Institute
6116 Executive Boulevard, Room 8041, MSC 8329
Bethesda, MD 20892-8329 (for U.S. Postal Service regular or express mail)
Rockville, MD 20852 (for non-USPS delivery)
Telephone: (301) 496-3428
FAX: (301) 402-0275
3. Financial or Grants Management
Office of Grants Administration
National Cancer Institute
6120 Executive Boulevard, Suite 243
Bethesda, MD 20892(for regular mail)
Rockville, MD 20852(for non-USPS delivery)
Required Federal Citations
Use of Animals in Research:
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); and efficacy, effectiveness, and comparative trials (Phase III). Monitoring should be commensurate with risk. The establishment of data and safety monitoring boards (DSMBs) is required for multi-site clinical trials involving interventions that entail potential risks to the participants (NIH Policy for Data and Safety Monitoring, NIH Guide for Grants and Contracts, 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 and local institutional review board (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.
Policy for Genome-Wide Association Studies (GWAS):
NIH is interested in advancing genome-wide association studies (GWAS) to identify common genetic factors that influence health and disease through a centralized GWAS data repository. For the purposes of this policy, a genome-wide association study is defined as any study of genetic variation across the entire human genome that is designed to identify genetic associations with observable traits (such as blood pressure or weight), or the presence or absence of a disease or condition. All applications, regardless of the amount requested, proposing a genome-wide association study are expected to provide a plan for submission of GWAS data to the NIH-designated GWAS data repository, or provide an appropriate explanation why submission to the repository is not possible. Data repository management (submission and access) is governed by the Policy for Sharing of Data Obtained in NIH Supported or Conducted Genome-Wide Association Studies, NIH Guide NOT-OD-07-088. For additional information, see
to Research Data through the Freedom of Information Act:
The Office of Management and Budget (OMB) Circular A-110 has been revised to provide 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 funding opportunity 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.
Sharing of Model Organisms:
NIH is committed to support efforts that encourage sharing of important research resources including the sharing of model organisms for biomedical research (see http://grants.nih.gov/grants/policy/model_organism/index.htm). At the same time the NIH recognizes the rights of grantees and contractors to elect and retain title to subject inventions developed with Federal funding pursuant to the Bayh Dole Act (see the NIH Grants Policy Statement http://grants.nih.gov/archive/archive/grants/policy/nihgps_2003/index.htm). All investigators submitting an NIH application or contract proposal, beginning with the October 1, 2004 receipt date, are expected to include in the application/proposal a description of a specific plan for sharing and distributing unique model organism research resources generated using NIH funding or state why such sharing is restricted or not possible. This will permit other researchers to benefit from the resources developed with public funding. The inclusion of a model organism sharing plan is not subject to a cost threshold in any year and is expected to be included in all applications where the development of model organisms is anticipated.
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 (http://grants.nih.gov/grants/guide/notice-files/NOT-OD-02-001.html); a complete copy of the updated Guidelines is 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 Clinical Research:
The NIH maintains a policy that children (i.e., individuals under the age of 21) must be included in all clinical 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 (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 applications for research involving human subjects and individuals designated as key personnel. The policy is available 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 (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.
NIH Public Access
In accordance with the NIH Public Access Policy () investigators must submit or have submitted for them their final, peer-reviewed manuscripts that arise from NIH funds and are accepted for publication as of April 7, 2008 to PubMed Central (http://www.pubmedcentral.nih.gov/), to be made publicly available no later than 12 months after publication. As of May 27, 2008, investigators must include the PubMed Central reference number when citing an article in NIH applications, proposals, and progress reports that fall under the policy, and was authored or co-authored by the investigator or arose from the investigator’s NIH award. For more information, see the Public Access webpage at .
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. For publications listed in the appendix and/or Progress report, internet addresses (URLs) must be used for publicly accessible on-line journal articles. Unless otherwise specified in this solicitation, Internet addresses (URLs) should not be used to provide any other information necessary for 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.
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 FOA is related to one or more of the priority areas. Potential applicants may obtain a copy of "Healthy People 2010" at http://www.health.gov/healthypeople.
Authority and Regulations:
This program is described in the Catalog of Federal Domestic Assistance at http://www.cfda.gov/ and is not subject to the intergovernmental review requirements of Executive Order 12372. 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.
Loan Repayment Programs:
NIH encourages applications for educational loan repayment from qualified health professionals who have made a commitment to pursue a research career involving clinical, pediatric, contraception, infertility, and health disparities related areas. The LRP is an important component of NIH's efforts to recruit and retain the next generation of researchers by providing the means for developing a research career unfettered by the burden of student loan debt. Note that an NIH grant is not required for eligibility and concurrent career award and LRP applications are encouraged. The periods of career award and LRP award may overlap providing the LRP recipient with the required commitment of time and effort, as LRP awardees must commit at least 50% of their time (at least 20 hours per week based on a 40 hour week) for two years to the research. For further information, please see: http://www.lrp.nih.gov.
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