Full Text CA-93-028 CLINICAL CORRELATIVE STUDIES IN BREAST TUMORS NIH GUIDE, Volume 22, Number 20, June 4, 1993 RFA: CA-93-028 P.T. 34 Keywords: Cancer/Carcinogenesis Clinical Medicine, General Clinical Trial Bioassay Growth Factors National Cancer Institute Letter of Intent Receipt Date: July 23, 1993 Application Receipt Date: September 22, 1993 PURPOSE The Cancer Therapy Evaluation Program (CTEP) of the Division of Cancer Treatment (DCT) and the Cancer Diagnosis Branch (CDB) of the Division of Cancer Biology, Diagnosis and Centers (DCDBC) at the National Cancer Institute (NCI) invite applications for cooperative agreements (U01) from institutions or consortia, such as DCT Clinical Trials Cooperative Groups and the NCI Cancer Centers, capable of and interested in performing clinical correlative studies with new prognostic factors ready for large scale evaluation. These factors must be relevant to the cancer treatment or clinical outcome of patients with breast cancer. It is essential for institutions to have access to sufficient numbers of patients on phase III clinical protocols to be able to test correlative hypotheses. Awards will be made as cooperative agreements, which create an assistance relationship with substantial NCI programmatic involvement with the recipients during the performance of the project, as outlined in this RFA. The cooperative agreement mechanism is used when the NCI wishes to stimulate investigator interest and proposes to advise or assist in an important and opportune area of research. Although this project is provided for in the financial plans of the NCI, the award of cooperative agreements pursuant to this RFA is contingent on the availability of funds appropriated in fiscal year 1994. 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, Clinical Correlative Studies in Breast Tumors, 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 "Healthy People 2000" (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 non-profit and for-profit organizations, public and private, such as universities, colleges, hospitals, laboratories, units of State and local governments, and eligible agencies of the Federal government. Applications may be submitted from a single institution or may include arrangements with one or more additional institutions, if appropriate. Applications from minority individuals and women are encouraged. It is essential for teams to have access to sufficient numbers of patients on phase III clinical protocols to be able to test correlative hypotheses. The study team must have access to a Central Operations Office and a Statistical Center for coordination of research activities and data analysis as defined below (see SPECIAL REQUIREMENTS, Definitions). The Central Operations Office and the Statistical Office need not reside at the Principal Investigator's institution. 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 recipient during performance of the planned activity is anticipated. The nature of NCI staff involvement is described in the section entitled SPECIAL REQUIREMENTS, Teams and Conditions of Award, Nature of Participation by NCI Staff. Applicants will be responsible for the planning, direction, and execution of the proposed project. The total project period for applications submitted in response to the present RFA may not exceed four years. Except as otherwise stated in this RFA, awards will be administered under PHS grants policy as stated PHS Grants Policy Statement, DHHS Publication No. (OASH) 90-50-000, revised October 1, 1990. It is anticipated that the average amount of the total direct costs per year for each award will range from $140,000 to $180,000. This RFA is a one-time solicitation. However, if it is determined 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 according to the procedures described in Review Considerations. FUNDS AVAILABLE Approximately $1,000,000 in total costs per year for four years will be committed to specifically fund applications submitted in response to this RFA. It is anticipated that four to five 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 NCI, the award of grants pursuant to this RFA is also contingent upon the continuing availability of funds for this purpose. RESEARCH OBJECTIVES A. Background Insights into the biologic function and clinical relevance of growth factors, genes that promote and suppress neoplasia, mechanisms of treatment sensitivity and resistance, and functions of the immune system provide important new clinical research opportunities for investigators studying patients with solid tumors. While advances have been made relating biological studies to clinical behavior of hematologic malignancies, fewer clinical correlations have been explored for solid tumors. Historically, prognostic factors have played a major role in assisting clinicians in the selection of appropriate therapeutic interventions. In the case of breast cancer, estrogen receptor and progesterone receptor status are now commonly used as prognostic and treatment indicators. Currently, several well defined laboratory tests are ready for inclusion in clinical correlative studies to determine their clinical relevance and value. For example, HER-2/neu, cathepsin D and stress response proteins are currently being evaluated in adjuvant breast cancer studies. New technological advances in methodologies such as Polymerase Chain Reaction (PCR), flow cytometry, immunohistochemistry, and in situ hybridization allow laboratory investigators to do numerous analyses on tumor specimens and study tumor heterogeneity in a variety of tumor types. Many opportunities exist for conducting correlative laboratory studies that can be expected to be immediately relevant to cancer treatment. The NCI supports an extensive network of clinical and laboratory research studies related to cancer therapy through contracts, grants and cooperative agreements. CTEP supports a program of integrated national networks of clinical investigators and institutions (Clinical Trials Cooperative Groups) for the conduct of large scale, multi-institutional clinical trials. The primary goal of these trials is the definitive evaluation of clinical treatment programs. Presently, the Clinical Trials Cooperative Groups (CTCG) conduct approximately 500 clinical trials evaluating more than 23,000 patients per year. The CTCG have access to tumor specimens from large numbers of patients with solid tumors. They maintain statistical databases and are capable of correlating laboratory data with the clinical outcome of patients. The NCI also supports Cancer Centers that conduct phase III clinical trials and which have access to statistical operations, headquarters, and consortia arrangements with other institutions and hospitals. This RFA is designed to promote collaborations and interactions between basic researchers and clinical investigators to advance research on clinical correlations that can improve therapeutic approaches. NCI is seeking to encourage correlative laboratory studies linked to large scale clinical trials so that markers that correlate with prognosis and response to treatment can be studied simultaneously. In many instances the laboratory investigators are already recipients of R01 or P01 support for their basic research and have developed preliminary data supporting a large scale analysis of a new prognostic factor. Likewise, many clinical investigators are supported through Cancer Centers (P30) and the Clinical Trials Cooperative Group mechanism (U10) for clinical research and have access to patient specimens with clinical follow-up. The Cancer Diagnosis Branch, DCBDC, is establishing a Cooperative Breast Cancer Tissue Registry that will enable participating organizations to inventory their tissue collections and to establish a database for existing associated clinical and outcome data. This registry does not include funds for conducting correlative studies but it can serve as a resource for additional tissues. This initiative proposes to link these activities and provides a mechanism to obtain definitive data on the relationship of biological features and the clinical behavior of the tumors. B. Research Goals and Scope The objectives of this RFA are to foster collaborations and interactions between basic researchers and clinical investigators to advance therapeutic clinical research and conduct correlative studies on new prognostic factors that are ready for large scale evaluation. The CTEP and the CDB invite cooperative agreement applications (U01) from institutions or consortia, such as the DCT Clinical Trials Cooperative Groups and the NCI Cancer Centers, capable of and interested in performing clinical correlative studies relevant to cancer treatment or clinical outcome in breast cancer patients. Applicants may propose to undertake several correlative studies during the grant funding period (up to four years). An individual scientist or a consortia of institutions may be included on more than one application. The correlative studies should be based on strong and testable hypotheses. A clear rationale should be given for the experimental design and technical methodologies selected. The hypotheses tested must relate to potential clinical applications such as development of new treatment strategies or identification of patient subsets for specific treatment approaches. Preliminary data from appropriate tumor models or analysis of patient specimens should be provided to support the feasibility of each study. This RFA is for developing assays that have already been demonstrated to be applicable to tissue samples and/or body fluids. The laboratory assays must utilize tumor specimens from patients receiving defined treatments in large clinical trials such as phase III clinical protocols. Proposals must include a statistical section describing plans for analysis of data designed to test the hypotheses. Applications will be considered responsive only if investigators have access to sufficient numbers of patient specimens. All investigators are encouraged to work with multi-center organizations or form a consortium of institutions in order to access sufficient numbers of patients and clinical information to test the proposed hypotheses. To coordinate the above activities, each Team must have a Central Operations Office and Statistical Center as defined below (see SPECIAL REQUIREMENTS, Definitions). Examples of therapeutic laboratory correlates of interest include but are not limited to: (1) phenotypic or genotypic alterations which appear to correlate with the development of drug-, radiation-, or hormone-resistance; (2) loss or inactivation of tumor suppressor genes related to prognosis; (3) analysis of basal membrane factors related to tumor invasion and metastases; (4) studies of chromosomal rearrangements or deletions that may be used as prognostic indicators; (5) correlation of tumor growth factors or oncogenies with response to therapies; (6) characterization of tumor associated antigens that may lead to new immunotherapies; and (7) evaluation of use of serum or tumor markers that correlate with tumor progression. The cooperative approach outlined in this RFA allows for interactions among successful applicants and is designed to optimize use of patient resources, tissues, reagents and methods. Applicants must describe how they might interact with NCI and other awardees in the sharing of data and improvements in laboratory techniques and study design methodologies. SPECIAL REQUIREMENTS A. Definitions o Cooperative Agreement - An assistance mechanism in which substantial NCI programmatic involvement with the recipient is anticipated during performance of the planned activity. o Study Team - A Study Team may be a single institution or a consortium of institutions. A Study Team functions as an integrated unit with a common goal and is under the guidance and direction of a single Principal Investigator. Each Study Team is composed of investigators with expertise in clinical investigations and laboratory analyses. Each Study Team must have access within its institution or consortia to an Operations Office and Statistical Center. In this RFA, the terms Study Team and Team are used synonymously. o Principal Investigator (PI) - The person who submits the single application in response to this RFA and who is responsible for performance of the key personnel and the Study Team as a whole. A consortium of institutions must agree to work together with a single Principal Investigator under a single cooperative agreement. The Principal Investigator is responsible for coordinating the Study Team's activities scientifically and administratively. o Central Operations Office - An administrative unit that coordinates all Team activities. Responsibilities include coordinating protocol development, study conduct, and quality control and study monitoring. Each Study Team must have a Central Operations Office but it need not be at the PI's institution. o Statistical Center - The Study Team must have a Statistical Center for collection and analysis of patient and laboratory data. Responsibilities will include participation in the planning and coordination of study design methodologies, data management and analysis, data monitoring, and reporting of data. Each Study Team must have a Statistical Center but it need not be at the PI's institution. o NCI Program Directors - The Program Director, CTEP, Division of Cancer Treatment and the Chief, CDB, Division of Cancer Biology Diagnosis and Centers who will be coordinating their Division's interactions and providing guidance for the overall program within the NCI. o NCI Coordinator - The Breast Cancer Clinical Research Scientist, Medicine Section, Clinical Investigations Branch, CTEP, DCT who interacts scientifically with the Institutions. B. Terms and Conditions of Award Under the cooperative agreement, a partnership will exist between the recipient of the award and the NCI, with assistance from the NCI in carrying out the planned activity. 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. These terms will be in addition to the customary programmatic and financial negotiations which occur in the administration of grants. The "Nature of Participation by NCI Staff" and "Responsibilities of Awardees" described in this section are in addition to, and not in lieu of, otherwise applicable OMB administrative guidelines; DHHS grant administration regulations 45 CFR 74; DHHS grant administration regulations 45 CFR 92; other DHHS, PHS, and NIH grant administration policy statements; and other NCI administrative terms of award. The cooperative agreements will require cooperation between an NCI Coordinator and the Principal Investigators of the Teams. The NCI Coordinator will assist in coordinating the activities of the Teams as defined below and in facilitating exchange of information. 1. Nature of Participation by NCI Staff The role of the Program Director CTEP and the Chief CDB staff as described throughout these terms of cooperation is to assist and facilitate but not to direct research activities. The NCI Coordinator will interact scientifically with all the Institutions. Two levels of coordination are anticipated. The first level involves interactions between the NCI Coordinator and the individual Team. During the period of the award, the awardees institutions(s) will have primary authority to determine research priorities and statistical needs. The NCI Coordinator may provide appropriate assistance by participating in the design of research activities, review of protocols, coordination of the tissue utilization, establishment of priorities, and review of progress. The NCI Coordinator can assist in this process by providing information on other ongoing studies and on NCI priorities. Protocols will be provided to the CTEP Protocol Review Committee and the Diagnosis Decision and Implementation Committee for review to facilitate coordination of research activities throughout NCI. Although the Team(s) are responsible for statistical analysis of data, computer processing and statistical evaluations may be provided from NCI resources if requested by the awardee. The second level of coordination involves interactions between the NCI Coordinator and the various Teams funded for research on breast cancer. The NCI Coordinator will coordinate activities among the Teams such as the sharing of patient specimens, new reagents, improved laboratory techniques, data, and study design methodologies. Although investigators will have to demonstrate that they have access to the necessary numbers of patients and/or specimens to answer specific questions, other important correlations identified during the course of the funded research may require patient resources from more than one Team. Priorities would need to be set for the most effective use of available specimens since tumor specimens are often small in size. The NCI Coordinator can assist in this process by providing information on other ongoing studies and on NCI priorities. 2. Responsibilities of Awardees The Study Team is responsible for the proposing research projects to advance the goals of the RFA and to define its approaches to attain these goals. It is the primary responsibility of the PI to state clearly the objectives of the Team, to direct the research stipulated in the application, and to ensure that the results obtained are published in a timely manner. It is anticipated that decisions in all activities will be reached by consensus of the collaborators of a Team under the leadership of the PI and that the NCI Coordinator will have the opportunity to offer input to this process. Awardees are required to have access to appropriate tumor tissue and clinical follow-up on patients receiving defined treatments in phase III clinical trials. Awardees must have the appropriate clinical and laboratory expertise to accomplish their objectives within the Study Team. The NCI Coordinator and all Awardees funded for breast cancer research in this RFA will meet initially to discuss research activities and establish priorities among the Awardees. Subsequent periodic meetings will be scheduled to review progress and coordinate new research activities. Sharing of data and reagents will be expected among Awardees. In addition, new studies that may require the sharing of patient specimens and the prioritization of research studies among the Awardees is envisioned. Therefore, each Awardee should anticipate the need to attend two meetings per year with the NCI Coordinator and other Awardees to coordinate activities. The Government, via the NCI Coordinator, will have access to data generated under this cooperative agreement and may periodically review the data. However, the awardee will retain custody of primary rights to their data developed under these awards, and timely publication of major findings by the Team members is encouraged. Publication or oral presentation of work done under this agreement will require appropriate acknowledgement of NCI support. 3. Arbitration Committee An arbitration panel of external consultants will be created as needed to resolve any irreconcilable differences of opinion between the NCI coordinator and the Team(s) related to scientific/programmatic matters or implementation of a proposed operating policy. The panel will include one member selected by the Team(s), one member selected by the NCI, and a third member chosen by the other two members of the arbitration panel. The NCI arbitration process for the cooperative agreement in no way affects the rights of awardees to appeal selected post award administrative decisions in accordance with PHS regulations at 42 CFR part 50, subpart D and HHS regulations at 45 CFR part 16. 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 should be provided. The composition of the proposed study population must be described in terms of gender and racial/ethnic group. 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 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 recognizes 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 or 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. 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 asked to submit, by July 23, 1993, a letter of intent that includes a descriptive title of the proposed research, the name, address, and telephone number of the Principal Investigator, the identities of other key personnel and 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 is helpful in planning for the review of applications. It allows NCI staff to estimate the potential review workload and to avoid conflict of interest in the review. The letter of intent is to be sent to Ms. Diane Bronzert at the address listed under INQUIRES. APPLICATION PROCEDURES The research grant application form PHS 398 (rev. 9/91) is to be used in applying for cooperative agreements. These forms are available at most institutional offices of sponsored research; from the Office of Grants Inquiries, Division of Research Grants, National Institutes of Health, Westwood Building, Room 449, Bethesda, MD 20892, telephone (301) 710-0267; and from the NCI program staff listed under INQUIRIES. The RFA label available in the PHS 398 (rev. 9/91) application form 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 RFA number and title must be typed on line 2a of the face page of the application form and the YES box must be marked. Submit a signed, typewritten original of the application, including the Checklist, and three signed, exact photocopies, in one package: Division of Research Grants National Institutes of Health Westwood Building, Room 240 Bethesda, MD 20892** At the time of submission, two additional copies of the application must also be sent to: Ms. Toby Friedberg, Referral Officer Division of Extramural Activities National Cancer Institute Executive Plaza North, Room 650 6130 Executive Boulevard Bethesda, MD 20892 Applications must be received by September 22, 1993. If an application is received after that date, it will be returned. The Division of Research Grants (DRG) will not accept any application in response to this announcement that is essentially the same as one currently pending initial review, unless the applicant withdraws the pending application. The DRG will not accept any application that is essentially the same as one already 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. Special Instructions for Preparation of Cooperative Agreement Applications The grant application form PHS 398 (rev. 9/91) must be used for the cooperative agreement application. The general instructions, e.g., for format and budget issues, included in the application packet must be followed. Because the Terms and Conditions of Award discussed in the SPECIAL REQUIREMENTS section 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 must describe how the applicant will comply with staff involvement. Teams should anticipate the need to attend two meetings per year to share data and to coordinate activities. Travel funds for two representatives from a Team (one basic researcher and one clinician, one of whom must be the PI) should be included in the budget. This budget item will be negotiable. REVIEW CONSIDERATIONS A. Review Procedures Upon receipt, applications will be reviewed by the DRG for completeness. Incomplete applications will be returned to the applicant without further consideration. Applications that are judged non-responsive will be returned by the NCI. An application judged to be non-responsive to this RFA may be submitted as an investigator- initiated regular research grant (R01) or program project grant (P01) at the next receipt date. The application would require modification in accordance with either the R01 or P01 guidelines. The new application would not be considered an application for a Cooperative Agreement, nor would it be considered a response to an RFA. Questions concerning the relevance of proposed research to the RFA may be directed to program staff listed under INQUIRIES. Applications may receive a preliminary scientific peer review (triage) by an NCI scientific peer review group on the basis of relative competitiveness. The NCI will withdraw from further competition those applications judged to be noncompetitive for award and notify the applicant and institutional business official. Those applications judged to be both competitive and responsive will be further evaluated, using 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 will be provided by the National Cancer Advisory Board. B. Review Criteria o Scientific merit and feasibility of the proposed research. o Appropriateness and adequacy of the experimental approach and methodology proposed to carry out the research. o Adequacy of plans for effective collaboration between laboratory, clinical, and statistical investigators. o Qualifications, demonstrated expertise in both the appropriate basic and clinical sciences, and proposed responsibilities of the Principal Investigator and key personnel. o Demonstration of availability of and access to appropriate patients receiving defined treatments on phase III clinical trials and/or to human tissue with the associated pathological data and clinical follow-up. o Scientific plans and timetable for implementing the proposed research program. o Adequacy of the available facilities and data management resources. Evidence of the competence of the Central Operations Office and statistical center with regard to the mechanisms for quality control, study monitoring, data management and reporting, and data analysis. o Plans for effective interaction and coordination among cooperating institutions within the Study Team, with other Teams working on the same solid tumor, and with the NCI. o Adequacy of provisions for the protection of human subjects. o Adequacy of the plans for inclusion of females and minorities. o Adequacy of the proposed budget and duration in relation to the proposed research. AWARD CRITERIA The anticipated date of award is July 1, 1994. In addition to the technical merit of the application, NCI will consider how well the applicant institution meets the goals and objectives of the program as described in the RFA, availability of resources, and study populations. INQUIRIES Written and telephone inquiries concerning the objectives and scope of this RFA and inquiries about whether or not specific proposed research would be responsive are strongly encouraged and may be directed to program staff listed below. The program staff welcome the opportunity to clarify any issues or questions from potential applicants. Direct inquiries regarding programmatic issues and address the letter of intent to: Ms. Diane Bronzert Division of Cancer Treatment National Cancer Institute Executive Plaza North, Room 734 Bethesda, MD 20892 Telephone: (301) 496-8866 FAX: (301) 480-4663 Dr. Sheila E. Taube Division of Cancer Biology, Diagnosis, and Treatment National Cancer Institute Executive Plaza North, Room 513 Bethesda, MD 20892 Telephone: (301) 496-1591 FAX: (301) 402-1037 Direct inquiries regarding fiscal matters to: Ms. Barbara A. Fisher Grants Administration Branch National Cancer Institute Executive Plaza South, Room 242 Bethesda, MD 20892 Telephone: (301) 496-7800, ext. 29 FAX: (301) 496-8601 AUTHORITY AND REGULATIONS This program is described in the Catalog of Federal Domestic Assistance No 93.395, Cancer Treatment Research. Awards are made under the authorization of the Public Health Service Act, Title IV Sections 301, 410, and 411, Part A (Public Law 78-410, 42 USC 241 as amended, Public Law 99-158, 42 USC 285a) and administered under PHS grants policies and Federal Regulations at 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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