Full Text CA-94-004 NEW THERAPEUTIC APPROACHES FOR BREAST CANCER NIH GUIDE, Volume 22, Number 38, October 22, 1993 RFA: CA-94-004 P.T. 34 Keywords: Cancer/Carcinogenesis Hormones Gene Therapy+ Immunotherapy Monoclonal Antibodies National Cancer Institute Letter of Intent Receipt Date: December 3, 1993 Application Receipt Date: February 17, 1994 PURPOSE The Cancer Therapy Evaluation Program (CTEP), Division of Cancer Treatment (DCT), National Cancer Institute (NCI) invites applications for cooperative agreements for the development of novel approaches to the treatment of breast cancer employing new agents, concepts, or treatment strategies and to conduct Phase I/II clinical trials. 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. 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, New Therapeutic Approaches for Breast Cancer, 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 or local governments, and eligible agencies of the Federal government. Applications can be from single or multiple institutions (collaborating institutions, consortia, cooperative groups). Foreign institutions may participate in Laboratory or Clinical Programs through sub-contract or consortium arrangements. Applications from minority individuals and women are encouraged. MECHANISM OF SUPPORT The administrative and funding instrument to be used for this program will be a cooperative agreement (U01), an "assistance" mechanism (rather than an acquisition" mechanism), in which substantial NCI scientific and/or programmatic involvement with the awardee is anticipated during performance of the activity. Under the cooperative agreement, the NCI purpose is to support and/or stimulate the recipient's activity by involvement in and otherwise working jointly with the award recipient in a partner role, but it is not to assume direction, prime responsibility, or a dominant role in the activity. Details of the responsibilities, relationships and governance of the study to be funded under cooperative agreement(s) are discussed later in this document under the section "Terms and Conditions of Award". The total project period for applications submitted in response to the present RFA may not exceed four years. The anticipated award date is September 1994. Awards and level of support depend on 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 contingent upon the continuing availability of funds for this purpose. 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. This RFA is a one-time solicitation. At this time, the NCI has not determined whether or how this solicitation will be continued beyond the present RFA. FUNDS AVAILABLE Approximately $2,000,000 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 five to seven individual awards will be made. RESEARCH OBJECTIVES A. Background The incidence of breast cancer has been increasing and now accounts for 32 percent of all carcinomas in women. It is estimated that there will be a total of 46,300 deaths from breast cancer and 183,000 breast cancers diagnosed in 1993. Treatment during the past decade has concentrated on attempts to optimize conventional chemotherapeutic agents by varying drug dosage, schedule and intensity. Although there have been treatment advances, five-year relative survival rates increased only three to four percentage points in the 1980s over that observed for patients diagnosed in the 1970s. With the dramatic increase in the diagnosis of in situ tumors in the 1980s and '90s, new opportunities exist for the early treatment of breast cancer. For patients with the most advanced stages of cancer, mortality rates have not improved and new therapeutic strategies to treat such tumors are needed. Therefore, this RFA focuses on novel approaches to breast cancer treatment. Recent advances in understanding the pathobiology of breast cancer have furthered the development of a wide range of novel anti-cancer therapeutic agents that will soon require clinical testing. These agents include new classes of cytotoxic agents derived from natural products, as well as genetically engineered agents to act via immune-stimulatory effects, or which are targeted specifically to novel cancer cell targets, including surface receptors, signal transduction molecules, transcriptional factors, and particular DNA and RNA sequences. Furthermore, mechanisms of action of these new anti-cancer agents available for clinical study include not only the mediation of anti-cancer effects through cytotoxic and immunologic mechanisms, but also through growth inhibition by interruption of specific oncogene-associated biochemical functions, inhibition of protein synthesis through targeted toxins, biochemical reversal of drug resistance, induction of differentiation and/or programmed cell death (apoptosis), and through inhibition of tumor angiogenesis. In addition, new strategies to overcome resistance to conventional cancer therapeutic approaches are also of interest. One problem identified by clinical investigators is the lack of a funding mechanism through which innovative investigator-initiated approaches may be fostered to evaluate new agents or therapeutic strategies in Phase I/II breast cancer clinical trials. Collaborative interactions between clinicians and laboratory scientists are essential features of these types of investigations. Support is needed for toxicology and efficacy studies in preclinical models, the preliminary clinical evaluations and the monitoring of patients. Thus, NCI proposes to create a mechanism for supporting translational research that is aimed at bridging the gap between basic research studies and phase III evaluation in the NCI Clinical Trials Cooperative Groups. Applications are expected to be multidisciplinary and may include preclinical evaluation in in vitro or in vivo models. Pilot clinical studies and relevant laboratory studies needed to better understand the mechanism of action of the therapeutic agents will be a necessary part of the research plan. It is expected that investigators should be positioned to conduct or initiate a Phase II evaluation in breast cancer by the end of the funding period. B. Objectives and Scope The goals of this initiative are to: (1) provide support for Phase I/II trials of promising new therapeutic strategies for the treatment of breast cancer; and (2) provide support for appropriate laboratory programs that are necessary for the clinical development of the therapeutic approach. CTEP proposes to stimulate clinical research relevant to breast cancer through the support of multidisciplinary teams of basic and clinical investigators interested in performing Phase I/II trials of innovative therapeutic strategies and in conducting laboratory studies relevant to the clinical development of the agents. Scientific approaches should reflect the creativity and capabilities of the investigators. Applicants will form Breast Cancer Treatment Groups (see Definitions) that consist of Clinical and Laboratory Programs representing diverse scientific disciplines under the leadership of a single Principal Investigator. Applications should be focused on integrating clinical goals with laboratory research areas. The application should have a central, common theme that should be the focus of the clinical studies and the Group's efforts overall. The Laboratory Programs must be relevant to the clinical development of the new therapeutic agents or therapeutic strategies proposed. Preclinical Laboratory Programs may include the identification and analysis of new analogs or agents relevant to the clinical studies proposed; in vivo or in vitro models for evaluation of therapeutic agents or strategies; or toxicology studies necessary for submission of an Investigational New Drug (IND) application. Laboratory Programs may also be designed to elucidate the mechanism of action of the proposed therapeutic strategies; to provide pharmacologic or immunologic monitoring of patients; or to perform correlative studies relevant to the clinical behavior of breast cancer tumors and/or their response to the therapeutic intervention. Investigators are not limited to the above areas of laboratory experimentation. Clinical Programs should be designed to evaluate new therapeutic agents or new therapeutic strategies for breast cancer. Pilot clinical trials may be included with the goal of initiating Phase II evaluation of the therapy within the funding period. Examples of new clinical trials include: (1) differentiating agents or apoptosis; (2) novel growth factor or hormone-based therapies utilizing new agents; (3) gene therapy and new therapies involving antisense or ribozymes; (4) immunomodulatory approaches to breast cancer treatment (such as vaccines); (5) targeted therapies including monoclonal antibody therapy, radioimmunobiology, and the use of new immunotoxins; (6) biologics in combination with drug or radiation regimens; (7) new therapies combining endocrine manipulations with chemotherapeutic agents; (8) treatment strategies for overcoming hormone-, drug- or radiation-resistance of breast cancer; and (9) treatment strategies based on novel mechanisms of action of defined therapeutic agents (e.g., interference with signal transduction, induction of immune response). Investigators are not limited to the above research areas. SPECIAL REQUIREMENTS A. Study Organization 1. Definitions BREAST CANCER TREATMENT GROUP - A group consisting of Clinical and Laboratory Programs representing diverse scientific disciplines that join together under guidance and direction of a single Principal Investigator and that function as a unit under the common goal of bringing new therapeutic strategies for the treatment of breast cancer to Phase II clinical evaluation. In this RFA the terms, Breast Cancer Treatment Group, BCTG, and "Group" are used synonymously. PRINCIPAL INVESTIGATOR - The one person responsible to the applicant institution for the scientific and technical direction of the project. The Principal Investigator may lead one of the Laboratory or Clinical Programs of the Group, and in addition, coordinate Group activities scientifically and administratively. CLINICAL PROGRAM - A research component of the overall group with the expertise and experience to conduct clinical trials in the proposed research area. A minimum of one Clinical Program must be proposed. LABORATORY PROGRAM - A research component of the overall group with the expertise and experience to conduct laboratory studies relevant to the therapeutic strategy proposed for clinical study. A minimum of one Laboratory Program be proposed. PROGRAM LEADER - The director of each of the Laboratory or Clinical Programs of the BCTG. APPLICANT INSTITUTION - The organization to which a grant is awarded and which is responsible and accountable to NCI for the use of the funds provided and for performance of the grant-supported project. NCI PROGRAM DIRECTOR - The extramural Program Director from the Cancer Therapy Evaluations Program (CTEP), Division of Cancer Treatment, National Cancer Institute who will be coordinating the NCI interactions and administering and providing guidance for the overall program within the NCI. NCI COORDINATOR - The Senior Investigator, Medicine Section, Clinical Investigations Branch, CTEP, DCT who interacts scientifically with the Institutions. IDB DRUG MONITOR - The Physician (Drug Monitor) from the Investigational Drug Branch (IDB), CTEP, DCT who is assigned to each agent to assist in the coordination of its development. 2. Breast Cancer Treatment Group Organization The composition of the BCTG is envisioned as follows: a. A Principal Investigator who is responsible for providing the scientific and administrative leadership for the Group. b. One or more Clinical Programs, each headed by a Program Leader, with demonstrated expertise in clinical research relevant to the proposal and in the conduct of clinical trials. c. One or more Laboratory Programs, each headed by a Program leader, each with demonstrated expertise in scientific disciplines necessary to design and conduct the experiments necessary to achieve the program's goals. The Principal Investigator, in addition to coordinating Group activities scientifically and administratively, may also be a Program Leader. All Program Leaders will be directly responsible to the Principal Investigator. The formation of the Group, the application in response to this RFA, the overall management of the Group, and the allocation of funds to the various Clinical and Laboratory Programs based on performance and overall group needs at any given time will be the responsibility of the Principal investigator and the applicant institution in accordance with PHS policies. The scientific makeup of the group's Clinical and Laboratory Programs, and the specific disciplines represented, should depend on the talents required to accomplish its scientific and technical objectives as perceived by the Principal Investigator and Program Leaders. The major consideration in structuring a BCTG should be bringing together the expertise necessary to evaluate and conduct Phase II clinical studies on new agents, concepts, or treatment strategies for breast cancer. A BCTG may include members from a single institution or a number of institutions, depending on the specific goals of the group. The multi-institutional approach may provide access to a wider range of expertise. Although a minimum of one Clinical and one Laboratory Program per group is necessary, no limit on the number of Programs per BCTG is stipulated. In preparing applications, however, prospective Principal Investigators should be aware that effective, efficient cooperation can be difficult in groups with more than a few Clinical and Laboratory Programs. B. Terms and Conditions of Award These special Terms of Award are in addition to, and not in lieu of, otherwise applicable OMB administrative guideline, HHS grant administration regulations at 45 CFR part 74 and 92, and other HHS, PHS and NIH grant administration policy statements. The administrative and funding instrument used for this program is a cooperative agreement (U01), an "assistance" mechanism (rather than an "acquisition" mechanism) in which substantial NIH scientific and/or programmatic involvement with the awardee is anticipated during performance of the activity. Under the cooperative agreement, the NIH purpose is to support and/or stimulate the recipients's activity by involvement in and otherwise working jointly with the award recipient in a partner role, but it is not to assume direction, prime responsibility, or a dominant role in the activity. Consistent with this concept, the dominant role and prime responsibility for the activity reside with the awardee(s) for the project as a whole, although specific tasks and activities in carrying out the studies will be shared among the awardees and the NCI Coordinator. 1. Awardee Rights and Responsibilities It is the responsibility of the BCTG to develop the details of the clinical and laboratory research design, including definition of objectives and approaches, planning, implementation, analysis, and publication of results, interpretations and conclusions of studies. The BCTG shall, with CTEP assistance, develop Phase I and II protocols for clinical cancer research in accord with the research interests of the BCTG, abilities and goals, and submit them to CTEP (either to the Letter of Intent (LOI) Coordinator or to the CTEP Protocol and Information Office, the receiving office for all protocols sent to CTEP) for review as appropriate prior to their implementation. a. Membership in the Group Group membership includes the Principal Investigator and the Program Leaders. In no case will changes of Principal Investigator or Program Leaders be made without prior approval from the NCI. Such approval may be sought either in the application for continuation grant (PHS 2590 (rev. 9/91)) or during the course of the budget period. In the latter case, the procedure for requesting prior approval is described in the "Methods for Grantees to Request Approvals," PHS Grants Policy Statement, page 8-5. b. Protocol Development It is anticipated that decisions in all BCTG activities will be reached by consensus of the collaborating member institutions under the leadership of the BCTG Principal Investigator. The Principal Investigator will designate a Protocol Chairperson for each proposed study. The Protocol Chairman is the scientific coordinator of the protocol who is responsible for developing and monitoring the protocol. The Principal Investigator will be responsible for communication with the appropriate CTEP staff. c. Protocol Submission The Principal Investigator will submit BCTG protocols to the CTEP Protocol and Information Office in a timely fashion for review and approval by NCI subject to negotiation with the awardees. All protocols should be preceded by a written Letter of Intent (LOI) from the BCTG declaring interest in conducting a particular study. The LOI will describe the hypothesis to be investigated, the general design of the contemplated trial, plus relevant information on accrual capabilities to document feasibility. The IDB Drug Monitor will coordinate the NCI review and assure that the results of such review are communicated to the Principal Investigator. The Principal Investigator will communicate the results of the NCI review of protocols to the BCTG participating institutions. d. Quality Control The awardee institution is responsible for ensuring that the group establishes mechanisms for quality control of therapeutic and diagnostic modalities employed in its trials. These mechanisms will be reviewed by the Head, Quality Assurance and Compliance Section (QACS), Regulatory Affairs Branch (RAB), CTEP. e. Study Monitoring The BCTG will establish mechanisms for study monitoring. These mechanisms will be reviewed by the Head, QACS, RAB, CTEP. The BCTG is responsible for assuring accurate and timely knowledge of the progress of each study through: 1) establishing procedures for assigning dose level at the time a new patient is entered, and assuring that the required observation period has elapsed before beginning a higher dose level; 2) tracking and reporting of patient accrual and adherence to defined accrual goals; 3) ongoing assessment of case eligibility and evaluability; 4) timely medical review and assessment of patient data; 5) rapid reporting of treatment-related morbidity (adverse drug reactions) and measures to ensure communication of this information to all parties; 6) interim evaluation and consideration of measures of outcome, as consistent with patient safety and good clinical trials practice; 7) timely communication of results of studies; 8) an on-site monitoring program (see BCTG Compliance with Federally Mandated Regulatory Requirements); and 9) establishing data management support capabilities that assure that data will be submitted via electronic transfer to the NCI's Clinical Trials Monitoring Service (CTMS) when required (See BCTG Compliance with Federally Mandated Regulatory Requirements). f. Data Management and Analysis The BCTG will develop procedures to ensure that data collection and management are: (a) adequate for quality control and analysis; (b) as simple as appropriate in order to encourage maximum participation of physicians entering patients and to avoid unnecessary expense; and (c) sufficient across the participating institutions. These procedures will be reviewed by the Chief, Biometrics Research Branch (BRB), CTEP. g. BCTG Compliance with Federally Mandated Regulatory Requirements The BCTG is responsible for establishing procedures for all participating institutions to comply with FDA regulations for studies involving investigational agents and OPRR requirements for the protection of human subjects. These procedures are: 1) methods for assuring that each institution where investigators are conducting BCTG trials has a current, approved assurance on file with the OPRR; that each protocol is reviewed and approved by the responsible Institutional Review Board (IRB) prior to patient entry; that each protocol is reviewed at least annually by the IRB so long as the protocol is active; that each investigator is registered with the Drug Management and Authorization Section (DMAS), CTEP, with a current 1572 form on file; and that each patient (or legal representative) gives written informed consent prior to entry on study. 2) a system for assuring timely reporting of all serious and unexpected toxicities to the IDB, CTEP according to CTEP guidelines (mailed annually to all registered investigators). This requires reporting Adverse Drug Reactions (ADRs) by telephone to the IDB Drug Monitor within 24 hours of the event and requires a written report to follow within 10 working days. 3) an on-site monitoring program that assures that a sampling of records at each participating institution is audited at least two times during the cooperative agreement period. The on-site audit will address issues of data verification and compliance with regulatory requirements for the protection of human subjects and investigational agent accountability. Any serious problems with data verification or compliance with Federal regulations must be reported to the Head, QACS immediately. Otherwise, written reports must be submitted within six weeks of each audit. All audit schedules are to be provided to the Head, QACS at least four weeks prior to the date of the audit. 4) For the specific Phase I and Phase II trials that require monitoring by the CTMS three times a year, information must be provided via electronic transfer to the CTMS at two week intervals and includes: notification of each patient entered onto a Phase I or II protocol within the previous two week period, and all data obtained on each registered patient within the previous two weeks as specified by the NCI/DCT Standard Case Report Form and the individual protocol. 5) implementation of the CTEP requirements described in the DCT Investigators Handbook for storage and accounting for investigational agents provided under DCT sponsorship. h. Progress Review The BCTG will establish a mechanism for assessing performance of its members, with particular attention to accrual of adequate number of eligible patients onto consortium trials, timely submission of required data, conscientious observance of protocol requirements, authorship and participation in group leadership. This mechanism will include a procedure for recommending an adjustment of institutional funds within the BCTG as appropriate for the level of participation in group activities, including (but not limited to) accrual. i. Attendance at Meetings The Principal Investigator, Program Leaders, the NCI Coordinator, and the NCI Program Director will meet periodically to review progress, plan and design research activities, and establish priorities. The Principal Investigator will determine the frequency of meetings, and will be responsible for scheduling the time and place of each meeting. The Principal Investigator and the NCI Coordinator should plan at least one meeting per year in the Washington, DC area to facilitate interaction with NCI staff. The budget should include funds for this meeting (see APPLICATION PROCEDURES). No NCI staff member may chair group meetings. A critical determinant of group success will be the degree of communication among its members. Therefore, additional informal meetings among all participants as well as regular telephone and written communication is encouraged. j. Reporting Requirements Reporting requirements will be in agreement with FDA regulations and NCI procedures. Annual progress reports will be submitted to the NCI and will include, at a minimum, summary data on protocol performance by the awardee and each participating institution. In addition, data summary reports will be requested prior to the due date of the annual report to the FDA required of IND sponsors. The types of reports required are determined by CTEP at the time of protocol review. They are: (1) Quarterly Data Updates (QDA) for late Phase I trials not CTMS monitored; (2) Annual Data Updates (ADU) for late Phase I/Phase II combination studies sent to Protocol Chairman to summarize clinical data and progress; (3) The study summaries sent annually to summarize clinical data for Phase II studies. A system for providing such information in a timely manner must be in place. k. Publication of Data Timely publication of major findings is encouraged. Publication or oral presentation of work done under this agreement will require appropriate acknowledgement of NCI support. The NCI will have access to all data generated under this cooperative agreement and may periodically review the data. The awardee will retain custody and primary rights to the data consistent with current HHS, PHS, and NIH policies. 2. NCI Staff Responsibilities The role of the CTEP staff as described throughout these terms of cooperation is to assist and facilitate but not to direct research activities. This cooperative agreement is part of a larger program of investigational agent development in the NCI. Each of the CTEP staff listed below has very specific and well defined responsibilities in terms of investigational agent development and the role of DCT as a drug sponsor as defined in CFR 21 Part 312. The NCI will assist in the development and design of the Phase I and Phase II protocols and will comment on the scientific rationale and value of the study, the statistical requirements, and its implementation. NCI will advise the investigators of the nature and results of relevant trials and laboratory studies being carried out nationally or internationally, pointing out possible duplication of effort. NCI will provide information including relevant pharmacokinetic and pharmacodynamic data concerning investigational agents, availability, efficacy and toxicity of investigational new agents supplied to the investigator(s) under an NCI IND. NCI will assist and advise the group on the IND application or will sponsor the initial IND. a. CTEP as a Scientific Resource for NCI-supported Phase I and II Clinical Trials Investigations The NCI Coordinator will serve as a resource available to the BCTG for specific scientific information with respect to treatment regimens and clinical trial design. The NCI Coordinator will assist the BCTG as appropriate in developing information concerning the scientific basis for specific trials and also will be responsible for advising the BCTG of the nature and results of relevant trials being carried out nationally or internationally. b. CTEP Assistance in Protocol Development The protocol is the detailed written plan of a clinical experiment. The protocol must be mutually acceptable to the PI and to the CTEP Protocol Review Committee (PRC). The PRC is chaired by the Associate Director, CTEP, and is composed of professional staff of the DCT including drug monitors, disease coordinators, regulatory staff, pharmacy staff and ad hoc reviewers external to NCI when deemed appropriate. Communication at the various stages of protocol development is encouraged as necessary to promote protocol development and implementation. A Drug Monitor is assigned to each agent to assist in the coordination of its development. All protocols should be preceded by a written declaration of interest in conducting a particular study from the Principal Investigator using the format described in the GUIDELINES FOR SUBMITTING LOIs- Letter of Intent/INVESTIGATIONAL DRUG TRIAL (available upon request from Ms. Diane Bronzert at the address below). The PRC will formally review the LOI. Following review, the IDB Drug Monitor will provide a Program response to the BCTG and will address the following issues: (a) the existence and nature of concurrent clinical trials in the area of research, pointing out possible duplication of effort; (b) information about additional investigational agents relevant to the BCTG's research goals; (c) assistance in applying additional government resources as outlined below; and (d) comments on the scientific rationale and value of the proposed study, the design, the statistical requirements. If the study involves an NCI sponsored investigational agent, the NCI Drug Monitor will also address the following issues: (a) information including relevant pharmacokinetic and pharmacodynamic data concerning investigational agents; and (b) availability of investigational agents. The LOI mechanism is designed for preliminary review and is recommended to expedite protocol development and implementation and to facilitate agreement on study priority and design (see the DCT Investigator's Handbook, pp 32-35, available on request from Ms. Diane Bronzert at the address listed under INQUIRIES, for further discussion of these mechanisms). c. CTEP Review of Proposed Protocols BCTG protocols will be reviewed by the PRC which meets weekly. NCI reviews all protocols to insure they are within the peer reviewed and awarded work scope. All protocol approvals are subject to negotiation with the awardees. NCI will also review protocols for safety considerations, as required by federal regulatory requirements. For NCI sponsored investigational agents, see the DCT Investigational Handbook for further information regarding protocol review procedures and considerations. Following the review of the protocol by the PRC, the NCI Coordinator will provide the BCTG with a consensus review prepared by the IDB Drug Monitor. The consensus review describes recommended modifications and other suggestions, as appropriate. If a proposed protocol is disapproved, the specific reasons for lack of approval will be communicated in writing by the NCI Coordinator to the BCTG as a consensus review within 30 days of protocol receipt by the NCI. NCI will not provide investigational drugs or permit expenditure of NCI funds for a protocol that it has not approved. The NCI Drug Monitor will be available to assist the BCTG in developing a mutually acceptable protocol, consistent with the research interests, abilities and strategic plans of the BCTG and of the NCI. d. CTEP Review of Quality Control and Study Monitoring The Head, QACS, RAB, CTEP will review and provide advice, through the NCI Coordinator, regarding mechanisms established by the BCTG for quality control of therapeutic and diagnostic modalities employed in trials using NCI-sponsored investigational agents. (See Section 2A - Awardee Rights and Responsibilities). The Head, QACS will review the BCTG procedures and policies for study monitoring including the awardees' on-site monitoring program (See Section 9, CTEP Review of Federally Mandated Regulatory Requirements). e. CTEP Review of Data Management and Analysis The Chief, BRB, CTEP will review BCTG mechanisms for data management and analysis. (See Section 2A - Awardee Rights and Responsibilities). When deemed appropriate, the Chief, BRB will make recommendations to the BCTG, through the NCI Coordinator, to ensure that data collection and management procedures are: (a) adequate for quality control and analysis; (b) as simple as appropriate in order to encourage maximum participation of physicians entering patients and to avoid unnecessary expense; and (c) sufficiently uniform across the BCTG participants. f. CTEP Involvement in Protocol Closure The NCI Coordinator will monitor protocol progress. When a study involves a NCI sponsored investigational agent, the Head, QACS and the IDB Drug Monitor as well as the NCI Coordinator will monitor protocol progress. The NCI Coordinator or the IDB Drug Monitor may request that a protocol study be closed to accrual for reasons including: (a) insufficient accrual rate; (b) accrual goal met; (c) poor protocol performance; (d) patient safety and regulatory concerns; (e) study results are already conclusive; and (f) emergence of new information that diminishes the scientific importance of the study question. NCI will not provide investigational agents or permit expenditures of NCI funds for a study after requesting closure (except for patients already on-study). g. CTEP Involvement in Investigational New Drug Applications (INDs) INDs for group trials may be held by the NCI, by a member of the group, or by an appropriate third party (such as the drug manufacturer, if not a member of the group). The proposed IND arrangements will be included in the initial application. NCI will be available to advise and assist in the IND application when a member of the group will sponsor the initial IND. The NCI will have the option to cross file or independently file an IND on investigational drugs evaluated in the Phase I and II Clinical Trials. This would apply to drugs not developed in the NCI drug development program. When the NCI is to sponsor the initial IND or cross-file on an existing IND for an agent to be studied by a group, the NCI Coordinator will coordinate NCI assistance (e.g., facilitating the completion of any necessary agreements between drug suppliers and NCI, or advising the Principal Investigator of FDA-mandated specific requirements and changes in requirements concerning investigational drug management). Investigators performing trials under Cooperative Agreements will be expected to comply with all FDA monitoring and reporting requirements for investigational agents. Investigators performing NCI funded Phase I and II Clinical Trials will be advised by the NCI Coordinator of potential studies that will be relevant to new avenues of cancer therapy. When this involves investigational agents, the NCI Coordinator assisted by the Chief, RAB, CTEP will advise the investigators of the specific clinical information that will be needed from the clinical trials for that information to be acceptable to the FDA for inclusion in a new drug application (NDA). h. Use of Other NCI Resources in Support of BCTG Activities Upon recommendation of the NCI Coordinator, the NCI may make limited use of its contract based resources in support of group research activities. Use of such resources may be considered on an occasional basis, at he NCI's discretion, within its budgetary and programmatic constraints. i. CTEP Review of Federally Mandated Regulatory Requirements The Head, QACS, through the NCI Coordinator, will advise the BCTG regarding mechanisms to meet FDA regulatory requirements for studies involving DCT-sponsored investigational agents and the Office for Protection from Research Risks (OPRR) requirements for the protection of human subjects by the BCTG institutions. (See RESPONSIBILITIES OF AWARDEES, below) For specific Phase I and II trials with NCI sponsored investigational agents, the NCI has contracted for a Clinical Trials Monitoring Service (CTMS) to document regulatory compliance, to maintain a computerized data base and to produce periodic routine reports of the results, and special reports as necessary. For Phase I studies, CTEP determines that the CTMS monitoring described above is necessary using the following guidelines: (a) Introduction of drug into humans for the first time; (b) Early Phase I studies using a single agent; (c) Concern for safety of patients; (d) PRC expresses concern with excessive toxicity. Phase II studies may also be monitored as noted above if PRC expresses concern with excessive toxicity. For these trials, awardees may be visited by the CTMS contractor three times a year. The required biweekly data submissions to the CTMS are described under RESPONSIBILITIES OF AWARDEES Section 7.d. For Phase II trials with NCI sponsored investigational agents not requiring the above described monitoring, NCI will delegate to the awardee the task of providing an independent audit of each research study. The NCI's Clinical Trials Monitoring Service (CTMS) contractor shall be used to conduct these audits. The staff of QACS will perform random audits of the awardee to assure that the awardee is performing the delegated audit duties. Audit schedules and final audit reports will be provided to QACS, CTEP. Institutional responsibilities for monitoring are described below under RESPONSIBILITIES OF AWARDEES Section 7.c. j. Access to Data The NCI will have access to all data generated under this cooperative agreement and may periodically review the data. Data must also be available for external monitoring as required by NCI's Drug Master File Agreement with the FDA relative to the responsibility of the NCI as an IND agent sponsor. The awardee will retain custody and primary rights to the data consistent with current HHS, PHS and NIH policies. k. CTEP Review of Progress Performance of each BCTG will be reviewed at least annually by the NCI Coordinator on the basis of the information provided at the CTEP sponsored meetings, in the annual progress reports and in the data summary reports submitted to the IDB Drug Monitor or by CTMS reports. In addition, periodic accrual information may be requested from the BCTG by the NCI Coordinator for all active studies when deemed appropriate. Insufficient patient accrual or progress, or noncompliance with the terms of award, including these Terms and Conditions of Award, may result in a reduction of budget, withholding of support, suspension or termination of the award. 3. Arbitration Any disagreement that may arise on scientific/programmatic matters (within the scope of the award), between award recipients and the NCI may be brought to arbitration. An arbitration panel will be composed of three members -- one selected by the BCTG, a second member selected by NCI, and the third member elected by the two prior selected members. These special arbitration procedures in no way affect the awardee's right to appeal an adverse action that is otherwise appealable 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/offerors 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 consortium participants, 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 December 3, 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 be sent to: Ms. Diane Bronzert Division of Cancer Treatment National Cancer Institute Executive Plaza North, Room 734 6130 Executive Boulevard Bethesda, MD 20892 Telephone: (301) 496-8866 FAX: (301) 480-4663 APPLICATION PROCEDURES A. Method of Applying 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 Information, Division of Research Grants, National Institutes of Health, Westwood Building, Room 449, Bethesda, MD 20892, telephone (301) 710-0267; and from the NCI Coordinator listed under INQUIRIES. The RFA label available in the PHS 398 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. Because the Terms and Conditions of Award discussed above 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. Submit a signed, typewritten original of the application, including the Checklist, and three signed, exact photocopies, in one package to: 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 636 6130 Executive Boulevard Bethesda, MD 20892 Applications must be received by February 17, 1994. 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. B. Organization of Application and Suggested Modifications of Form PHS 398 (rev. 9/91) This RFA requires the submission of a single application for the proposed Breast Cancer Treatment Group. An application representing multiple programs may contain sections specific to each program; however, all pages in an application must be numbered consecutively from beginning to end. A consolidated "Detailed Budget for the First 12-Month Budget Period" and a consolidated "Budget for the Entire Proposed Project Period" for the entire BCTG should be included. This should include the direct costs at the applicant institution and both direct and indirect costs at participating institutions. The other budget pages should follow page 5. List all key personnel for the BCTG, including Biographical Sketches and Other Sources of Support. Because of the special requirements in this RFA, additional suggestions regarding format and some modifications seem desirable to provide a comprehensive yet readily reviewable application. 1. The application should begin with an INTRODUCTORY SECTION. Insert the INTRODUCTION after the Table of Contents. This INTRODUCTORY SECTION must describe the proposed BCTG as a whole with respect to goals, objectives, and overall research plan. In this INTRODUCTORY SECTION, identify the Principal Investigator and Program Leaders of each PROGRAM. It is important to discuss any prior collaborative efforts among investigators in the group as well as advantages expected from the group effort, e.g., how the projects are mutually reinforcing, how collectively they will further the goals of the proposed research, etc. The overall INTRODUCTORY SECTION should be limited to 25 pages. The INTRODUCTORY SECTION should also provide a separate "Detailed Budget for the First 12-Month Period and a "Budget for the Entire Proposed Project Period for Direct Costs" for the management and coordination of group activities. Each BCTG should anticipate the need to attend at least one meeting per year in Bethesda, MD to coordinate activities. Travel funds for the Principal Investigator and the Program Leaders for each CLINICAL and LABORATORY PROGRAM should be included in the budget. Inasmuch as the Principal Investigator may also function as a Program Leader for his/her CLINICAL or LABORATORY PROGRAM, parts of form PHS 398 that duplicate information provided in the section describing the Principal Investigator's work need not be included in the INTRODUCTORY SECTION. The INTRODUCTORY SECTION should, however, contain any additional information about the proposed Principal Investigator or his/her institution as evidence of capability to carry out the scientific and administrative duties required in this RFA. 2. Each application should clearly identify the CLINICAL and LABORATORY PROGRAMS proposed, the proposed costs attributable to each, and the relationship among the various programs. Applicants may organize their applications using the PHS 398 (rev. 9/91) format for each CLINICAL PROGRAM and LABORATORY PROGRAM. However, the face page, Table of Contents, Checklist, and Biographical Sketches and Other Support (if included elsewhere in the application) for the individual PROGRAMS should be omitted. A single face page should apply to the entire application. It is suggested that the title "Principal Investigator" be reserved for the director of the overall application. The directors of the individual projects should be referred to as "Program Leaders". Under the Research Plan section, describe the relevance of the PROGRAM to the primary theme of the application and the collaborations with investigators within the BCTG (limited to one page). The 25-page limitation stipulated in the PHS 398 kit applies to each of the individual CLINICAL or LABORATORY PROGRAMS. A separate "Detailed Budget for the First 12-Month Budget Period", a "Budget for the Entire Proposed Project Period", and a budget justification for each PROGRAM must be included. Often the various research objectives necessary to reach the group's goals may need to be phased in, at least in part, in sequential fashion. In such cases, the budgets for the individual CLINICAL and LABORATORY PROGRAMS should, logically, reflect an appropriate change in relative emphasis among objectives until an operational steady state situation is attained. Justification for phase-in budgets should also be provided. 3. The application will be reviewed as a whole as well as PROGRAM by PROGRAM. Therefore, prepare a detailed Table of Contents that will enable reviewers to find specific information readily and number all pages consecutively after the face page, which is page 1. 4. Applications from institutions that have a General Clinical Research Center (GCRC) funded by the NIH National Center for Research Resources are requested to identify the GCRC as a resource for conducting the proposed research. C. Minimal Requirements for Application Applications must meet the requirements listed below. Except for item 1, each of these must be briefly addressed in the INTRODUCTORY section of the application. The INTRODUCTORY section may reference a fuller discussion elsewhere in the application, provided that the location of that discussion is clearly given in the INTRODUCTORY section. 1. Name a single Principal Investigator, who is an M.D., Ph.D., or D.O., who will be responsible for the application, for group research activities, and for the management of funds for the support of group activities. 2. Identify the applicant institution that will be responsible and accountable to NCI for the use of the funds provided and for performance of the grant-supported project. 3. Describe the group's overall goals and, in the context of these goals, describe how the group envisions the clinical development of the agent(s) and/or regimen(s) to be tested. 4. Provide a timetable detailing the research objectives for the LABORATORY and CLINICAL PROGRAMS that will be investigated for each year. Due to the interdependence of the projects, it is expected that some research and clinical studies will be phased in during the grant funding period. BCTGs may propose to conduct clinical trials immediately and include the appropriate protocols for evaluation. It is anticipated that all BCTGs will have reached their goal of initiating Phase II clinical evaluation by year 4. 5. Provide, in the body of the application, a description of the Investigational New Drug Application (IND) status of the agent(s) proposed for study, including (in an Appendix) supporting information. If an IND already exists for an investigational agent, the IND number and the identity of the IND sponsor should be included in the body of the application. For any agent for which an IND does not exist, the application must include enough information to demonstrate that an IND will be obtained in a timely fashion. This information should include: o a description of currently available preclinical data for the agent; o a list of additional preclinical studies which remain to be done in support of IND filing; o the anticipated date of IND filing; o Applicants proposing to conduct a trial without an IND must demonstrate that all applicable FDA requirements will be met, consistent with the above guidelines. Include supporting documents (e.g., letters of agreement) in the Appendix to the application. 6. Supply of agent(s) for clinical trials. Each application must describe the steps the applying group will take to ensure adequate supplies of agents for the clinical trials proposed. Depending upon an applicant's particular circumstances, such information may include a discussion of mechanisms of procuring agents, timetables for production of agents, or evidence of industry collaboration. If possible, letters of support from pharmaceutical companies should be included. 7. If the BCTG expects to initiate clinical trials within the first year, a draft or IRB approved clinical protocol should be included in the Appendix. For all proposed clinical protocols, provide detailed evidence supporting the rationale for the protocol, including literature citations, and emphasizing the results of work done by the proposed group members. If clinical protocols are not included with the application, the Program Leader(s) of the Clinical Program(s) should include a detailed description of future clinical studies and the proposed plan for initiating clinical trials. 8. Demonstrate that the group may expect sufficient patient accrual to complete clinical trials in a timely fashion. 9. Demonstrate that each component Clinical and Laboratory Program is required for the attainment of the group's objectives. Provide a clear, concise plan that depicts the interrelationships among the members of the group and the contribution of each to fulfillment of group objectives. This plan may be in narrative and/or diagrammatic form; use the form which most clearly describes the group. The name, organization, and scientific discipline of the Principal Investigator, Program Leaders, and other key personnel should be included. 10. Provide a plan to ensure the maintenance of close collaboration and effective communication among members of the group, which will include letters of commitment to this plan by all Program Leaders. Include plans for scheduling group meetings, notifying group members (including the NCI), and documenting and disseminating group meeting proceedings. 11. Demonstrate that the Principal Investigator and the Program Leaders possess the necessary scientific skills and leadership qualities to conduct the proposed research successfully; include relevant research programs, experience in conducting clinical trials, unique competencies, and pertinent publications. 12. Demonstrate the competence of the Principal Investigator to manage comprehensive research projects, and to coordinate and integrate research activities of diverse Clinical and Laboratory Programs. 13. Describe how the group will comply with federally mandated regulatory requirements, as outlined under the "SPECIAL REQUIREMENTS", Terms and Conditions of Award. This includes quality control measures that will be used by the group and the capability to conduct study monitoring. REVIEW CONSIDERATIONS A. General Considerations All applications will be judged on the basis of the scientific merit of the proposed project and the documented ability of the investigators to meet the RESEARCH OBJECTIVES of the RFA. Although the technical merit of the CLINICAL and LABORATORY PROGRAMS is important, it will not be the sole criterion for selection of a study. Other considerations, such as the importance and timeliness of the proposed study or clinical trials, the development of a well-defined central research focus, the coordination and interdependence of the individual PROGRAMS, and the cohesiveness and multidisciplinary nature of the BCTG will be part of the evaluation criteria. B. Review Procedures 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. 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 be triaged by an NCI 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. C. Review Criteria Applicants are encouraged to submit and describe their own ideas about how best to meet the goals of the cooperative study and are expected to address issues identified under SPECIAL REQUIREMENTS of the RFA. The review group will assess the scientific merit of the studies, including: 1. Extent to which the application addresses the goals and objectives of the RFA. 2. Scientific merit and originality of proposed research. 3. Importance, timeliness, and clinical merit of the clinical trials. 4. Quality of data supporting the proposed clinical trial. 5. Scientific and technical merit of the proposed laboratory studies. 6. Evidence that the Principal Investigator and the Program Leaders possess the scientific skills and leadership qualities needed to conduct the proposed research successfully; experience, competence, commitment, and time availability of Principal Investigator, Program Leaders, and other key personnel. 7. Evidence of coordination and interdependence of the individual Programs. Adequacy of plans for effective intra-group communication and for assuring group cohesiveness. Evidence that each component Clinical and Laboratory Program is required for the attainment of the group's objectives, and that each has available the professional and technical personnel to permit efficient and successful conduct of the proposed research. 8. Competence of Principal Investigator to develop, implement, and manage comprehensive research programs, and to coordinate and integrate research activities of diverse clinical and laboratory programs. 9. Adequacy of existing physical facilities and resources of the Principal Investigator and Program Leaders. 10. Evidence that Clinical Programs are capable of completing the clinical trial in a timely fashion, including evidence of adequate patient accrual. 11. Evidence of approval and commitment of institutions represented by group members to group goals. 12. Evidence that appropriate steps have been taken to insure the protection of human subjects. 13. Evidence that the applicant is in compliance with NIH policies regarding the inclusion of women and minorities in clinical research study populations (STUDY POPULATIONS section of this RFA). The review group will critically examine the submitted budget and will recommend an appropriate budget and period of support for each approved application. AWARD CRITERIA Applications considered by the National Cancer Advisory Board will be considered for award based upon (a) scientific and technical merit; (b) availability of funds; (c) programmatic priorities; (d) how well the BCTG meets the goals and objectives of the program as described in the RFA; and (e) commitment to accept provisions outlined under the "Special Requirements" Section 2, Terms and Conditions of Award. Letter of Intent Receipt Date: December 3, 1993 Application Receipt Date: February 17, 1994 Review by National Cancer Advisory Board: September 1994 Anticipated Award Date: September 1994 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. 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 6130 Executive Boulevard Bethesda, MD 20892 Telephone: (301) 496-8866 FAX: (301) 480-4663 Direct inquiries regarding fiscal matters to: Ms. Carolyn Mason Grants Administration Branch National Cancer Institute Executive Plaza South, Room 242 6130 Executive Boulevard Bethesda, MD 20892 Telephone: (301) 496-7800, ext. 59 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, Part A (Public Law 78-410, as amended, Public Law 99-158, 42 USC 241 and 285) and administered under PHS grants policies and Federal Regulations at 42 CFR Part 52 and 45 CFR Part 74 and 92. This program is not subject to the intergovernmental review requirements of Executive Order 12372 or Health Systems Agency review. .
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