National Institutes of Health (NIH)
National Institute on Drug Abuse (NIDA)
Funding Opportunity Title
Translational Research on Interventions for Adolescents in the Legal System: TRIALS (U01)
U01 Research Project – Cooperative Agreements
Funding Opportunity Announcement (FOA) Number
Companion Funding Opportunity
Catalog of Federal Domestic Assistance (CFDA) Number(s)
Funding Opportunity Purpose
The National Institute on Drug Abuse (NIDA) invites applications for cooperative agreement participants (multiple Research Centers and one coordinating center) to collaborate in developing and testing implementation strategies and associated measures to improve the continuum of substance abuse prevention and treatment services delivered to youth under juvenile justice supervision. Awardees will develop and execute collaborative multisite studies across a variety of community-based supervision settings including juvenile probation, truancy and teen courts, and adolescent drug courts. Research undertaken by the cooperative is expected to contribute both to implementation science and to the effective delivery of evidence-based substance abuse interventions within real-world practice settings. These goals will be accomplished through the development and testing of measures and methods to support the successful implementation of substance abuse and HIV prevention and treatment services in juvenile justice settings.
July 13, 2012
Open Date (Earliest Submission Date)
October 28, 2012
Letter of Intent Due Date
October 28, 2012
Application Due Date(s)
November 28, 2012, by 5:00 PM local time of applicant organization.
AIDS Application Due Date(s)
Scientific Merit Review
Advisory Council Review
Earliest Start Date(s)
November 29, 2012
Due Dates for E.O. 12372
Required Application Instructions
It is critical that applicants follow the instructions in the SF 424 (R&R) Application Guide, except where instructed to do otherwise (in this FOA or in a Notice from the NIH Guide for Grants and Contracts). Conformance to all requirements (both in the Application Guide and the FOA) is required and strictly enforced. Applicants must read and follow all application instructions in the Application Guide as well as any program-specific instructions noted in Section IV. When the program-specific instructions deviate from those in the Application Guide, follow the program-specific instructions. Applications that do not comply with these instructions may be delayed or not accepted for review.
Part 1. Overview Information
Part 2. Full Text of the Announcement
Section I. Funding Opportunity Description
Section II. Award Information
Section III. Eligibility Information
Section IV. Application and Submission Information
Section V. Application Review Information
Section VI. Award Administration Information
Section VII. Agency Contacts
Section VIII. Other Information
Virtually all youth in the juvenile justice system could benefit from prevention or treatment interventions for drug abuse. Although a number of evidence-based drug abuse screening, assessment, prevention, and treatment practices for adolescents exist, implementation of these within juvenile justice settings is variable, incomplete, and non-systematic. Implementation is further stymied by inadequate strategies for measuring and addressing organization, system, and environmental factors that impact the uptake of evidence-based approaches. The National Institute on Drug Abuse (NIDA) invites applications for cooperative agreement participants (multiple Research Centers and one coordinating center) to collaborate in developing and testing implementation strategies and associated measures to improve the continuum of substance abuse prevention and treatment services delivered to youth under juvenile justice supervision. Awardees will develop and execute collaborative multisite studies across a variety of community-based supervision settings including juvenile probation, truancy and teen courts, and adolescent drug courts. Research undertaken by the cooperative is expected to contribute both to implementation science and to the effective delivery of evidence-based substance abuse interventions within real-world practice settings. These goals will be accomplished through the development and testing of measures and methods to support the successful implementation of substance abuse and HIV prevention and treatment services in juvenile justice settings.
This initiative is intended to support a program of research on how juvenile justice systems can effectively implement a continuum of evidence-based substance abuse and HIV prevention and treatment services for youth under community supervision. As envisioned, this continuum would reach every juvenile in the system in some manner. Systems would screen all youth for alcohol and drug use, mental and behavioral problems, HIV risk behaviors, and delinquent and criminal behavior. Results of this screening would be used to link adolescents to evidence-based prevention services or further assessment to determine indicated treatment. Assessments should at minimum address substance abuse severity, HIV risk behaviors, and delinquent/criminal risk. The results of the assessment should determine the adolescent’s treatment plan, including substance abuse treatment (broadly defined to include individual or group counseling, pharmacotherapy, family-based therapy, and recovery management); HIV prevention, testing, and/or care; services to address delinquent behavior; mental and physical healthcare; family interventions; etc. Effective linkage strategies must be developed and tested to ensure that youth actually receive the prevention and treatment services that have been deemed appropriate and necessary, and related strategies are needed to promote engagement and retention of youth and families in these processes. Research to facilitate the implementation of the services continuum may involve a range of activities, such as improving knowledge about the elements of effective prevention and treatment for youth; improving coordination between a juvenile assessment center, service providers, and juvenile probation/supervision; and improving availability of and access to prevention, treatment, family, and other support services.
This cooperative program of research will be carried out by multiple Research Centers working collaboratively with one another, a Coordinating Center, and NIDA. This FOA solicits applications for multiple Research Centers as well as for one Coordinating Center. The expected structure of the cooperative is described further in Section I.3.
Research Center applicant organizations must: demonstrate strong expertise in prevention and/or treatment services for adolescents and in implementation research; have established collaborative relationships with one or more juvenile justice systems committed to engaging in implementation research supporting the continuum of care described above (this juvenile justice partner must be designated as Key Personnel in the U01 application); and have identified and partnered with appropriate and available community-based substance abuse and HIV service providers to facilitate linkage to care for youth needing such services.
Coordinating Center applicants must demonstrate capacity and expertise for carrying out the logistical, data management, and survey support for the Cooperative as specified below.
The cooperative will carry out a program of research to (a) identify, develop, or refine a set of measures to assess existing services along with key organizational and environmental factors that may facilitate or impede the implementation of the services continuum; (b) deploy those measures in their partnering juvenile justice systems and service provider agencies; (c) based on the data obtained, design one or more multi-site implementation projects to address identified gaps in the services continuum; and (d) identify, develop, or refine a set of measures to systematically assess implementation outcomes.
It is not the objective of this cooperative to develop and test the clinical efficacy or effectiveness of discrete prevention or treatment interventions or services per se, although individual-level outcomes may be collected to demonstrate the reach or effectiveness of the tested implementation strategies. Effective screening, assessment, and prevention and treatment interventions already exist, and efforts under this research initiative should focus on developing measures and implementation strategies to facilitate the uptake of a comprehensive, evidence-based services continuum to address substance abuse and HIV needs of adolescents within the participating organizations and systems.
Research undertaken by the cooperative should, at minimum, attend to the following:
The cooperative will encompass 3 to 5 Research Centers, one Coordinating Center, a Steering Committee Chairperson, and NIDA. Each of the 3 to 5 regional Research Centers will partner with at least one juvenile justice system and community-based treatment provider. One Coordinating Center will oversee data management and cross-site coordination, meeting logistics, and communications. One Steering Committee Chairperson, with expertise in juvenile justice and substance abuse, will be selected by NIDA to coordinate the activities of the Steering Committee (described below). NIDA will have an active role in the activities of the cooperative, including the development and approval of the research protocol(s), through the involvement of an appointed Project Scientist and a Program Official.
A. Research Centers. Research Centers will develop and conduct implementation research projects to promote effective uptake and sustainability of the services continuum described above. Research Centers will work together to select a theoretical model, identify measures, collect pre-implementation data, identify appropriate implementation targets, develop protocols and study designs, and execute one or more multi-site studies. The number and scope of the studies will depend on the characteristics of the partner agencies, the identified gaps in the service continuum, and the results of the pre-implementation data collection activity. NIDA’s expectation is that all Research Centers will participate in all protocols designed by the cooperative. Participating Research Centers must include at least one juvenile justice agency partner providing supervision to adolescents within the community (see Section C below). A representative from the juvenile justice agency must be named as a Key Personnel in the U01 application. Partnerships that exclusively involve juvenile detention facilities will not be considered responsive to this FOA. Research Centers are also expected to identify one or more substance abuse and HIV prevention and treatment service providers serving the communities in which the juvenile justice partners are located (see Section D below).
Research Center responsibilities include:
Note: The PD/PI of a Research Center application is expected to commit a minimum of 2.4 person months annually over the life of the grant award.
B. Coordinating Center. The Cooperative will have one Coordinating Center. The Coordinating Center will be responsible for facilitating cross-site activities of the participating Research Centers, partner agencies, and NIDA. This includes organizing and convening grantee meetings; maintaining a project website; maintaining a secure internet-based infrastructure for cross-site communication and document sharing; creating a data repository; monitoring cross-site progress on the implementation studies; ensuring that the Cooperative’s policies and procedures are documented, up-to-date, and accessible; and maintaining records of research dissemination activities. In addition, the Coordinating Center will be responsible for conducting a representative survey of juvenile justice agencies regarding service availability (see below). The Coordinating Center will not directly participate in the implementation research protocols being conducted by the Research Centers.
Specific areas of responsibility for the Coordinating Center include:
The Coordinating Center is also responsible for two significant data collection activities:
C. Juvenile Justice Partner Agencies. Each Research Center must designate a representative from a partnering juvenile justice agency as Key Personnel on the U01 application. Juvenile justice partner agency representatives are generally individuals with oversight responsibility for juvenile probation, or other correctional supervision programs for youth in the community (actual terminology may vary by state or locality). The juvenile justice partner agency representative should be a change leader in their organization – i.e., someone able to influence agency practices and policies. The application should describe the representative’s role within the juvenile justice organization. Juvenile justice partner agency representatives’ responsibilities include:
D. Substance Abuse and HIV Prevention and Treatment Service Providers. Substance abuse and HIV prevention and treatment service providers may be formally associated with the juvenile justice agency or may be community-based programs that provide services to juvenile justice-involved youth. The Research Center is responsible for identifying and recruiting providers who are willing and able to participate in collaborative research on the implementation of a continuum of screening, assessment, prevention and treatment services for supervised youth. Service provider responsibilities may differ depending on the protocols developed by the Cooperative, but generally include:
E. Steering Committee. The Steering Committee will constitute the primary governing body of the Cooperative. It will consist of the Principal Investigator of each Research Center, the juvenile justice representative named in the application as Key Personnel from each Research Center, and the NIDA Project Scientist, each of whom will be a voting member. Each Research Center has a maximum of two Steering Committee votes – one for the PD(s)/PI(s) regardless of whether the Multiple PD(s)/PI(s) mechanism is used, and one for the juvenile justice partner(s) regardless of number. The NIDA Project Scientist has one vote. Neither the Coordinating Center nor the Steering Committee chairperson (see below) is a voting member of the Steering Committee.
The Steering Committee will determine the policies and procedures used to govern the Cooperative; identify the research studies to be undertaken (subject to NIDA approval); monitor progress across all sites and protocols; develop plans for monitoring data quality, conduct data analyses, and review results prior to dissemination. All Steering Committee members are collectively responsible for the quality of research protocols, data, findings and publications of all studies conducted by the Cooperative.
Steering Committee meetings will be led by a Chairperson who is selected by NIDA. This person will have significant scientific expertise in the areas of the research conducted by the Cooperative, but will not be affiliated with any of the Research Centers, Coordinating Center, or Federal participants. The Chairperson will provide leadership for meetings and activities of the Steering Committee but will not be a voting member.
The Steering Committee may establish subcommittees and workgroups to assist it in carrying out its functions, and these groups may comprise individuals affiliated with the Research Centers or affiliated service provider agencies. The Steering Committee may elect to establish an advisory body consisting of juvenile justice representatives and substance abuse and HIV prevention and treatment provider representatives from the Centers' research sites. This advisory body will review proposed research concepts and plans, comment upon their feasibility and practical importance, assist in the implementation of research, and carry out other activities determined by the Steering Committee. If such an advisory board is not established, the Steering Committee should ensure representation of juvenile justice and service provider agencies on protocol development workgroups.
F. Data Safety Monitoring Board (DSMB). After the research protocols are developed, the NIDA Program Official will determine whether a DSMB is warranted, and if so, will convene one. A DSMB is an independent expert board appointed by and reporting to the NIDA Director, which will monitor the conduct of studies to ensure the safety of participants and the validity and integrity of the data. Research Centers are responsible for following protocols established for reporting data for review by DSMB. The Coordinating Center is responsible for providing reports as needed for DSMB review. The DSMB will also make independent assessment of whether a study will continue.
HIV/AIDS Counseling and Testing Policy for the National Institute on Drug Abuse: In light of recent significant advances in rapid testing for HIV and in effective treatments for HIV, NIDA has revised its 2001 policy on HIV counseling and testing. NIDA-funded researchers are strongly encouraged to provide and/or refer research subjects to HIV risk reduction education and education about the benefits of HIV treatment, counseling and testing, referral to treatment, and other appropriate interventions to prevent acquisition and transmission of HIV. This policy applies to all NIDA funded research conducted domestically or internationally. For more information seehttp://grants.nih.gov/grants/guide/notice-files/NOT-DA-07-013.html.
National Advisory Council on Drug Abuse Recommended Guidelines for the Administration of Drugs to Human Subjects: The National Advisory Council on Drug Abuse (NACDA) recognizes the importance of research involving the administration of drugs with abuse potential, and dependence or addiction liability, to human subjects. Potential applicants are encouraged to obtain and review these recommendations of Council before submitting an application that will administer compounds to human subjects. The guidelines are available on NIDA's Web site at http://www.nida.nih.gov/about/organization/nacda/CouncilStatement.html.
Points to Consider Regarding Tobacco Industry Funding of NIDA Applicants: The National Advisory Council on Drug Abuse (NACDA) encourages NIDA and its grantees to consider the points it has set forth with regard to existing or prospective sponsored research agreements with tobacco companies or their related entities and the impact of acceptance of tobacco industry funding on NIDA's credibility and reputation within the scientific community. Please see (http://ww2.drugabuse.gov/about/organization/nacda/points-to-consider.html) for details.
Application Types Allowed
Funds Available and Anticipated Number of Awards
NIDA intends to commit approximately $5 million in FY 2013 to fund 3-5 Research Centers and 1 Coordinating Center.
Direct costs are limited to $500,000 per year for a 5-year period.
Award Project Period
All projects should be for a period of 5 years.
NIH grants policies as described in the NIH Grants Policy Statement will apply to the applications submitted and awards made in response to this FOA.
Higher Education Institutions
The following types of Higher Education Institutions are always encouraged to apply for NIH support as Public or Private Institutions of Higher Education:
Nonprofits Other Than Institutions of Higher Education
Non-domestic (non-U.S.) Entities (Foreign Institutions) are
not eligible to apply.
Non-domestic (non-U.S.) components of U.S. Organizations are not eligible to apply.
Applicant organizations must complete the following registrations
as described in the SF 424 (R&R) Application Guide to be eligible to apply
for or receive an award. Applicants must have a valid Dun and Bradstreet
Universal Numbering System (DUNS) number in order to begin each of the following
All Program Director(s)/Principal Investigator(s) must also
work with their institutional officials to register with the eRA Commons or
ensure their existing eRA Commons account is affiliated with the eRA Commons
account of the applicant organization.
All registrations must be completed by the application due date. Applicant organizations are strongly encouraged to start the registration process at least 4-6 weeks prior to the application due date.
Any individual(s) with the skills, knowledge, and resources
necessary to carry out the proposed research as the Program Director(s)/Principal
Investigator(s) (PD(s)/PI(s)) is invited to work with his/her organization to develop
an application for support. Individuals from underrepresented racial and ethnic
groups as well as individuals with disabilities are always encouraged to apply
for NIH support.
For institutions/organizations proposing multiple PD(s)/PI(s), visit the Multiple Program Director(s)/Principal Investigator(s) Policy and submission details in the Senior/Key Person Profile (Expanded) Component of the SF 424 (R&R) Application Guide.
NOTE: For institutions/organizations proposing multiple
PD(s)/PI(s), at least one PD/PI must commit at least 2.4 person months annually
to the funded U01 grant.
This FOA does not require cost sharing as defined in the NIH Grants Policy Statement.
Applicant organizations may submit more than one application, provided that each application is scientifically distinct.
NIH will not accept any application in response to this FOA that is essentially the same as one currently pending initial peer review unless the applicant withdraws the pending application.
Applicants must download the SF424 (R&R) application package associated with this funding opportunity using the “Apply for Grant Electronically” button in this FOA or following the directions provided at Grants.gov.
It is critical that applicants follow the instructions in the SF424 (R&R) Application Guide, except where instructed in this funding opportunity announcement to do otherwise. Conformance to the requirements in the Application Guide is required and strictly enforced. Applications that are out of compliance with these instructions may be delayed or not accepted for review.
For information on Application Submission and Receipt, visit Frequently Asked Questions – Application Guide, Electronic Submission of Grant Applications.
Although a letter of intent is not required, is not binding, and does not enter into the review of a subsequent application, the information that it contains allows IC staff to estimate the potential review workload and plan the review.
By the date listed in Part 1. Overview Information, prospective applicants are asked to submit a letter of intent that includes the following information:
The letter of intent should be sent to: NIDALetterofIntent@mail.nih.gov
Applicants are encouraged to send the letter of intent by email to the email address above but as an alternative the letter may also be sent to:
Director - DA-13-009
Office of Extramural Affairs
National Institute on Drug Abuse/NIH/DHHS
6001 Executive Boulevard, Suite 4243, MSC 9550
Bethesda, MD 20892-9550
The forms package associated with this FOA includes all applicable components, mandatory and optional. Please note that some components marked optional in the application package are required for submission of applications for this FOA. Follow all instructions in the SF424 (R&R) Application Guide to ensure you complete all appropriate “optional” components.
All page limitations described in the SF424 Application Guide and must be followed, with the following exceptions or additional requirements:
All instructions in the SF424 (R&R) Application Guide must be followed, with the following additional instructions:
Other Requirements – Research Center Applicants
Research Center applicants should include budget estimates and plans for participating in the Cooperative, organized around the areas of core functions (Center administration, management, staffing, Steering Committee participation), and research activities (i.e., conducting the implementation interventions, data collection, analysis, publication, dissemination). The total budget should include: 1) infrastructure to enable the Center to provide core functions (e.g., personnel, facilities, equipment, supplies, training costs, logistic support, travel, etc.); 2) research project specific costs such as research assistants, study implementation costs, staff for data collection, management, and analysis; and any laboratory costs, monitoring costs, publications costs. As noted above, funds for travel should be included to provide for the PD(s)/PI(s), the juvenile justice agency representative named as Key Personnel, and up to 3 additional project staff to participate in 2 in-person Steering Committee meetings each year in Bethesda, MD.
For Research Center applicants, the Research Strategy section should be organized as follows:
A. Research Capacity
The application should document the scientific expertise within the Research Center and its partnering organizations to collaboratively design, implement, and analyze the results of studies conducted under this Cooperative.
Substantial support and input from juvenile justice agencies and substance abuse and HIV prevention and treatment service providers will be necessary to undertake research protocols on the implementation of a continuum of care for adolescents under community supervision. Thus, applications should name and describe the partnering programs, agencies, or institutions expected to collaborate in the Cooperative and in what capacity. The application should provide evidence, where possible, of successful collaborations with these or similar entities in research activities.
In addition, the ability and willingness of juvenile justice agencies and service providers to participate in this research should be documented and should include the potential number of study participants (including program staff as well as offenders/patients), and plans to recruit and retain subjects in studies. Thus, applications should describe the partnering programs, agencies, or institutions expected to collaborate in the Cooperative, including relevant program/system and offender/patient characteristics (e.g. organizational characteristics, services offered, client/patient flow, staff structure and characteristics).
Letters of Support must be provided by each of the institution, agency, or program directors agreeing to participate in the Cooperative. Letters should demonstrate an understanding of the scope of research to be undertaken through the Cooperative and the capacity and commitment to work collaboratively with other participating investigators in implementing research studies to improve delivery of the continuum of care for adolescents under community supervision. Letters should include explicit acceptance of the parameters of the research noted earlier, including possible randomization to study conditions. Letters of Support do not count against Research Strategy page limits, but no letter of support should exceed 2 pages in length.
The application should document the ability of the Research Center and its partners to implement system- and organizational-level modifications where specified by the study protocols, and to deliver needed substance abuse and HIV prevention and treatment services. Plans to recruit subjects and implement the research should be described, and the application should attempt to anticipate and address problems and challenges in conducting research in real-world settings.
Note that Section A focuses on the capacity of each entity for engaging in implementation research. Section B addresses mechanisms through which inter-organizational relationships will be managed.
B. Internal Administration and Collaborative Plans
The administrative and managerial qualifications and experience of the PD(s)/PI(s) must be described to provide evidence of skills in managing and coordinating research endeavors of this scope. The skills of other personnel involved in administration and management of the research should also be clear. Evidence of participation in relevant multisite studies is desirable. The PD(s)/PI(s) must commit 2.4 person-months or more to this grant award annually. The substantive contribution of the juvenile justice representative named as Key Personnel must be detailed.
Partnerships among collaborating components of the Research Center are essential to the success of the Cooperative and should be described in detail. Applicants should describe how juvenile justice and treatment providers are expected to function in true partnership with the Center and the Cooperative in terms of research development, protocol design, research project implementation, and administrative support services. Communication and coordination plans for working with involved agencies (e.g., juvenile justice agencies, parole boards, treatment providers) should be given, as well as plans for developing such relationships as appropriate. Applicants should anticipate potential problems and challenges that may arise in during the project and propose mechanisms for collaborative resolution among Center participants.
Plans should describe capabilities and plans for intra-center decision making, project management, coordination and communication, data management, and procedures for oversight of studies. Plans for functioning as a Research Center in the context of a cooperative research program should be described.
An approach should be provided for coordinating implementation of studies across sites, providing training, and monitoring progress. Plans should be provided for collecting, managing, sharing, and analyzing data, including strategies for pooling data, addressing measurement issues across studies, implementing CONSORT guidelines if appropriate, as well as plans for monitoring research progress and data quality across study sites, and disseminating findings.
C. Research Concept
Applicants are requested to develop and propose a research concept that lays out a theoretically grounded, hypothesis-driven study design using implementation strategies to address gaps in the continuum of care for adolescents under community supervision. The proposed study concept should account for the need for systems to reach all adolescents under their supervision with some form of substance abuse and HIV intervention – either prevention or treatment. The research concept should describe how the Research Center would measure and assess a system’s current service delivery capacity in the areas of screening, comprehensive assessment, and delivery of substance abuse and HIV prevention and treatment services to adolescents based on the outcomes of the screening and assessment services. The research concept should further demonstrate how the results of such measurement would inform the selection of implementation strategies and targets (i.e., the evidence-based practices to be implemented). The research concept should identify at least one implementation framework to guide the concept’s design and proposed approach, and to anchor the selection of predictor, outcome, mediator and moderator variables. The concept should describe the Center’s approach to site selection, subject recruitment, data collection, and quality assurance. The concept should further demonstrate how such a study could be undertaken as part of a multi-site collaborative. The research concept proposed should exemplify the applicant's approach to designing and undertaking hypothesis-driven implementation research in the context of juvenile justice systems.
Applicants should note that the study protocols ultimately selected for the Cooperative will be based on actual data obtained from the participating study sites, and therefore the concepts proposed in these applications may not be adopted. Therefore, rather than propose detailed research protocols, applicants should write these concepts as examples of how such research might be approached. The application should discuss how the proposed concept would contribute to implementation science, and how it would capitalize on the Cooperative’s resources and structure.
The research goals of the Collaborative are not intended to develop new preventive or treatment interventions, nor to conduct client-level effectiveness research. Therefore, applications proposing such studies for the research concept will be considered non-responsive to this FOA.
Other Requirements – Coordinating Center Applicants
Coordinating Center applicants should include budget estimates and plans for participating in the Cooperative, organized around the areas of logistical support, data collection, and data processing. The total budget should include 1) logistical support costs (e.g., personnel, equipment, travel costs, communications tools, etc., to support the work of the Steering Committee and any subcommittees or workgroups); 2) data collection costs associated with the national survey of juvenile justice agencies; and 3) data processing costs (e.g., development and tracking of data collection forms or data entry screens for web-based surveys; equipment and software for processing collected data into analytic files; personnel for data processing and cleaning; delivering de-identified public use files to NIDA, etc.). As noted above, the Coordinating Center reimburses the travel costs of the Steering Committee Chairperson; Research Centers are responsible for their own travel costs associated with the semi-annual Steering Committee meetings.
For Coordinating Center applications, the Research Strategy section should be organized as follows:
A. Research Capacity
The applicant must demonstrate the expertise, experience, and capacity necessary to conduct a representative survey of juvenile justice agencies in the U.S., as described in Section I.3.b. The application should describe the proposed approach to developing the survey, securing IRB approvals, sample selection, survey administration, data processing, development of analytic and public-use files, analysis, and publication/dissemination. An estimated timeline should be proposed that allows completion of this activity within the project performance period and concurrent with other Coordinating Center responsibilities.
The application should also propose an approach to coordination of cross-site collection of pre-implementation data from participating juvenile justice agencies and substance abuse and HIV treatment and prevention service provider organizations. (Note that the Research Centers are responsible for developing measures and for collecting the data from their partner agencies.) The Coordinating Center applicants should propose an approach for centralizing development of data collection forms, data entry screens, or other methods of survey administration; providing secure channels for transmitting raw data files between Research Centers and the Coordinating Center; using state-of-the-art systems and approaches for efficient data processing; quality control methods; compiling aggregate data files for analysis; and making de-identified public use data files available.
No more than 6 of the 12 pages of the Research Strategy should be devoted to the Research Capacity section.
B. Data Management Capacity
In addition to the national survey and the pre-implementation data collection described above, the Coordinating Center will also be responsible for ongoing data processing in support of the implementation research protocols developed by the Steering Committee. Research Centers are responsible for ongoing collection of data for these protocols, which is likely to include cross-sectional and recurring surveys (i.e., repeated measures from the same respondents), extraction of existing data from client records or administrative systems, and other data. Data are likely to be collected at the organizational or service delivery unit level, and from front-line service provider staff. It is not expected that studies will include randomization at the client level. Coordinating Center applications should describe an overall approach to managing the flow of data from multiple Research Centers across multiple concurrent research protocols; receiving secure transmissions of raw data from Research Centers and communicating about discrepancies or errors; implementing efficient data processing and appropriate quality controls; compiling, checking, and delivering aggregate data files for analysis by the Research Centers; and delivering de-identified, integrated data files to NIDA for eventual release as public use data files. Applicants should also propose an approach for interim data analysis to support the work of a Data Safety Monitoring Board, should one be required for any or all study protocols.
C. Logistical Support Capacity
Coordinating Center applicants should describe their capacity, experience, and expertise at providing logistical support for a multi-site cooperative. Applications should describe an overall approach, with details as necessary, to facilitating communication among NIDA, the funded Research Centers and partnering agencies on the Steering Committee, subcommittees, and workgroups. Logistical support includes support for convening semi-annual in-person Steering Committee meetings (at NIDA or NIH facilities in Bethesda, MD); communications support for subcommittees and workgroups (including conference call lines, webinar hosting, and secure document sharing); and maintaining a public project website. The applicant should demonstrate familiarity and compliance with any applicable Federal information technology security requirements.
Resource Sharing Plan
Individuals are required to comply with the instructions for the Resource Sharing Plans (Data Sharing Plan, Sharing Model Organisms, and Genome Wide Association Studies (GWAS)) as provided in the SF424 (R&R) Application Guide, with the following modification:
Do not use the Appendix to circumvent page limits. Follow all instructions for the Appendix as described in the SF424 (R&R) Application Guide.
Part I. Overview Information contains information about Key Dates. Applicants are encouraged to submit in advance of the deadline to ensure they have time to make any application corrections that might be necessary for successful submission.
Organizations must submit applications via Grants.gov, the online portal to find and apply for grants across all Federal agencies. Applicants must then complete the submission process by tracking the status of the application in the eRA Commons, NIH’s electronic system for grants administration.
Applicants are responsible for viewing their application in the eRA Commons to ensure accurate and successful submission.
Information on the submission process and a definition of on-time submission are provided in the SF424 (R&R) Application Guide.
This initiative is not subject to intergovernmental review.
All NIH awards are subject to the terms and conditions, cost principles, and other considerations described in the NIH Grants Policy Statement.
Pre-award costs are allowable only as described in the NIH Grants Policy Statement.
Applications must be submitted electronically following the instructions described in the SF 424 (R&R) Application Guide. Paper applications will not be accepted.
Applicants must complete all required registrations before the application due date. Section III. Eligibility Information contains information about registration.
For assistance with your electronic application or for more information on the electronic submission process, visit Applying Electronically.
All PD(s)/PI(s) must include their eRA Commons ID in the Credential field of the Senior/Key Person Profile Component of the SF 424(R&R) Application Package. Failure to register in the Commons and to include a valid PD/PI Commons ID in the credential field will prevent the successful submission of an electronic application to NIH.
The applicant organization must ensure that the DUNS number it provides on the application is the same number used in the organization’s profile in the eRA Commons and for the Central Contractor Registration (CCR). Additional information may be found in the SF424 (R&R) Application Guide.
See more tips for avoiding common errors.
Upon receipt, applications will be evaluated for completeness by the Center for Scientific Review and responsiveness by components of participating organizations, NIH. Applications that are incomplete and/or nonresponsive will not be reviewed.
Applicants are required to follow the instructions for post-submission materials, as described in NOT-OD-10-115.
Only the review criteria described below will be considered in the review process. As part of the NIH mission, all applications submitted to the NIH in support of biomedical and behavioral research are evaluated for scientific and technical merit through the NIH peer review system.
Reviewers will provide an overall impact/priority score to reflect their assessment of the likelihood for the project to exert a sustained, powerful influence on the research field(s) involved, in consideration of the following review criteria and additional review criteria (as applicable for the project proposed).
Reviewers will consider each of the review criteria below in the determination of scientific merit, and give a separate score for each. An application does not need to be strong in all categories to be judged likely to have major scientific impact. For example, a project that by its nature is not innovative may be essential to advance a field.
Does the project address an important problem or a critical barrier to progress in the field? If the aims of the project are achieved, how will scientific knowledge, technical capability, and/or clinical practice be improved? How will successful completion of the aims change the concepts, methods, technologies, treatments, services, or preventative interventions that drive this field?
In the context of this FOA, significance will be evaluated based on the entire application, including:
For Research Centers:
For Coordinating Center:
Are the PD(s)/PI(s), collaborators, and other researchers well suited to the project? If Early Stage Investigators or New Investigators, or in the early stages of independent careers, do they have appropriate experience and training? If established, have they demonstrated an ongoing record of accomplishments that have advanced their field(s)? If the project is collaborative or multi-PD(s)/PI(s), do the investigators have complementary and integrated expertise; are their leadership approach, governance and organizational structure appropriate for the project?
In the context of this FOA:
For Research Centers:
For Coordinating Centers:
Does the application challenge and seek to shift current research or clinical practice paradigms by utilizing novel theoretical concepts, approaches or methodologies, instrumentation, or interventions? Are the concepts, approaches or methodologies, instrumentation, or interventions novel to one field of research or novel in a broad sense? Is a refinement, improvement, or new application of theoretical concepts, approaches or methodologies, instrumentation, or interventions proposed?
In the context of this FOA:
For Research Centers:
For Coordinating Centers:
Are the overall strategy, methodology, and analyses
well-reasoned and appropriate to accomplish the specific aims of the project?
Are potential problems, alternative strategies, and benchmarks for success
presented? If the project is in the early stages of development, will the
strategy establish feasibility and will particularly risky aspects be managed?
If the project involves clinical research, are the plans for 1) protection of human subjects from research risks, and 2) inclusion of minorities and members of both sexes/genders, as well as the inclusion of children, justified in terms of the scientific goals and research strategy proposed?
In the context of this FOA:
For Research Centers:
For Coordinating Center:
Will the scientific environment in which the work will be done contribute to the probability of success? Are the institutional support, equipment and other physical resources available to the investigators adequate for the project proposed? Will the project benefit from unique features of the scientific environment, subject populations, or collaborative arrangements?
In the context of this FOA:
For Research Centers:
For Coordinating Center:
As applicable for the project proposed, reviewers will evaluate the following additional items while determining scientific and technical merit, and in providing an overall impact/priority score, but will not give separate scores for these items.
Protections for Human Subjects
For research that involves human subjects but does
not involve one of the six categories of research that are exempt under 45 CFR
Part 46, the committee will evaluate the justification for involvement of human
subjects and the proposed protections from research risk relating to their
participation according to the following five review criteria: 1) risk to
subjects, 2) adequacy of protection against risks, 3) potential benefits to the
subjects and others, 4) importance of the knowledge to be gained, and 5) data
and safety monitoring for clinical trials.
For research that involves human subjects and meets the criteria for one or more of the six categories of research that are exempt under 45 CFR Part 46, the committee will evaluate: 1) the justification for the exemption, 2) human subjects involvement and characteristics, and 3) sources of materials. For additional information on review of the Human Subjects section, please refer to the Human Subjects Protection and Inclusion Guidelines.
Inclusion of Women, Minorities, and Children
When the proposed project involves clinical research, the committee will evaluate the proposed plans for inclusion of minorities and members of both genders, as well as the inclusion of children. For additional information on review of the Inclusion section, please refer to the Human Subjects Protection and Inclusion Guidelines.
The committee will evaluate the involvement of live vertebrate animals as part of the scientific assessment according to the following five points: 1) proposed use of the animals, and species, strains, ages, sex, and numbers to be used; 2) justifications for the use of animals and for the appropriateness of the species and numbers proposed; 3) adequacy of veterinary care; 4) procedures for limiting discomfort, distress, pain and injury to that which is unavoidable in the conduct of scientifically sound research including the use of analgesic, anesthetic, and tranquilizing drugs and/or comfortable restraining devices; and 5) methods of euthanasia and reason for selection if not consistent with the AVMA Guidelines on Euthanasia. For additional information on review of the Vertebrate Animals section, please refer to the Worksheet for Review of the Vertebrate Animal Section.
Reviewers will assess whether materials or procedures proposed are potentially hazardous to research personnel and/or the environment, and if needed, determine whether adequate protection is proposed.
As applicable for the project proposed, reviewers will consider each of the following items, but will not give scores for these items, and should not consider them in providing an overall impact/priority score.
Applications from Foreign Organizations
Select Agent Research
Reviewers will assess the information provided in this section of the application, including 1) the Select Agent(s) to be used in the proposed research, 2) the registration status of all entities where Select Agent(s) will be used, 3) the procedures that will be used to monitor possession use and transfer of Select Agent(s), and 4) plans for appropriate biosafety, biocontainment, and security of the Select Agent(s).
Resource Sharing Plans
Budget and Period of Support
Reviewers will consider whether the budget and the requested period of support are fully justified and reasonable in relation to the proposed research.
Applications will be evaluated for scientific and technical merit by (an) appropriate Scientific Review Group(s), in accordance with NIH peer review policy and procedures, using the stated review criteria. Review assignments will be shown in the eRA Commons.
As part of the scientific peer review, all applications:
Appeals of initial peer review will not be accepted for applications submitted in response to this FOA.
Applications will be assigned to the appropriate NIH Institute or Center. Applications will compete for available funds with all other recommended applications submitted in response to this FOA. Following initial peer review, recommended applications will receive a second level of review by the National Advisory Council on Drug Abuse. The following will be considered in making funding decisions:
After the peer review of the application is completed, the Program Director(s)/Principal Investigator(s) will be able to access his or her Summary Statement (written critique) via the eRA Commons.
Information regarding the disposition of applications is available in the NIH Grants Policy Statement.
If the application is under consideration for funding, NIH
will request "just-in-time" information from the applicant as described
in the NIH
Grants Policy Statement.
A formal notification in the form of a Notice of Award (NoA) will be provided to the applicant organization for successful applications. The NoA signed by the grants management officer is the authorizing document and will be sent via email to the grantee’s business official.
Awardees must comply with any funding restrictions described in Section IV.5. Funding Restrictions. Selection of an application for award is not an authorization to begin performance. Any costs incurred before receipt of the NoA are at the recipient's risk. These costs may be reimbursed only to the extent considered allowable pre-award costs.
Any application awarded in response to this FOA will be subject to the DUNS, CCR Registration, and Transparency Act requirements as noted on the Award Conditions and Information for NIH Grants website.
All NIH grant and cooperative agreement awards include the NIH Grants Policy Statement as part of the NoA. For these terms of award, see the NIH Grants Policy Statement Part II: Terms and Conditions of NIH Grant Awards, Subpart A: General and Part II: Terms and Conditions of NIH Grant Awards, Subpart B: Terms and Conditions for Specific Types of Grants, Grantees, and Activities. More information is provided at Award Conditions and Information for NIH Grants.
Researchers should be knowledgeable of the additional human subjects protections required for "prisoners," a term defined by the Department of Health and Human Services (DHHS) as any individual involuntarily confined or detained in a penal institution. Prisoners may be convicted felons, or may be untried persons who are detained pending judicial action, for example, arraignment or trial. All investigators proposing research involving prisoners or individuals who may enter prisoner status during study involvement should be familiar with OHRP guidance on prisoners as human subjects, which is available on the web at the following URL address: http://www.hhs.gov/ohrp/policy/prisoner.html.
Pursuant to Title 45 of the Code of Federal Regulations, Part 46 Subpart C, Section 46.306, OHRP requires review and approval of research protocols prior to implementation.
Cooperative Agreement Terms and Conditions of Award
The following special terms of award are in addition to, and
not in lieu of, otherwise applicable U.S. Office of Management and Budget (OMB)
administrative guidelines, U.S. Department of Health and Human Services (DHHS)
grant administration regulations at 45 CFR Parts 74 and 92 (Part 92 is
applicable when State and local Governments are eligible to apply), and other
HHS, PHS, and NIH grant administration policies.
The administrative and funding instrument used for this program will be the cooperative agreement, an "assistance" mechanism (rather than an "acquisition" mechanism), in which substantial NIH programmatic involvement with the awardees is anticipated during the performance of the activities. Under the cooperative agreement, the NIH purpose is to support and stimulate the recipients' activities by involvement in and otherwise working jointly with the award recipients in a partnership role; it is not to assume direction, prime responsibility, or a dominant role in the activities. Consistent with this concept, the dominant role and prime responsibility resides with the awardees for the project as a whole, although specific tasks and activities may be shared among the awardees and the NIH as defined below.
The PD(s)/PI(s) will have the primary responsibility for:
NIH staff have substantial programmatic involvement that is above and beyond the normal stewardship role in awards, as described below:
NIDA Project Scientist. A designated NIDA Program Official(s) acting as a Project Scientist(s) will have the following responsibilities:
NIDA Program Official. A NIDA program official will be responsible for the normal scientific and programmatic stewardship of the award and will be named in the award notice. The NIDA Program Official, who will not participate in the research, publications, or Steering Committee, will be responsible for the oversight of each cooperative agreement. The Program Official carries primary responsibility for: (1) periodic review and approval of the progress of the research plans in relation to their stated objectives, and (2) making recommendations regarding continuance of the program. The NIDA Program Official will be responsible for monitoring the conduct of the project and overseeing the individual Research Centers. The Program Official will receive all required progress reports to determine that satisfactory progress is being made and will work collaboratively with the NIDA Grants Management Specialist to assure high quality business management of the program, including the most effective use of Federal financial assistance provided through this cooperative agreement.
DSMB. If warranted by the studies developed by the Cooperative, NIDA will appoint an independent Data Safety Monitoring Board (DSMB) which will oversee and monitor the conduct of research studies to ensure the safety of participants and the validity and integrity of the data. The DSMB will also make independent assessments of treatment effectiveness and whether a study will continue. One or more NIDA staff will serve as nonvoting members on the DSMB.
Other NIDA staff. Subject to Steering Committee invitation, other NIDA staff may attend and participate as non-voting resources to the Steering Committee and/or its subcommittees.
Other Federal staff. The Cooperative will enable cross-Institute and cross-agency collaboration of several types, including facilitating access to juvenile justice system participants, co-funding research studies of particular interest, and providing systems-level expertise. Representatives from Federal agencies that provide resources, assistance, or expertise may be invited to join a panel constituted by NIDA. NIDA will convene meetings of this panel to ensure that these Federal agencies are kept informed of the Cooperative’s progress and findings and to provide a venue for their participation in the Cooperative. Members of the panel may be consulted for advice by the Steering Committee. The NIDA Project Scientist will serve on the Federal panel.
Areas of Joint Responsibility include:
Steering Committee. The Steering Committee constitutes the primary governing body of the Cooperative. Awardees must participate in the Steering Committee. The Steering Committee reviews and approves the research agenda, monitors policies and procedures guiding the research activities, and oversees communications. Awardees agree to abide by those procedures and policies.
Study Plan Development and Implementation. The study plan is a document mutually acceptable to the research site(s), the Steering Committee, and NIDA. Communication at the various stages of development is essential. The NIDA Project Scientist will contribute to study plan design as appropriate by providing information regarding implementation models and methods that can be tested within the Cooperative. NIDA will also review the scientific rationale, programmatic relevance, priority, design, statistical requirements, and implementation of proposed studies.
Data Management, Analysis, and Access. Data generated are the property of the awardee. However, the Coordinating Center and all Research Centers must provide NIDA with access to all data generated under this award, subject to rules specified in any Certificates of Confidentiality obtained by awardees. Data must be shared upon request with the Steering Committee, subcommittees reporting to the Steering Committee, and the Data Safety Monitoring Board. As governed by any Certificates of Confidentiality, data may also be available for external monitoring if required by NIDA's agreements with other Federal agencies.
As the Cooperative is intended to be a national resource, sites must be prepared to share their data under provisions that safeguard the privacy and confidentiality of respondents. Thus, each proposing Research Center should include explicit indications of how they will make their data available for broad use and on what timetable. The awardee will provide for data sharing consistent with its data sharing plan, as approved by NIDA.
Any disagreements that may arise in scientific or programmatic matters (within the scope of the award) between award recipients and the NIH may be brought to Dispute Resolution. A Dispute Resolution Panel composed of three members will be convened. It will have three members: a designee of the Steering Committee chosen without NIH staff voting, one NIH designee, and a third designee with expertise in the relevant area who is chosen by the other two; in the case of individual disagreement, the first member may be chosen by the individual awardee. This special dispute resolution procedure does not alter the awardee's right to appeal an adverse action that is otherwise appealable in accordance with PHS regulation 42 CFR Part 50, Subpart D and DHHS regulation 45 CFR Part 16.
When multiple years are involved, awardees will be required to submit the Non-Competing Continuation Grant Progress Report (PHS 2590) annually and financial statements as required in the NIH Grants Policy Statement.
A final progress report, invention statement, and the expenditure data portion of the Federal Financial Report are required for closeout of an award, as described in the NIH Grants Policy Statement.
The Federal Funding Accountability and Transparency Act of 2006 (Transparency Act), includes a requirement for awardees of Federal grants to report information about first-tier subawards and executive compensation under Federal assistance awards issued in FY2011 or later. All awardees of applicable NIH grants and cooperative agreements are required to report to the Federal Subaward Reporting System (FSRS) available at www.fsrs.gov on all subawards over $25,000. See the NIH Grants Policy Statement for additional information on this reporting requirement.
We encourage inquiries concerning this funding opportunity and welcome the opportunity to answer questions from potential applicants.
GrantsInfo (Questions regarding application instructions and
process, finding NIH grant resources)
eRA Commons Help Desk (Questions regarding eRA Commons
registration, tracking application status, post submission issues)
Phone: 301-402-7469 or 866-504-9552 (Toll Free)
Redonna K. Chandler, Ph.D.
Chief, Services Research Branch
National Institute on Drug Abuse (NIDA)
Mark Swieter, Ph.D.
Chief, Extramural Affairs Branch
Office of Extramural Affairs
National Institute on Drug Abuse (NIDA)
Grants Management Branch
National Institute on Drug Abuse (NIDA)
Recently issued trans-NIH policy notices may affect your application submission. A full list of policy notices published by NIH is provided in the NIH Guide for Grants and Contracts. All awards are subject to the terms and conditions, cost principles, and other considerations described in the NIH Grants Policy Statement.
Awards are made under the authorization of Sections 301 and 405 of the Public Health Service Act as amended (42 USC 241 and 284) and under Federal Regulations 42 CFR Part 52 and 45 CFR Parts 74 and 92.
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NIH Funding Opportunities and Notices
Office of Extramural
National Institutes of Health (NIH)
9000 Rockville Pike
Bethesda, Maryland 20892
Department of Health
and Human Services (HHS)
NIH . . . Turning Discovery Into Health
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