Full Text CA-93-12 FOLLOW-UP OF DES-ASSOCIATED CLEAR CELL ADENOCARCINOMA NIH GUIDE, Volume 22, Number 7, February 19, 1993 RFA: CA-93-12 P.T. 34 Keywords: Cancer/Carcinogenesis Epidemiology Registries+ Cell Lines Genetics National Cancer Institute Letter of Intent Receipt Date: March 31, 1993 Application Receipt Date: May 5, 1993 PURPOSE The Extramural Programs Branch, Epidemiology and Biostatistics Program, Division of Cancer Etiology, National Cancer Institute (NCI) invites cooperative agreement applications from investigators to participate, with the assistance of the NCI, in epidemiologic and interdisciplinary studies to follow-up patients with diethylstilbestrol (DES)-associated clear cell adenocarcinoma of the cervix or vagina. HEALTHY PEOPLE 2000 The Public Health Service (PHS) is committed to achieving the health promotion and disease prevention objectives of "Healthy People 2000," a PHS-led national activity for setting priority areas. This RFA, Follow-Up of Patients with DES-Associated Clear Cell Adenocarcinoma, is related to the priority area of cancer. Potential applicants may obtain a copy of "Healthy People 2000" (Full Report: Stock No. 017-001-00474-0 or Summary Report: Stock No. 017-001-00473-1) through the Superintendent of Documents, Government Printing Office, Washington DC 20402-9325 (telephone 202-783-3238). ELIGIBILITY REQUIREMENTS Applications may be submitted by domestic and foreign non-profit and for-profit institutions, public and private, such as colleges, universities, hospitals, research laboratories, units of State and local governments, and eligible agencies of the Federal Government. Applications from minority and women investigators are encouraged. MECHANISM OF SUPPORT Support of this program will be through the Cooperative Agreement (U01), an assistance mechanism in which substantial NCI programmatic involvement with the recipients during performance of the planned activity is anticipated. The nature of NCI staff involvement is described in SPECIAL REQUIREMENTS and Terms and Conditions of Award. Applicants will be responsible for the planning, direction, and execution of the proposed project. Awards will be administered under PHS grants policy as stated in the Public Health Service Grants Policy Statement, DHHS Publication No. (OASH) 90-50,000, revised October 1, 1990, and in this RFA. This RFA is a one-time solicitation. Future unsolicited competing continuation applications will compete as research project applications with all other investigator-initiated applications and be reviewed by the Division of Research Grants (DRG). However, if the NCI determines that there is a sufficient continuing program need, the NCI will invite recipients of awards under this RFA to submit competitive continuation cooperative agreement applications for review. Because the nature and scope of the research proposed in response to this RFA may vary, it is anticipated that the size of an award will vary also, and that the average award will be in the range of $100,000 to $300,000. The total project period for applications submitted in response to the present RFA should not exceed four years. The earliest feasible start date for the initial awards will be September 30, 1993. FUNDS AVAILABLE Approximately $850,000 in total costs per year for four years will be committed to specifically fund applications which are submitted in response to this RFA. It is anticipated that four to eight awards will be made. This funding level is dependent on the receipt of a sufficient number of applications of high scientific merit. Although this program is provided for in the financial plans of the National Cancer Institute (NCI), the award of cooperative agreements pursuant to the RFA is also contingent upon the availability of funds at the time the awards are made. RESEARCH OBJECTIVES Background Diethylstilbestrol (DES) is a synthetic estrogen that was frequently prescribed for threatened abortion in several areas of the United States from 1945 to 1955. It is estimated that there may have been up to 4 to 6 million Americans (mothers, daughters, sons) exposed to DES. In 1971, an epidemiologic study reported that the risk of development of a rare form of malignant vaginal and cervical cancer, clear cell adenocarcinoma (CCA), was related to intrauterine exposure to DES. Subsequently, 21 cases of CCA in DES-exposed daughters were reported to a newly established registry for the monitoring of this specific disease. Much of the data concerning vaginal and cervical CCA in DES daughters comes from the registry developed by Dr. Arthur Herbst. As of March 1992, 587 patients with CCA of the cervix or vagina had been reported. Patients are classified into four separate categories according to their exposure status: (1) those having a documented history of DES exposure, (2) those with documented exposure to other hormones, (3) those having no history of hormonal exposure, or (4) those with unknown exposure. Exposure data are confirmed through 1989. In total, 352 (60 percent) of registrants have a documented history of DES exposure. The peak incidence occurs between ages 15 and 25, and ranges from age seven to 42. The lifetime risk of vaginal CCA appears low, between 1 in 1,000 and 1 in 10,000 of those exposed. A recent incidence study of CCA in Connecticut demonstrated that (1) previously estimated incidence rates for CCA were low, and as many as half of incident cases were not correctly reported to the local cancer registry, and (2) incidence rates for CCA have not declined but have been stable since 1975, emphasizing the need for continued clinical and epidemiologic studies of the etiology and clinical course of CCA. An estimated 20 new cases and 10 to 15 recurrent cases of CCA are diagnosed annually in the United States. These estimates, probably conservative, are based on data from the Herbst registry and from a recent survey of Gynecologic Oncology Group members. In the Herbst registry, approximately 90 percent of newly diagnosed patients are classified as having stage I or stage II disease. Survival for patients with stage I disease is high if conventional therapy is employed; 10-year survival rates approach 90 percent. The assessment of women with early-stage disease has proven particularly problematic, as primary surgery and radiation therapy result in a high proportion of survivors, but also in significant long-term morbidity, loss of reproductive and sexual function, and altered body image. Sequelae of CCA are clearly profound and long lasting. Overall, CCA has recurred in 19 percent of cases referred to the Herbst registry. While the recurrences of CCA are rare after five years, they have appeared 10 years and longer after initial diagnosis. These findings emphasize the need for long-term follow-up of CCA patients. Recent evidence has renewed interest in the continued follow-up of CCA patients, who are just entering the at-risk age range for most of the hormonally-related tumors (e.g., breast). A recent case-control study of DES-associated CCA found that both height and body mass had significant dose-response relationships with this disease. Estrogen levels are known to be associated with increased body mass and height; thus, endogenous hormonal factors may be acting as promoters for CCA. The relationship of exogenous hormones and related agents (e.g., oral contraceptives, agents used to induce ovulation, tamoxifen, replacement estrogens) with CCA remains to be explored. Results of in vitro and animal studies suggest that exposure to DES during in utero and neonatal development may turn on persistent overexpression of protooncogenes associated with mitosis (such as c-fos or c-jun), resulting in altered tissue responsiveness to hormones, either during puberty or later in life. This, in turn, may result in unregulated cell growth that can have teratogenic or carcinogenic effects. In addition to oncogenes, growth factor genes, such as transforming growth factor-alpha and epidermal growth factor, and a group of genes recently termed natural reporter genes for estrogen action, including the gene for lactoferrin, have been shown to be overexpressed following developmental exposure to DES. Two Department of Health and Human Services (DHHS) task forces devoted to the DES issue (1978 and 1985) have strongly recommended the continued follow-up of established cohorts. Congress expressed its concern in the FY 1992 appropriations bill with the following language: "The Committee is concerned that despite scientific cause to investigate, DES research has declined. The Committee intends for longitudinal studies of the DES-exposed to be a priority of the NIH." The FY 1993 Senate Appropriations Subcommittee Report states, "NCI is expected to work closely with organizations representing DES victims in developing and implementing the national education programs and longitudinal studies mandated by [this] legislation." An NIH workshop on the long-term health effects of DES was held in Falls Church, Virginia, on April 22-24, 1992, in which NCI participated as a co-sponsor. The FY 1993 Senate Appropriations Subcommittee Report states, "The Committee requests NCI ... to implement the recommendations stemming from the DES conference in April..." This RFA responds to recommendations made by workshop participants regarding research on unresolved issues about DES-associated malignancies. Research Goals and Scope The primary objectives of these Cooperative Agreements are: (1) to continue follow-up of documented CCA patients and continue accrual of incident cases to further define the age-incidence curve, the survival rate, the recurrence rate, the incidence of second primary cancer(s), and the incidence of other health outcomes; and (2) in women with CCA, to ascertain data on exposure to DES, other hormones, and other relevant factors, and to assess the determinants of survival, recurrence, and other health outcomes. Investigators and organizations that have participated in documentation of cases of CCA with data on treatment and systematic follow-up for health outcomes, and other interested investigators, are encouraged to respond to this RFA and to participate in cooperative studies of CCA. These studies may include assessment of the completeness of case identification, confirmation of diagnosis, validation of data on DES and other hormonal exposures, evaluation of health status, and gathering of information useful for future follow-up. Interdisciplinary collaborations are encouraged to provide additional expertise in, for example, molecular biology or behavioral sciences. It is anticipated that through cooperation in the follow-up of study participants, collaborations can be established and resources made available for other research initiatives to evaluate a range of questions regarding CCA. Applicants are encouraged to consider feasible approaches to the following additional research objectives that stem from the recommendations made by participants in the NIH workshop on DES. Utilization of existing CCA registry data can be maximized through: (1) Development and maintenance of a mechanism to permit access to specimens, serum, and leukocytes from vaginal and cervical CCA patients. (2) Conduct of molecular studies on archival specimens from CCA patients where serial biopsies are available. (3) Development of a transplant-derived cell line of CCA to permit in vitro testing of steroid receptors and drug sensitivity. (4) Conduct of genetic studies of family members (parents, siblings, children) of patients with DES-associated malignancy, in order to define molecular markers of carcinogenesis. (5) Establishment of consensus as to reasonable guidelines for the primary treatment of CCA patients aimed at more conservative surgical approaches and morbidity reduction. (6) Studies of the emotional effects of DES exposure in survivors of DES-associated vaginal CCA, including coping mechanisms, body image, sexuality, and transgenerational relationships. SPECIAL REQUIREMENTS The Terms and Conditions of Award, below, will be included in all awards issued as a result of this RFA. It is critical that each applicant include specific plans for responding to these terms. Plans should describe how the applicant will comply with the program staff involvement as well as how all the responsibilities of awardees will be fulfilled. This initiative is designed to enhance cooperation between investigators and the NCI. The role of the NCI will be that of the provider of technical assistance; however, in order to assess applicant ability to conduct research projects under the conditions of this cooperative agreement, applicants must demonstrate their understanding of the research process and their responsibilities as a partner in the cooperative agreement. Investigators will be responsible for selecting appropriate patient/control populations and recruiting participants for this study. Each applicant should propose the study design most appropriate for this project. This might include a description of the characteristics of the population to be selected. Evidence should be presented indicating the likelihood of recruiting study participants. This should include data on the likelihood of subject availability for interview. Evidence should be presented indicating the feasibility of achieving significant participation rates in this group. Applicants should discuss any factors which they believe should exclude a participant from the study. Applicants should discuss: (a) what data should be collected, (b) how, when, where and by whom the data are to be collected, (c) the numbers of study subjects to be enrolled, (d) data management procedures, (e) the procedures for assuring timeliness, completeness and accuracy of the data, and (f) plans for data analyses. Under the Cooperative Agreement, a partnership will exist between the recipient of the award and the NCI. The role of the NCI will be to provide technical assistance to the awardees. The following Terms and Conditions pertaining to the scope and nature of the interaction between the NCI and the investigators will be incorporated in the Notice of Award. The Terms and Conditions described in this section are in addition to, and not in lieu of, otherwise applicable OMB administrative guidelines; HHS grant administration regulations at 45 CFR 74 and 92, and 42 CFR 52; other, HHS, PHS, and NIH grant administration policy statements and other NCI administrative terms of award. Terms and Conditions of Award Nature of Participation of NCI Staff The NCI Program Coordinator will be the Chief, Extramural Programs Branch, EBP, DCE, NCI, or Assignee. The NCI Program Coordinator or Assignee will: o Participate in the Steering Committee that oversees study conduct; o Assist in the development of the protocol, which specifies the methods of research to be followed; o Serve as liaison, helping to coordinate activities among the awardees; o Assist in the preparation of questionnaires, medical record abstracts, and other data recording forms; o Assist in the monitoring of field data collection, helping to ensure standardization in methods across study centers; o Assist in the analysis of the pooled data; o Assist in the interpretation and reporting of the collected information; o Monitor study progress. This may include periodic site visits for discussions with awardee research teams, observation of field data collection and management techniques, fiscal review, and other matters. Decisions for continued funding will be based on overall study progress, as well as sufficient patient and/or data accrual, cooperation in carrying out the research (e.g., attendance at Steering Committee meetings, implementation of group decisions, compliance with reporting requirements), and maintenance of a high quality of research, which will allow pooling of data and comparisons across Cooperative Agreements for common data elements. The inability of a cooperative agreement recipient to meet the performance requirements, or significant changes in the level of performance, may result in an adjustment of funding, withholding of support, suspension or termination of the award; o Assist by providing advice in the management and technical performance of the investigation; o In conjunction with grants management, provide advice on administrative issues, including funding. The project will be viewed as a partnership between the NCI and the several participating institutions, with the goal of gaining understanding of this cancer problem. Nature of Participation of Cooperative Agreement Recipients The recipients of Cooperative Agreement awards will cooperate with each other and the NCI in the conduct of this research. Each awardee will: o Designate the Principal Investigator or assignee to participate in the Steering Committee to oversee conduct of this study. This committee will meet periodically during the course of the study. The first meeting will be called by the NCI Program Coordinator shortly after award of the agreements. Subsequent meetings will be planned and scheduled at this meeting; o Cooperate in the development of a common study protocol and study documents. The study documents may include questionnaires, medical record abstract forms and field procedures manuals. Each awardee will need to implement and comply with the study protocol, but additional elements could be appended by individual institutions to address issues of unique interest or capabilities in each center; o Establish and maintain quality control in all data and materials collection and management procedures. Strategies for the analyses of the pooled data will be developed jointly by the awardees and NCI; o Submit progress reports every year to the NCI Program Coordinator, and periodic supplementary reports if requested; o Cooperate in the reporting of the study findings. Collaborative publications among awardees and the NCI are anticipated, with plans for joint publication of pooled data to be developed by the Steering Committee prior to the end of year 2 of the award. Terms of Cooperation A Steering Committee will be the main oversight body of the study and will be composed of the Principal Investigators or assignees from the awardee institutions and the NCI Program Coordinator or assignee. The Committee likely will meet approximately twice yearly. Accordingly, respondents must request sufficient funds within the submitted budgets to accommodate expenses for one to two participants at these meetings. Major scientific decisions regarding the core data will be determined by the Steering Committee. All investigators selected will need to be able and willing to implement the core data collection method and strategy collaboratively decided upon by the Steering Committee. Additionally, the investigators must be able to implement the strategy specifically designed for their study population. An organizational meeting of the Steering Committee will be convened early after award by the NCI Program Coordinator. A Chairperson, other than the NCI representative, will be selected by a vote of the members. Research results will be disseminated by means of peer-reviewed publications that will be planned and prepared by award recipients, with assistance as needed from NCI program staff. In the event of a major scientific/programmatic disagreement between the NCI and the awardees that cannot be resolved by appropriate negotiations, an ad hoc arbitration panel will be assembled to consist of one awardee nominee, one NCI nominee, and a third member with appropriate expertise chosen by the other two. This NCI arbitration process in no way affects the awardees' right to appeal an adverse determination under the terms of 42 CFR Part 50, Subpart D, and 45 CFR Part 16. The NCI will have rights of access to the data under this cooperative agreement. The awardees will retain custody and primary rights to the data consistent with current HHS, PHS and NIH policies. STUDY POPULATIONS SPECIAL INSTRUCTIONS TO APPLICANTS REGARDING IMPLEMENTATION OF NIH POLICIES CONCERNING INCLUSION OF WOMEN AND MINORITIES IN CLINICAL RESEARCH STUDY POPULATIONS NIH policy is that applicants for NIH clinical research grants and cooperative agreements will be required to include minorities and women in study populations so that research findings can be of benefit to all persons at risk of the disease, disorder or condition under study; special emphasis should be placed on the need for inclusion of minorities and women in studies of diseases, disorders and conditions which disproportionately affect them. This policy is intended to apply to males and females of all ages. If women or minorities are excluded or inadequately represented in clinical research, particularly in proposed population-based studies, a clear compelling rationale must be provided. NIH policy does not allow funding such applications unless the justification is compelling. The composition of the proposed study population must be described in terms of gender and racial/ethnic group, together with a rationale for its choice. In addition, gender and racial/ethnic issues should be addressed in developing a research design and sample size appropriate for the scientific objectives of the study. This information should be included in the form PHS 398 (rev. 9/91) in Sections 1-4 of the Research Plan AND summarized in Section 5, Human Subjects. Applicants are urged to assess carefully the feasibility of including the broadest possible representation of minority groups. However, NIH recognize that it may not be feasible or appropriate in all research projects to include representation of the full array of United States racial/ethnic minority populations (i.e., Native Americans (including American Indians and Alaskan Natives), Asian/Pacific Islanders, Blacks, Hispanics). The rationale for studies on single minority population groups should be provided. For the purpose of this policy, clinical research includes human biomedical and behavioral studies of etiology, epidemiology, prevention (and preventive strategies), diagnosis, or treatment of diseases, disorders or conditions, including but not limited to clinical trials. The usual NIH policies concerning research on human subjects also apply. Basic research or clinical studies in which human tissues cannot be identified or linked to individuals are excluded. However, every effort should be made to include human tissues from women and racial/ethnic minorities when it is important to apply the results of the study broadly, and this should be addressed by applicants. For foreign awards, the policy on inclusion of women applies fully; since the definition of minority differs in other countries, the applicant must discuss the relevance of research involving foreign population groups to the United States' populations, including minorities. If the required information is not contained within the application, the application will be returned. Peer reviewers will address specifically whether the research plan in the application conforms to these policies. If the representation of women or minorities in a study design is inadequate to answer the scientific question(s) addressed AND the justification for the selected study population is inadequate, it will be considered a scientific weakness or deficiency in the study design and will be reflected in assigning the priority score to the application. However, if an applicant proposes that there is justification for conducting a study where there will be limited minority participation or inclusion of only one racial/ethnic group, a strong scientific rationale or other well-supported justification must be provided. The IRG/TEG will be instructed to evaluate the merit of such justifications. Appropriate justification will not adversely affect the assigned score. The ADAMHA/NIH will not fund/award such applications unless the justification is compelling. All applications for clinical research submitted to NIH are required to address these policies. NIH funding components will not award grants or cooperative agreements that do not comply with these policies. LETTER OF INTENT Prospective applicants are requested to submit, by March 31, 1993, a letter of intent that includes a descriptive title of the proposed research, the name and address of the Principal Investigator, the names of other key personnel, the participating institutions, and the number and title of the RFA in response to which the application may be submitted. Although a letter of intent is not required, is not binding, and does not enter into the review of subsequent applications, the information that it contains is helpful in planning for the review of applications. It allows NCI staff to estimate the potential review workload and avoid conflict of interest in the review. The letter of intent is to be sent to: Dr. Kumiko Iwamoto Division of Cancer Etiology National Cancer Institute Executive Plaza North, Suite 535 Bethesda, MD 20892 Telephone: (301) 496-9600 FAX: (301) 496-9146 APPLICATION PROCEDURES Applicants are encouraged to submit and describe their own ideas on how to best meet the goals of this announcement. Advantages and disadvantages of the proposed approaches should be discussed, and the plans for establishing collaborations should be described. Applications are to be submitted on form PHS 398 (rev. 9/91), available at most institutional offices of sponsored research and from the Office of Grants Inquiries, Division of Research Grants, National Institutes of Health, Westwood Building, Room 449, Bethesda, MD 20892, telephone 301/496-7441. The format and instructions applicable to research grant applications must be followed. The RFA label available in the application form PHS 398 must be affixed to the bottom of the face page. Failure to use this label could result in delayed processing of the application such that it may not reach the review committee in time for review. In addition, the number and title of the RFA must be typed on line 2a of the face page of the application and YES must be checked. Submit a signed, typewritten original of the application, including the Checklist, and three signed, exact photocopies in one package to the Division of Research Grants at the address below. The photocopies must be clear and single sided. Division of Research Grants National Institutes of Health Westwood Building, Room 240 Bethesda, MD 20892** At the time of submission, send two additional copies of the application to: Ms. Toby Friedberg, Referral Officer Division of Extramural Activities National Cancer Institute Executive Plaza North, Room 650 6130 Executive Boulevard Rockville, MD 20892 Applications must be received by May 5, 1993. If an application is received after that date, it will be returned without review. If the application submitted in response to this RFA is substantially similar to a research grant application already submitted to the NIH for review, but has not yet been reviewed, the applicant will be asked to withdraw either the pending application or the new one. Simultaneous submission of identical applications will not be allowed, nor will essentially identical applications be reviewed by different review committees. Therefore, an application cannot be submitted in response to this RFA that is essentially identical to one that has already been reviewed. This does not preclude the submission of substantial revisions of applications already reviewed, but such applications must include an introduction addressing the previous critique. REVIEW CONSIDERATIONS Upon receipt, applications will be reviewed by the Division of Research Grants (DRG) for completeness. Incomplete applications will be returned to the applicant without further consideration. Evaluation for responsiveness to the program requirements and criteria stated in the RFA is an NCI program staff function. Applications which are judged non-responsive will be returned by the NCI, but may be submitted as investigator-initiated regular research grants at the next receipt date. Questions concerning the responsiveness of proposed research to the RFA should be directed to program staff. Those applications judged by the NCI to be responsive will be evaluated according to the review criteria stated below for scientific and technical merit by an appropriate peer review group convened by the Division of Extramural Activities, NCI. The second level of review by the National Cancer Advisory Board considers the special needs of the Institute and the priorities of the National Cancer Program. Applications should be responsive to the stated purpose and objectives of the RFA. Criteria for review of applications are as follows: o scientific, technical, or medical significance and originality of proposed research; o appropriateness and adequacy of the experimental approach and methodology proposed to carry out the research; o qualifications, research experience, and time availability of the Principal Investigator and staff, particularly, but not exclusively, in the area of the proposed research; o availability of and access to a suitable patient population; o availability of resources necessary to perform the research; o ability to carry out common protocol; o willingness to work cooperatively with other awardees and NCI assistance; o adequacy of enrolled numbers of study subjects; o adequacy of proposed data to be collected and procedures for data handling, managing, and preparing for analyses. The review group will also examine the proposed budget and will recommend an appropriate budget and period of support for each recommended application. AWARD CRITERIA The earliest anticipated date of award is September 30, 1993. Applications will compete for available funds with all other recommended applications. The following will be considered for making funding decisions: o quality of the proposed project as determined by peer review; o availability of funds; o program balance among research areas. INQUIRIES Written and telephone inquiries concerning the RFA and the opportunity to clarify any issues or questions from potential applicants are welcome. Direct inquiries regarding programmatic issues to: Kumiko Iwamoto, M.D. or G. Iris Obrams, M.D., Ph.D. Extramural Programs Branch National Cancer Institute Executive Plaza North, Suite 535 Rockville, MD 20892 Telephone: (301) 496-9600 Direct inquiries regarding fiscal matters to: Ms. Kelli Newball Grants Management Specialist National Cancer Institute 6120 Executive Boulevard Executive Plaza South, Suite 243 Rockville, MD 20892 Telephone: (301) 496-7800, ext. 61 AUTHORITY AND REGULATIONS This program is described in the Catalog of Federal Domestic Assistance No. 93.393, Cancer Cause and Prevention Research. Awards are made under authorization of the Public Health Service Act, Title IV, Part A (Public Law 78-410, as amended by Public Law 99-158, 42 USC 241 and 285) and administered under PHS grants policies and Federal Regulations 42 CFR Part 52 and 45 CFR Part 74. This program is not subject to the intergovernmental review requirements of Executive Order 12372 or Health Systems Agency review. .
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