Department of Health and Human Services
National Institutes of Health (NIH) (http://www.nih.gov)
This RFA is developed as a Roadmap initiative. All NIH Institutes and Centers participate in Roadmap initiatives. This RFA will be administered by the National Institute on Drug Abuse (NIDA) on behalf of the NIH. http://www.nida.nih.gov.
Title: Technology Development in Epigenetics (R01)
NOTICE: Applications submitted in response to this Funding Opportunity Announcement (FOA) for Federal assistance must be submitted electronically through Grants.gov (http://www.grants.gov) using the SF424 Research and Related (R&R) forms and the SF424 (R&R) Application Guide
APPLICATIONS MAY NOT BE SUBMITTED IN PAPER FORMAT.
This FOA must be read in conjunction with the application guidelines included with this announcement in Grants.gov/Apply for Grants (hereafter called Grants.gov/Apply).
A registration process is necessary before submission and applicants are highly encouraged to start the process at least four weeks prior to the grant submission date. See Section IV.
Request for Applications (RFA) Number: RFA-RM-07-011
Catalog of Federal Domestic Assistance Number(s)
Release/Posted Date: November 15, 2007
Opening Date: January 14, 2008 (Earliest date an application may be submitted to Grants.gov)
Letters of Intent Receipt Date(s): January 14, 2008
NOTE: On time submission requires that applications be successfully submitted to Grants.gov no later than 5:00 p.m. local time (of the applicant institution/organization).
Application Submission/Receipt Date(s): February 14, 2008
Peer Review Date(s): June/July 2008
Council Review Date(s): August 2008
Earliest Anticipated Start Date(s): September 30, 2008
Additional Information To Be Available Date (Activation Date): N/A
Expiration Date: February 15, 2008
Due Dates for E.O. 12372
Table of Contents
Part I Overview Information
Part II Full Text of Announcement
Section I. Funding Opportunity Description
1. Research Objectives
Section II. Award Information
1. Mechanism of Support
2. Funds Available
Section III. Eligibility Information
1. Eligible Applicants
A. Eligible Institutions
B. Eligible Individuals
2. Cost Sharing or Matching
3. Other-Special Eligibility Criteria
Section IV. Application and Submission Information
1. Request Application Information
2. Content and Form of Application Submission
3. Submission Dates and Times
A. Submission, Review, and Anticipated Start Dates
1. Letter of Intent
B. Submitting an Application Electronically to the NIH
C. Application Processing
4. Intergovernmental Review
5. Funding Restrictions
6. Other Submission Requirements
Section V. Application Review Information
2. Review and Selection Process
A. Additional Review Criteria
B. Additional Review Considerations
C. Sharing Research Data
D. Sharing Research Resources
3. Anticipated Announcement and Award Dates
Section VI. Award Administration Information
1. Award Notices
2. Administrative and National Policy Requirements
Section VII. Agency Contact(s)
1. Scientific/Research Contact(s)
2. Peer Review Contact(s)
3. Financial/Grants Management Contact(s)
Section VIII. Other Information - Required Federal Citations
Part II - Full Text of Announcement
The NIH invites qualified investigators from academic or research institutions to submit an application for this Funding Opportunity Announcement (FOA) whose goal is to stimulate the development of revolutionary epigenetics technologies. Transforming technologies are needed to enable researchers to discover, monitor and catalogue epigenetic events, changes, and alterations related to development and disease. This FOA focuses on innovative research developing new technologies that will significantly change the way that epigenetics research can be performed. There is a sibling announcement to this FOA focused on similar projects, that may not necessarily have preliminary data, using the R21 mechanism (RFA-RM-07-012). In the long term, advances in these areas will enhance our ability to investigate, diagnose and ameliorate human disease with a significant epigenetic component.
The NIH Roadmap is an integrated vision to deepen our understanding of biology, stimulate interdisciplinary research teams, and reshape clinical research to accelerate medical discovery and improve human health. It is a collection of initiatives designed to pursue major opportunities and gaps in biomedical research that no single NIH institute could undertake alone but which the NIH as a whole can address. These initiatives are intended to have tremendous impact on the progress of medical research and to catalyze changes that will have a transforming effect on research to ultimately result in tangible benefits for public health (http://nihroadmap.nih.gov/).
The Roadmap Epigenomics Program is one of the new programs being launched under Roadmap 1.5 beginning in 2008. The program is being developed and implemented by a trans-NIH Epigenomics Working Group. The Working Group convened the “Epigenetics of Human Health and Disease Workshop” in March 2007 (Bethesda, MD) (http://nihroadmap.nih.gov/epigenomics/) and invited leading experts in the field of epigenetics from the United States, Canada and Europe to identify research opportunities and potential areas for international collaboration. Workshop participants identified the following priorities (1) establish a set of “reference epigenomes” based on genome-wide characterization of DNA methylation and multiple histone modification marks in multiple human cell types; (2) characterize the epigenetic states associated with major human diseases, response to environmental stressors, and stages of development; and (3) seek input from researchers in the international community to define standardized protocols and critical reagents requisite for utilizing cutting edge scientific approaches, and coordinate the informatics/data technology platforms and output formats for publicly accessible data generated by the Roadmap Epigenomics Program.
Critical analysis of the NIH epigenetic research portfolio revealed a limited investment in disease-focused research (except cancer); limited tools to measure epigenetic changes across the genome; and limited approaches to mapping reference epigenomes. Moreover, a consensus reached by participants at multiple epigenetic focused meetings was that the research community would greatly benefit from the development of an organized, integrated, publicly accessible database of signature epigenetic profiles of human stem cells, differentiating cells, differentiated cells, and tissues (http://cancerres.aacrjournals.org/cgi/reprint/65/24/11241; http://www.landesbioscience.com/journals/epigenetics/article/heindelEPI1-1.pdf). The integration of sequence variation data from genomic and HapMap (http://www.genome.gov/10005339) data and other components of DNA that will be cataloged by the NIH ENCODE program (http://www.genome.gov/10005107) with the NIH Roadmap epigenomic data will result in a database developed and maintained by the National Center for Biotechnology Information (NCBI) that will be a resource for researchers working to unravel the components of disease and dysfunction in addition to providing important information about health and normal processes.
There are five components of the Roadmap Epigenomics Program. Four of these are being announced concurrently. The RFA numbers and titles are as follows: RM-07-013, Reference Epigenome Mapping Centers; RM-07-014, Epigenomics Data Analysis and Coordination Center (EDACC); RM-07-011 (R01) and RM-07-012 (R21) Technology Development in Epigenetics; and RM-07-015 (R01) and RM-07-016 (R21) Discovery of Novel Epigenetic Marks in Mammalian Cells. A fifth component, addressing the Epigenetics of Human Health and Disease, will be announced in FY2008.
The goals of the Roadmap Epigenomics Program are to establish multiple sets of comprehensive reference epigenomes; develop new reagents and tools for epigenetic research; identify public resources for purified, high quality stem cells, differentiated cells, and tissues; provide publicly accessible data as well as new tools for data integration; and conduct research on novel hypotheses on epigenetic roles in human health and disease.
It is anticipated that the Roadmap Epigenomics Program will make significant impacts on understanding: 1) human health by assessing cell/tissue variation in epigenetic marks during stem cell differentiation, development, aging, and environmental responsiveness; and 2) human by potential identification of biomarkers, and therapeutic targets and tissue regeneration strategies
The purpose of this funding announcement is to stimulate the development of revolutionary epigenetic technologies as part of the Roadmap Epigenomics Program. Transforming technologies are needed to enable researchers to discover and monitor epigenetic events, changes, and alterations related to development and disease. This FOA focuses on innovative research developing new technologies that will significantly change the way that epigenetics research can be performed. A sibling announcement, using the R21 mechanism (RFA-RM-07-012), is focused on similar projects that may not necessarily have preliminary data. In the long term, advances in these areas will enhance our ability to investigate, diagnose and ameliorate human disease with a significant epigenetic component.
The organization of DNA into chromatin presents the cell with the opportunity to use powerful regulatory mechanisms broadly defined as epigenetics. Increasing evidence demonstrates epigenetic mechanisms are linked to gene activation, gene silencing and chromosomal instability. Epigenetic processes act in cell specific, temporally regulated manners to direct normal development, organogenesis, tissue formation, differentiation and aging. Epigenetics is an emerging frontier of science that involves the study of changes in the regulation of gene activity and expression that are not dependent on gene sequence. For purposes of this program, epigenetics refers to both heritable changes in gene activity and expression (in the progeny of cells or of individuals) and also stable, long-term alterations in the transcriptional potential of a cell that are not necessarily heritable. While epigenetics refers to the study of single genes or sets of genes, epigenomics refers to more global analyses of epigenetic changes across the entire genome. Epigenetics is an emerging basic field of science as evidenced by the exponential increase in basic epigenetic research literature citations observed between 1990 and 2006. A similar pattern of escalating citations is now being documented with epigenetics and diseases, and multiple disease focused research initiatives and grants that have been awarded by the NIH in recent years.
Epigenetic regulation of gene transcription apparently plays a pivotal role in the governance of normal and disease development through dynamic transcriptional activities from gametogenesis through embryonic and neonatal stages, and continuing throughout adolescence, adulthood and elderly stages/old age. The growth of epigenetic research in human health, aging and disease is rapidly evolving and has reached a critical point where opportunities exist to make significant inroads in understanding how epigenetically regulated transcription directs normal development, differentiation, specialized tissue/organ function, and aging, as well as a number of disease processes. Multiple lines of study focusing on epigenetic mechanisms have begun to yield information about the normal regulation of transcription and human health.
Alterations in normal gene silencing and activation result in inappropriate patterns of gene expression, adversely affecting phenotypic plasticity and resulting in a broad spectrum of tissue dysfunction and disease outcomes, including but not limited to multiple cancers, autoimmune diseases, neurodegenerative disorders, respiratory disorders, and behavioral disorders. The integration of epigenetics with genetics and environmental influences will be necessary to fully understand mechanisms of complex human diseases. Epigenetic mechanisms which are responsible for temporal and tissue specific activation or silencing of gene transcription include: DNA methylation of CpG islands in promoters and other regions of the genome; chromatin remodeling and higher order chromatin structural alterations; post-translational ATP-dependent modifications which include methylation, acetylation, ubiquination, and phosphorylation of histone tail domains; and gene silencing through RNAs thought to escort epigenomic apparatus to specific genomic loci. There are conceivably additional epigenetic mechanisms that have not yet been discovered or elucidated.
Normal development and aging are also directed by epigenetic processes. Programmed transcriptional activation and de-activation directs the phenotypic plasticity of totipotent stem cells into specialized cells and tissues. Human embryonic stem cells are derived from the inner cell mass of the blastocyst and possess an unlimited capacity for self renewal with the potential to give rise to all differentiated cells in the developing embryo. Epigenetic mechanisms are responsible for governing the programmed patterns of gene expression and silencing that direct differentiation of embryonic stem cells into the specialized cells and tissues (e.g., neurons, muscle cells, hepatic cells, etc.) that are the component of the various organs and tissues that constitute the human body. Recent data indicate that developmental nutrition in combination with environmental exposures may alter gene expression via alteration of epigenetic marks. This altered gene expression in many cases is permanent giving rise to increased susceptibility to disease later in life and even across generations.
Epigenetic research has enormous potential for significantly improving health outcomes through the discovery/development of novel:
This FOA focuses on innovative research developing new technologies that will significantly change the way that epigenetics research can be performed. There is a sibling announcement to this FOA, focused on similar projects that may not necessarily have preliminary data, using the R21 mechanism (RFA-RM-07-012).
We are specifically interested in revolutionary technologies rather than evolutionary changes to currently existing technologies. These novel or transforming technologies or methodologies must have the potential to dramatically enhance the ability of researchers to generate and use epigenetic data and knowledge. Our highest priorities are in the development of technologies that enable epigeneticists to perform research that was previously not possible or that constitutes an order of magnitude or greater improvement on the current state of the art.
Some examples of areas of epigenetics technology development of particular interest are outlined below. These examples illustrate some technologies of interest, but do not constitute an all inclusive list.
The R21 and R01 FOAs on Technology Development in Epigenetics are identical in scientific scope. The R21 mechanism (RFA-RM-07-12) should be used for early stage development of revolutionary technology in the scientific target areas, while the R01 mechanism (RFA-RM-07-11) should be used for later stage, more mature projects.
The R01 applications should be used to further develop a revolutionary technology in one of the scientific target areas. The R01 applications require preliminary data, and should make clear how the proposed studies will enable epigeneticists to perform research that was previously not possible or that constitutes an order of magnitude or greater improvement on the current state of the art (in terms of a quantitative measure such as sensitivity or cost). We are looking for high impact research in these scientific target areas. Applications addressing low impact, incremental improvements to current technologies are not of interest. R01 applicants should pay close attention to the application instructions and review criteria for special requirements concerning the significance of the project to the epigenetics research community, project innovation, and the inclusion of quantitative milestones. Upon receipt, applications will be evaluated for completeness by the Center for Scientific Review and for responsiveness by program staff. Incomplete and non-responsive applications will not be reviewed. The NIH Roadmap is an “incubator space”, and therefore R01 renewals will not be supported with Roadmap funds. However, the PIs of funded R01 grants can tailor their renewal to the programmatic needs of a specific IC and submit through the normal NIH process.
A sustained investment in the development of epigenetics technologies, will lead to significant advances in our ability to measure and monitor epigenetic modifications in vitro and in vivo by the completion of the Roadmap Epigenomics Program incubation period. In the long term, advances in these areas will enhance our ability to investigate, diagnose and ameliorate human disease with a significant epigenetic component.
Technical Assistance Workshop
NIH will conduct a Technical Assistance Workshop and videoconference in Research Triangle Park, NC, on December 7, 2007. This will allow potential applicants to discuss and clarify any issues related to this RFA with NIH staff. Detailed information about the workshop (e.g., time, location, videoconference information, etc.) will be available on the Roadmap Epigenomics Program website at http://nihroadmap.nih.gov/epigenomics, and will also be posted to the NIH Guide. Potential applicants will be able to ask questions of program staff involved in managing the program, both in-person and by teleconference during the workshop, but are encouraged to submit their questions or comments in advance of the meeting by sending an email to email@example.com.
As part of good program management, NIH assesses the implementation and effectiveness of its programs using evaluation tools and techniques. Grantees may be asked to provide information for program evaluation purposes, both locally and at the national level. Such information may be used in evaluations of the Technology Development projects, as well as the “Mid-Course” review of the entire Roadmap Epigenomics Program. Note that the Roadmap Epigenomics Program Mid-Course evaluation will be directed by the Epigenomics Working Group (EWG). Applicants are advised to review the additional details on evaluation that are provided in Section IV.6. Application and Submission Information, “Other Submission Requirements.”
See Section VIII, Other Information - Required Federal Citations, for policies related to this announcement.
The applicant will be solely responsible for planning, directing, and executing the proposed project.
This FOA uses “Just-in-Time” information concepts. It also uses the modular as well as the non-modular budget formats (see https://grants.nih.gov/grants/funding/modular/modular.htm). Specifically, if you are a U.S. organization and are submitting an application with direct costs in each year of $250,000 or less (excluding consortium Facilities and Administrative [F&A] costs), use the PHS398 Modular Budget component provided in the SF424 (R&R) Application Package and SF424 (R&R) Application Guide (see specifically Section 5.4, “Modular Budget Component,” of the Application Guide).
U.S. applicants requesting more than $250,000 in annual direct costs and all foreign applicants must complete and submit budget requests using the Research & Related Budget component found in the application package for this FOA. See NOT-OD-06-096, August 23, 2006.
2. Funds Available
Because the nature and scope of the proposed research will vary from application to application, it is anticipated that the size and duration of each award will also vary. Although the financial plans of the Institutes and Centers (ICs) provide support for this program, awards pursuant to this funding opportunity are contingent upon the availability of funds and the receipt of a sufficient number of meritorious applications.
NIH grants policies as described in the NOT-OD-05-004.
1. Eligible Applicants
1.A. Eligible Institutions
You may submit (an) application(s) if your organization has any of the following characteristics:
1.B. Eligible Individuals
Any individual with the skills, knowledge, and resources necessary to carry out the proposed research is invited to work with their institution 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.
More than one PD/PI, or multiple PDs/PIs, may be designated on the application for projects that require a “team science” approach that clearly does not fit the single-PD/PI model. Additional information on the implementation plans and policies and procedures to formally allow more than one PD/PI on individual research projects is available at https://grants.nih.gov/grants/multi_pi. All PDs/PIs must be registered in the NIH eRA Commons prior to the submission of the application (see http://era.nih.gov/ElectronicReceipt/preparing.htm for instructions).
The decision of whether to apply for a single PD/PI or multiple PD/PI grant is the responsibility of the investigators and applicant organizations and should be determined by the scientific goals of the project. Applications for multiple PD/PI grants will require additional information, as outlined in the instructions below. The NIH review criteria for approach, investigators, and environment have been modified to accommodate applications involving either a single PD/PI or multiple PDs/PIs. When considering multiple PDs/PIs, please be aware that the structure and governance of the PD/PI leadership team as well as the knowledge, skills and experience of the individual PD/PIs will be factored into the assessment of the overall scientific merit of the application. Multiple PDs/PIs on a project share the authority and responsibility for leading and directing the project, intellectually and logistically. Each PD/PI is responsible and accountable to the grantee organization, or, as appropriate, to a collaborating organization, for the proper conduct of the project or program, including the submission of required reports. For further information on multiple PDs/PIs, please see https://grants.nih.gov/grants/multi_pi.
2. Cost Sharing or Matching
Cost sharing is not required.
The most current Grants Policy Statement can be found at: https://grants.nih.gov/archive/grants/policy/nihgps_2003/index.htm#matching_or_cost_sharing
3. Other-Special Eligibility Criteria
Applicants may submit more than one application, provided they are scientifically distinct.
download a SF424 (R&R) Application Package and SF424 (R&R) Application
Guide for completing the SF424 (R&R) forms for this FOA, link to http://www.grants.gov/web/grants/applicants/apply-for-grants.html and follow the directions provided on that Web site.
A one-time registration is required for institutions/organizations at both:
PDs/PIs should work with their institutions/organizations to make sure they are registered in the eRA Commons.
Several additional separate actions are required before an applicant institution/organization can submit an electronic application, as follows:
1) Organizational/Institutional Registration in Grants.gov/Get Registered
3) Project Director/Principal Investigator (PD/PI) Registration in the NIH eRA Commons: Refer to the NIH eRA Commons System (COM) Users Guide.
Both the PD/PI(s) and AOR/SO need separate accounts in the NIH eRA Commons since both are authorized to view the application image.
Note that if a PD/PI is also an NIH peer-reviewer with an Individual DUNS and CCR registration, that particular DUNS number and CCR registration are for the individual reviewer only. These are different than any DUNS number and CCR registration used by an applicant organization. Individual DUNS and CCR registration should be used only for the purposes of personal reimbursement and should not be used on any grant applications submitted to the Federal Government.
Several of the steps of the registration process could take four weeks or more. Therefore, applicants should immediately check with their business official to determine whether their organization/institution is already registered in both Grants.gov and the Commons. The NIH will accept electronic applications only from organizations that have completed all necessary registrations.
Request Application Information
Applicants must download the SF424 (R&R) application forms and the SF424 (R&R) Application Guide for this FOA through Grants.gov/Apply.
Note: Only the forms package directly attached to a
specific FOA can be used. You will not be able to use any other SF424 (R&R)
forms (e.g., sample forms, forms from another FOA), although some of the
"Attachment" files may be useable for more than one FOA.
For further assistance, contact GrantsInfo: Telephone 301-710-0267, Email: GrantsInfo@nih.gov.
Telecommunications for the hearing impaired: TTY 301-451-5936.
2. Content and Form of Application Submission
Prepare all applications using the SF424 (R&R) application forms and in accordance with the SF424 (R&R) Application Guide for this FOA through Grants.gov/APPLY.
The SF424 (R&R) Application Guide is critical to submitting a complete and accurate application to NIH. There are fields within the SF424 (R&R) application components that, although not marked as mandatory, are required by NIH (e.g., the “Credential” log-in field of the “Research & Related Senior/Key Person Profile” component must contain the PD/PI’s assigned eRA Commons User ID). Agency-specific instructions for such fields are clearly identified in the Application Guide. For additional information, see “Frequently Asked Questions – Application Guide, Electronic Submission of Grant Applications.”
The SF424 (R&R) application has several components. Some components are required, others are optional. The forms package associated with this FOA in Grants.gov/APPLY includes all applicable components, required and optional. A completed application in response to this FOA includes the data in the following components:
SF424 (R&R) (Cover component)
Research & Related Project/Performance Site Locations
Research & Related Other Project Information
Research & Related Senior/Key Person
PHS398 Cover Page Supplement
PHS398 Research Plan
PHS398 Modular Budget or Research & Related Budget, as appropriate (See Section IV.6., “Special Instructions,” regarding appropriate required budget component.)
Research & Related Budget (required for foreign applications)
PHS398 Cover Letter File
Research & Related Subaward Budget Attachment(s) Form
Foreign Organizations (Non-domestic (non-U.S.) Entity)
NIH policies concerning grants to foreign (non-U.S.) organizations can be found in the NIH Grants Policy Statement at: https://grants.nih.gov/archive/grants/policy/nihgps_2003/index.htm#_Toc54600260.
Applications from foreign organizations must:
Proposed research should provide special opportunities for furthering research programs through the use of unusual talent, resources, populations, or environmental conditions in other countries that are not readily available in the United States or that augment existing U.S. resources.
Applications with Multiple PDs/PIs
When multiple PDs/PIs are proposed, NIH requires one PD/PI to be designated as the "Contact” PI, who will be responsible for all communication between the PDs/PIs and the NIH, for assembling the application materials outlined below, and for coordinating progress reports for the project. The contact PD/PI must meet all eligibility requirements for PD/PI status in the same way as other PDs/PIs, but has no other special roles or responsibilities within the project team beyond those mentioned above.
Information for the Contact PD/PI should be entered in item 15 of the SF424 (R&R) Cover component. All other PDs/PIs should be listed in the Research & Related Senior/Key Person component and assigned the project role of “PD/PI.” Please remember that all PDs/PIs must be registered in the eRA Commons prior to application submission. The Commons ID of each PD/PI must be included in the “Credential” field of the Research & Related Senior/Key Person component. Failure to include this data field will cause the application to be rejected.
All projects proposing Multiple PDs/PIs will be required to include a new section describing the leadership of the project.
Multiple PD/PI Leadership Plan: For applications designating multiple PDs/PIs, a new section of the research plan, entitled “Multiple PD/PI Leadership Plan” (Section 14 of the Research Plan Component in the SF424 (R&R)), must be included. A rationale for choosing a multiple PD/PI approach should be described. The governance and organizational structure of the leadership team and the research project should be described, including communication plans, process for making decisions on scientific direction, allocation of resources, publications, intellectual property issues, and procedures for resolving conflicts. The roles and administrative, technical, and scientific responsibilities for the project or program should be delineated for the PDs/PIs, and other collaborators.
If budget allocation is planned, the distribution of resources to specific components of the project or the individual PDs/PIs should be delineated in the Leadership Plan. In the event of an award, the requested allocations may be reflected in a footnote on the Notice of Award.
Applications Involving a Single Institution
When all PDs/PIs are within a single institution, follow the instructions contained in the SF424 (R&R) Application Guide.
Applications Involving Multiple Institutions
When multiple institutions are involved, one institution must be designated as the prime institution and funding for the other institution(s) must be requested via a subcontract to be administered by the prime institution. When submitting a detailed budget, the prime institution should submit its budget using the Research & Related Budget component. All other institutions should have their individual budgets attached separately to the Research & Related Subaward Budget Attachment(s) Form. See Section 4.8 of the SF424 (R&R) Application Guide for further instruction regarding the use of the subaward budget form.
When submitting a modular budget, the prime institution completes the PHS398 Modular Budget component only. Information concerning the consortium/subcontract budget is provided in the budget justification. Separate budgets for each consortium/subcontract grantee are not required when using the Modular budget format. See Section 5.4 of the Application Guide for further instruction regarding the use of the PHS398 Modular Budget component.
Applications Involving Federal Agencies
“The requests from federal agencies, including the NIH intramural program, will not include any salary and related fringe benefits for career, career conditional or other federal employees (civilian or uniformed service) with permanent appointments under existing position ceilings or any costs related to administrative or facilities support (equivalent to Facilities and Administrative costs).
In general, the budget requests will be limited to the incremental costs required for carrying out the proposed work. These costs may include salary for staff to be specifically hired under a temporary appointment for the project, consultant costs, equipment, supplies, travel, and other items typically listed under Other Expenses. While support for extramural collaborators may be requested in a separate grant application, funds can be requested for services by an external investigator or contractor as a subcontract/consortium including the applicable indirect (F&A costs) of the contractor/collaborating institution.
Justification must be provided for all requested support and for the Federal employees who will be committed to the project although no funds are requested in the application.
Applicants should indicate the number of person-months devoted to the project, even if no funds are requested for salary and fringe benefits.”
3. Submission Dates and Times
Applications must be received on or before the receipt date described below. See Section IV.3.A. for details.
3.A. Submission, Review, and Anticipated Start Dates
Opening Date: January 14, 2008 (Earliest date an application may be submitted to Grants.gov)
Letters of Intent Receipt Date(s): January 14, 2008
Application Submission/Receipt Date(s): February 14, 2008
Peer Review Date(s): June/July 2008
Council Review Date(s): August 2008
Earliest Anticipated Start Date(s): September 30, 2008
3.A.1. Letter of Intent
Prospective applicants are asked to submit a letter of intent that includes the following information:
Although a letter of intent is not required, is not
binding, and does not enter into the review of a subsequent application, the
information that it contains allows IC staff to estimate the potential review
workload and plan the review.
The letter of intent is to be sent by the date listed at the beginning of this document.
The letter of intent should be sent to:
John Satterlee, Ph.D.
Division of Basic Neuroscience and Behavioral Research
National Institute on Drug Abuse
6001 Executive Blvd., Rm 4264
Bethesda, MD 20892
A letter of intent is not required for the funding opportunity.
3.B. Submitting an Application Electronically to the
To submit an application in response to this FOA, applicants should access this FOA via http://www.grants.gov/web/grants/applicants/apply-for-grants.html and follow steps 1-4. Note: Applications must only be submitted electronically. PAPER APPLICATIONS WILL NOT BE ACCEPTED.
Applications may be submitted on or after the opening date and must be successfully received by Grants.gov no later than 5:00 p.m. local time (of the applicant institution/organization) on the application submission/receipt date(s). (See Section IV.3.A. for all dates.) If an application is not submitted by the receipt date(s) and time, the application may be delayed in the review process or not reviewed.
Once an application package has been successfully submitted through Grants.gov, any errors have been addressed, and the assembled application has been created in the eRA Commons, the PD/PI and the Authorized Organization Representative/Signing Official (AOR/SO) have two business days to view the application image.
Upon receipt, applications will be evaluated for completeness by the Center for Scientific Review (CSR) and responsiveness by the National Institute on Drug Abuse (NIDA). Incomplete and non-responsive applications will not be reviewed.
There will be an acknowledgement of receipt of applications from Grants.gov and the Commons. The submitting AOR receives the Grants.gov acknowledgments. The AOR and the PI receive Commons acknowledgments. Information related to the assignment of an application to a Scientific Review Group is also in the Commons.
Note: Since email can be unreliable, it is the responsibility of the applicant to check periodically on their application status in the Commons.
The NIH will not accept any application in response to this funding opportunity that is essentially the same as one currently pending initial review, unless the applicant withdraws the pending application. However, when a previously unfunded application, originally submitted as an investigator-initiated application, is to be submitted in response to a funding opportunity, it is to be prepared as a NEW application. That is, the application for the funding opportunity must not include an “Introduction” describing the changes and improvements made, and the text must not be marked to indicate the changes from the previous unfunded version of the application.
This initiative is not subject to intergovernmental review.
5. Funding Restrictions
All NIH awards are subject to the terms and conditions, cost principles, and other considerations described in the NIH Grants Policy Statement.
Pre-award costs are allowable. A grantee may, at its own
risk and without NIH prior approval, incur obligations and expenditures to
cover costs up to 90 days before the beginning date of the initial budget
period of a new or competing renewal (formerly “competing continuation”) award
if such costs: are necessary to conduct the project, and would be allowable
under the grant, if awarded, without NIH prior approval. If specific
expenditures would otherwise require prior approval, the grantee must obtain
NIH approval before incurring the cost. NIH prior approval is required for any
costs to be incurred more than 90 days before the beginning date of the initial
budget period of a new or competing renewal award.
The incurrence of pre-award costs in anticipation of a competing or non-competing award imposes no obligation on NIH either to make the award or to increase the amount of the approved budget if an award is made for less than the amount anticipated and is inadequate to cover the pre-award costs incurred. NIH expects the grantee to be fully aware that pre-award costs result in borrowing against future support and that such borrowing must not impair the grantee's ability to accomplish the project objectives in the approved time frame or in any way adversely affect the conduct of the project. See theNIH Grants Policy Statement.
At the very end of their application, the applicant should include no more than one page that includes the following TWO sections: “Technological Innovation” and “Significance to Epigenetics Research”. The Innovation and Significance sections must be clearly labeled as such and contained within the page limit. The “Technological Innovation” section should be used to describe why the proposed new technology would enable epigenetics researchers to perform research that was previously impossible. If the proposed technological change is an enhancement of currently available technology, this paragraph should justify how the enhancement is an order of magnitude improvement over the current state of the art in at least one quantitative measure (for example, sensitivity or throughput or cost savings). The section entitled “Significance to Epigenetics Research” should provide a vision describing the ways this technological improvement will significantly alter how epigenetics researchers do research in the future.
Applications must include a specific section of no more than one page labeled “Milestones” following the Research Design and Methods. Milestones should be well described, quantitative, and scientifically justified. The Milestones section must be clearly labeled as such and contained within the page limit. Specific aims may not be regarded as milestones (unless they include quantitative end points). The specific aims describe the goals and intended path of the research. Quantitative milestones are a way of determining whether an applicant has successfully reached the specified goals. In most cases, applicants should provide a milestone for each specific aim. Milestones should be clearly stated and presented in a quantitative manner, such as numerical specifications of sensitivity and specificity or a count of some desired kind of newly discovered molecule, etc. A few examples of quantitative milestones follow:
a. Demonstration that the technology gives the same result in 95 out of 100 assays
b. Demonstration that the technology is capable of detecting 100 different epigenetic marks from 10 picograms of chromatin.
c. Demonstration that the cost of the new technology is 90% lower than the current technology.
Applications lacking quantitative milestones will not be reviewed.
This initiative is part of a broader program in Epigenomics funded as part of the NIH Roadmap. In order to fulfill requirements for oversight of the Epigenomics Program as a whole, NIH staff may have to present status reports on individual initiatives to coincide with NIH Office of the Director timeframes. Thus, in addition to the annual progress report required at the time of submission of the noncompeting continuation application, awardees may be required to submit additional progress updates at a time to be determined by NIH. Program staff will use information from reports, site visits, etc. to evaluate each grantee’s progress and the success of the overall program. Progress will also be evaluated with the assistance of external advisors at the annual meeting and at the mid-course review of the entire Roadmap Epigenomics Program (see “Management and Evaluation” below).
To accelerate progress in the field of epigenomics, grantees will be expected to participate actively and openly in at least one grantee meeting per year. Substantial information sharing is critical to the program, so how an applicant plans to achieve this would be considered as a term and condition of the award; failure to openly share information will be considered in continued funding consistent with achieving the goals of the program. It is understood that some information developed under the grants will be proprietary and might not be shared immediately without damaging the commercialization potential of the technology. Applicants should describe their plans for participating in the grantee meetings and for managing any appropriate intellectual property concerns in the context of those meetings and other opportunities for information sharing. Other investigators in the field (i.e., not supported under this program) may be invited to participate in these workshops, but their agreement to share information substantially will be a prerequisite to their participation.
Applicants must budget funds for travel of the PD/PI and up to one additional investigator to attend an annual investigators’ meeting in Washington D.C.
Management and Evaluation
The project management team will evaluate the grants through annual progress reports and through annual All Hands Roadmap Epigenomics Program meetings starting in year 1 of the award. PIs of funded projects will be required to attend at least one grantee meeting per year for project evaluation and to facilitate technology transfer to the other components of the Roadmap Epigenomics Program. The annual meeting may include program staff, external advisors, and PIs from all funded awards in the Roadmap Epigenomics Program.
PD/PI Credential (e.g., Agency Login)
The NIH requires the PD/PI(s) to fill in his/her Commons User ID in the “PROFILE – Project Director/Principal Investigator” section, “Credential” log-in field of the “Research & Related Senior/Key Person Profile” component.
The applicant organization must include its DUNS number in its Organization Profile in the eRA Commons. This DUNS number must match the DUNS number provided at CCR registration with Grants.gov. For additional information, see “Frequently Asked Questions – Application Guide, Electronic Submission of Grant Applications.”
Warning: Please be sure that you observe the direct cost, project period, and page number limitations specified above for this FOA. Application processing may be delayed or the application may be rejected if it does not comply with these requirements.
PHS398 Research Plan Component Sections
Items 2-5 of the PHS398 Research Plan component are limited to 25 pages. While each section of the Research Plan component needs to be uploaded separately as a PDF attachment, applicants are encouraged to construct the Research Plan component as a single document, separating sections into distinct PDF attachments just before uploading the files. This approach will enable applicants to better monitor formatting requirements such as page limits. All attachments must be provided to NIH in PDF format, filenames must be included with no spaces or special characters, and a .pdf extension must be used.
All application instructions outlined in the SF424 (R&R) Application Guide are to be followed, incorporating "Just-in-Time" information concepts, and with the following additional requirements:
R01 applications from U.S. institutions/organizations requesting up to $250,000 per year in direct costs (excluding consortium F&A costs) must be submitted in a modular budget format. Additional information on modular budgets is available at https://grants.nih.gov/grants/funding/modular/modular.htm. When submitting a modular budget, the applicant organization will include only the PHS398 Modular Budget component. See Section 5.4 of the SF424 (R&R) Application Guide for further instructions regarding the use of the PHS398 Modular Budget component.
Foreign organizations may not submit modular budgets. See NOT-OD-06-096.
NIH has published new limitations on grant application appendix materials to encourage applications to be as concise as possible while containing the information needed for expert scientific review. See https://grants.nih.gov/grants/guide/notice-files/NOT-OD-07-018.html.
Applicants must follow the specific instructions on Appendix materials as described in the SF424 (R&R) Application Guide (See https://grants.nih.gov/grants/funding/424/index.htm).
Do not use the Appendix to circumvent the page limitations of the Research Plan component. An application that does not observe the required page limitations may be delayed in the review process.
Note: While each section of the PHS398 Research Plan component needs to be uploaded separately as a PDF attachment, applicants are encouraged to construct the Research Plan component as a single document, separating sections into distinct PDF attachments just before uploading the files. This approach will enable applicants to monitor better formatting requirements such as page limits. All attachments must be provided to NIH in PDF format, filenames must be included with no spaces or special characters, and a .pdf extension must be used.
Foreign Applications (Non-domestic (non-U.S.) Entity)
Plan for Sharing Research Data
Technology and data sharing overview
To achieve the goals of this program, projects funded by this RFA are expected to share technological advances and research data. For example, depending on the precise nature of the project, sharing can take place in various ways. Examples of these approaches are described in greater detail in the sections that follow and are consistent with achieving the goals of this program. The PIs of funded projects will be expected to share technological advances and information with other PIs funded by the Roadmap Epigenomics Program through active and open participation in at least one grantee meeting per year. The PIs of funded projects will also be expected to share technological advances and information with epigenetics researchers as a whole and thus need to give thought to an intellectual property management plan necessary to facilitate this sharing.
Applicants who are planning to share data should describe briefly the expected schedule for data sharing, the format of the final dataset, the documentation to be provided, whether or not any analytic tools also will be provided, whether or not a data-sharing agreement will be required and, if so, a brief description of such an agreement (including the criteria for deciding who can receive the data and whether or not any conditions will be placed on their use), and the mode of data sharing (e.g., under their own auspices by mailing a disk or posting data on their institutional or personal website, through a data archive or enclave). The precise content of data-sharing plans will vary, depending on the data being collected and how the investigator is planning to share the data. Investigators choosing to share under their own auspices may wish to enter into a data-sharing agreement. References to data sharing may also be appropriate in other sections of the application.
All applicants are expected to include a plan for sharing research data in their application. The data sharing policy is available at https://grants.nih.gov/grants/policy/data_sharing. All investigators responding to this funding opportunity should include a description of how final research data will be shared, or explain why data sharing is not possible.
The reasonableness of data sharing plans or the rationale for not sharing research data will be assessed by the reviewers. However, reviewers will not factor the proposed data sharing plan into the determination of scientific merit or the priority score. Program staff will be responsible for overseeing the data sharing policy and for assessing the appropriateness and adequacy of proposed data-sharing plans. Applicants are encouraged to discuss their data sharing plans with their program contact prior to submitting their application.
Sharing with other Roadmap Epigenomics Program Grantees
To accelerate progress in the field of epigenomics, grantees will be expected to participate actively and openly in at least one grantee meeting per year. Substantial information sharing is critical to the program, so how an applicant plans to achieve this would be considered as a term and condition of the award; failure to openly share information will be considered in continued funding consistent with achieving the goals of the program. It is understood that some information developed under the grants will be proprietary and might not be shared immediately without damaging the commercialization potential of the technology. Applicants should describe their plans for participating in the grantee meetings and for managing any appropriate intellectual property concerns (see below) in the context of those meetings and other opportunities for information sharing. Other investigators in the field (i.e., not supported under this program) may be invited to participate in these workshops, but their agreement to share information substantially will be a prerequisite to their participation.
Intellectual Property Management Plan
Certain research plans will require collaboration and coordination between investigators at different institutions, some of whom may not be NIH funding recipients and who may have pre-existing intellectual property obligations to third parties. It is anticipated that commercial embodiments of the results of such research may incorporate single inventions shared by several institutions, or multiple inventions each from a separate institution. Therefore, prior to funding, grant applicants are expected to address, for example, how they will coordinate patent prosecution and licensing activities, if necessary to enable a licensee to access the bundle of intellectual property needed to take a product to market on commercially viable terms. Suggested strategies include: (1) assigning intellectual property rights to related inventions to an invention management firm; (2) designating one organization to take the lead on patenting and licensing related inventions; and (3) agreeing in advance that if multiple parties are to independently license-related inventions, the total of stacked royalties will not exceed a predetermined percentage rate. The technology transfer/ intellectual property management/licensing officer or equivalent of the PI's institution is expected to submit an intellectual property management plan, including at least those elements above. Alternatives to the suggested strategies, which accomplish the same goals, will be considered. Intellectual property management plans are a just-in-time requirement and do not need to be included in the grant application but plans will be required before a grant can be awarded. The applicant's institution should avoid exclusively licensing those inventions that are research tools unless either: (1) the field of use of the exclusive license is restricted to commercial use; or (2) the exclusive licensee will make the research tool available on reasonable terms. Applicants are directed to the NIH policy on the dissemination of biological research resources (“research tools”) at https://grants.nih.gov/grants/intell-property_64FR72090.pdf.
Sharing Research Resources
NIH policy expects that grant recipients make unique
research resources readily available for research purposes to qualified
individuals within the scientific community after publication (See the NIH Grants Policy Statement https://grants.nih.gov/archive/archive/grants/policy/nihgps_2003/index.htm and https://grants.nih.gov/archive/grants/policy/nihgps_2003/index.htm#_Toc54600131).
Investigators responding to this funding opportunity should include a plan for
sharing research resources addressing how unique research resources will be
shared or explain why sharing is not possible.
The adequacy of the resources sharing plan and any related data sharing plans will be considered by Program staff of the funding organization when making recommendations about funding applications. The effectiveness of the resource sharing will be evaluated as part of the administrative review of each Non-Competing Grant Progress Report (PHS 2590, https://grants.nih.gov/grants/funding/2590/2590.htm). See Section VI.3. Award Administration Information, “Reporting.”
As the Roadmap Epigenomics Program is a community resource program, NIH expects that not only data, but also resources generated during the course of the program should be made rapidly available to the research community and that sharing plans should follow the same principles and spirit as the proposed rapid data release policy. The applicant should provide specific plans for resource sharing and distribution in the application. The reasonableness of the data sharing plans will be assessed by the reviewers. However, reviewers will not factor the proposed resources sharing plan into the determination of scientific merit or the priority score. The adequacy of the resources sharing plans will be considered by the funding organization when making recommendations about funding applications. The presence of a resources sharing plan will be part of the terms and conditions of the award. The effectiveness of the resource sharing will be evaluated as part of the administrative review of each non-competing Grant Progress Report (PHS 2590, https://grants.nih.gov/grants/funding/2590/2590.htm. See Section VI.3. Award Administration Information, “Reporting.”
Only the review criteria described below will be considered in the review process.
The following will be considered in making funding decisions:
Review and Selection Process
Applications that are complete and responsive to the FOA will be evaluated for scientific and technical merit by an appropriate peer review group convened by the Center for Scientific Review (CSR) in accordance with the review criteria stated below.
As part of the initial merit review, all applications will:
The goals of NIH supported research are to advance our understanding of biological systems, to improve the control of disease, and to enhance health. In their written critiques, reviewers will be asked to comment on each of the following criteria in order to judge the likelihood that the proposed research will have a substantial impact on the pursuit of these goals. Each of these criteria will be addressed and considered in assigning the overall score, weighting them as appropriate for each application.
Significance: Does this study address an important problem? If the aims of the application are achieved, how will scientific knowledge or clinical practice be advanced? What will be the effect of these studies on the concepts, methods, technologies, treatments, services, or preventative interventions that drive this field? Does the application address the goals and objectives outlined in the RFA? Is the potential advance resulting from the proposed work exceptional, in terms of the magnitude of the impact and the size of the scientific community affected? If successful, will this technological improvement significantly alter the way epigenetics researchers do research?
Approach: Are the conceptual or clinical framework, design, methods, and analyses adequately developed, well integrated, well reasoned, and appropriate to the aims of the project? Does the applicant acknowledge potential problem areas and consider alternative tactics? For applications designating multiple PDs/PIs, is the leadership approach, including the designated roles and responsibilities, governance, and organizational structure, consistent with and justified by the aims of the project and the expertise of each of the PDs/PIs?
applications designating multiple PDs/PIs, does the Leadership Plan ensure that
there will be sufficient coordination and communication among the PDs/PIs? Are
the administrative plans for the management of the
research project appropriate, including plans for resolving conflicts?
Innovation: Is the project original or revolutionary? For example: Does the project challenge existing paradigms or clinical practice; address an innovative hypothesis or critical barrier to progress in the field? Does the project develop or employ novel concepts, approaches, methodologies, tools, or technologies for this area?
Does the project develop or employ exceptionally novel concepts, approaches, methodologies, tools, or technologies? Is the hypothesis and/or the proposed methodology unconventional and exceptionally innovative? Does the proposed technological development represent a major leap beyond the current state of the art resulting in new “never before possible” capabilities or “order of magnitude” enhancements, using a quantitative measure such as sensitivity or throughput or cost savings? Does the project challenge existing paradigms or clinical practice; address an innovative hypothesis or critical barrier to progress in the field? Does the project develop or employ novel concepts, approaches, methodologies, tools, or technologies for epigenetic research?
What is the evidence to
demonstrate that the approaches proposed are significantly
more innovative than would normally be expected? Some examples of what might be
highly innovative: the cost of the new technology/assay is only 10 percent that
of the current technology, the speed of new technology/assay is at least 500%
faster than current technology, the technology/assay
gives the same result at least 95 out of 100 assays, the new technology/assay
is at least 10 fold more sensitive, or the technology identifies/measures a
previously unknown but epigenetically important endpoint.
Investigators: Are the investigators appropriately trained and well suited to carry out this work? Is the work proposed appropriate to the experience level of the principal investigator and other researchers? Does the investigative team bring complementary and integrated expertise to the project (if applicable)?
Environment: Does the scientific environment in which the work will be done contribute to the probability of success? Do the proposed studies benefit from unique features of the scientific environment, or subject populations, or employ useful collaborative arrangements? Is there evidence of institutional support?
Special review criteria
Milestones: Are the yearly milestones proposed by the applicant quantitative and appropriate measures of success?
Additional Review Criteria
In addition to the above criteria, the following items will continue to be considered in the determination of scientific merit and the priority score:
Protection of Human Subjects from Research Risk: The
involvement of human subjects and protections from research risk relating to
their participation in the proposed research will be assessed. See the “Human
Subjects Sections” of the PHS398 Research Plan component of the SF424
Inclusion of Women, Minorities and Children in Research: The adequacy of plans to include subjects from both genders, all racial and ethnic groups (and subgroups), and children as appropriate for the scientific goals of the research will be assessed. Plans for the recruitment and retention of subjects will also be evaluated. See the “Human Subjects Sections” of the PHS398 Research Plan component of the SF424 (R&R).
Care and Use of Vertebrate Animals in Research: If vertebrate animals are to be used in the project, the adequacy of the plans for their care and use will be assessed. See the “Other Research Plan Sections” of the PHS398 Research Plan component of the SF424 (R&R).
Biohazards: If materials or procedures are proposed that are potentially hazardous to research personnel and/or the environment, determine if the proposed protection is adequate.
2.B. Additional Review Considerations
Budget and Period of Support: The reasonableness of the proposed budget and the appropriateness of the requested period of support in relation to the proposed research may be assessed by the reviewers. The priority score should not be affected by the evaluation of the budget.
Applications from Foreign Organizations: Whether the project presents special opportunities for furthering research programs through the use of unusual talent, resources, populations, or environmental conditions in other countries that are not readily available in the United States or that augment existing U.S. resources will be assessed.
Sharing Research Data
Data Sharing Plan: The reasonableness of the data sharing plan or the rationale for not sharing research data will be assessed by the reviewers. However, reviewers will not factor the proposed data sharing plan into the determination of scientific merit or the priority score. The presence of a data sharing plan will be part of the terms and conditions of the award. The funding organization will be responsible for monitoring the data sharing policy. https://grants.nih.gov/grants/policy/data_sharing.
NIH policy expects that grant recipients make unique research resources readily available for research purposes to qualified individuals within the scientific community after publication (See the NIH Grants Policy Statement (https://grants.nih.gov/archive/grants/policy/nihgps/part_ii_5.htm#availofrr and http://www.ott.nih.gov/policy/rt_guide_final.html). Investigators responding to this funding opportunity should include a sharing research resources plan addressing how unique research resources will be shared or explain why sharing is not possible.
Program staff will be responsible for the administrative review of the plan for sharing research resources.
The adequacy of the resources sharing plan will be
considered by Program staff of the funding organization when making
recommendations about funding applications. Program staff may negotiate
modifications of the data and resource sharing plans with the awardee before
recommending funding of an application. The final version of the data and
resource sharing plans will become a term and condition of the award of the
grant. The effectiveness of the resource sharing will be evaluated as part of
the administrative review of each Non-Competing Grant
Progress Report (PHS 2590). See Section VI.3. Award Administration Information, “Reporting.”
3. Anticipated Announcement and Award Dates
1. Award Notices
After the peer review of the application is completed, the PD/PI will be able to access their Summary Statement (written critique) via the NIH eRA Commons.
If the application is under consideration for funding, NIH
will request "just-in-time" information from the applicant. For
details, applicants may refer to the NIH
Grants Policy Statement Part II: Terms and Conditions of NIH Grant Awards,
Subpart A: General.
A formal notification in the form of a Notice of Award (NoA) will be provided to the applicant organization. The NoA signed by the grants management officer is the authorizing document. Once all administrative and programmatic issues have been resolved, the NoA will be generated via email notification from the awarding component to the grantee business official (designated in item 12 on the Application Face Page). If a grantee is not email enabled, a hard copy of the NoA will be mailed to the business official.
Selection of an application for award is not an authorization to begin performance. Any costs incurred before receipt of the NoA are at the recipient's risk. These costs may be reimbursed only to the extent considered allowable pre-award costs. See Section IV.5. Application and Submission Information, “Funding Restrictions.”
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.
When multiple years are involved, awardees will be required to submit the Non-Competing Grant Progress Report (PHS 2590) annually and financial statements as required in the NIH Grants Policy Statement.
We encourage your inquiries concerning this funding opportunity and welcome the opportunity to answer questions from potential applicants. Inquiries may fall into three areas: scientific/research, peer review, and financial or grants management issues:
1. Scientific/Research Contact(s):
Division of Basic Neuroscience and Behavioral Research
National Institute on Drug Abuse
6001 Executive Blvd, Room 4264
Bethesda, MD 20892-9555
Telephone: (301) 443-1887
David M. Balshaw, Ph.D.
Division of Extramural Research and Training
National Institute of Environmental Health Sciences
79 T.W. Alexander Drive
Building 4401, 3rd Floor, MD EC-27
Research Triangle Park, NC 27709
Phone: (919) 541-2448
FAX: (919) 541-4937
2. Peer Review Contact(s):
Noni Byrnes, Ph.D.
Center for Scientific Review, Room 5130
Division of Molecular and Cellular Mechanisms
6701 Rockledge Dr
Bethesda, MD 20892-7840
Telephone: (301) 435-1023
3. Financial/Grants Management Contact(s):
Pamela G. Fleming
Chief Grants Management Officer
National Institute on Drug Abuse
6101 Executive Blvd
Suite 250, MSC 8403
Bethesda, MD 20892-8403
Telephone: (301) 443-6710
FAX: (301) 594-6849
OVERNIGHT DELIVERY ADDRESS:
6101 Executive Blvd., Suite 270
Rockville, MD 20852
Required Federal Citations
Use of Animals in Research:
Recipients of PHS support for activities involving live, vertebrate animals must comply with PHS Policy on Humane Care and Use of Laboratory Animals (https://grants.nih.gov/grants/olaw/references/PHSPolicyLabAnimals.pdf) as mandated by the Health Research Extension Act of 1985 (https://grants.nih.gov/grants/olaw/references/hrea1985.htm), and the USDA Animal Welfare Regulations (http://www.nal.usda.gov/awic/legislat/usdaleg1.htm) as applicable.
Human Subjects Protection:
Federal regulations (45 CFR 46) require that applications and proposals involving human subjects must be evaluated with reference to the risks to the subjects, the adequacy of protection against these risks, the potential benefits of the research to the subjects and others, and the importance of the knowledge gained or to be gained (http://www.hhs.gov/ohrp/humansubjects/guidance/45cfr46.htm).
Data and Safety Monitoring Plan:
Data and safety monitoring is required for all types of clinical trials, including physiologic toxicity and dose-finding studies (Phase I); efficacy studies (Phase II); efficacy, effectiveness and comparative trials (Phase III). Monitoring should be commensurate with risk. The establishment of data and safety monitoring boards (DSMBs) is required for multi-site clinical trials involving interventions that entail potential risks to the participants (“NIH Policy for Data and Safety Monitoring,” NIH Guide for Grants and Contracts, https://grants.nih.gov/grants/guide/notice-files/not98-084.html).
Sharing Research Data:
Investigators submitting an NIH application seeking $500,000 or more in direct costs in any single year are expected to include a plan for data sharing or state why this is not possible (https://grants.nih.gov/grants/policy/data_sharing).
Investigators should seek guidance from their institutions, on issues related to institutional policies and local IRB rules, as well as local, State and Federal laws and regulations, including the Privacy Rule. Reviewers will consider the data sharing plan but will not factor the plan into the determination of the scientific merit or the priority score.
Access to Research Data through the Freedom of Information
The Office of Management and Budget (OMB) Circular A-110 has been revised to provide access to research data through the Freedom of Information Act (FOIA) under some circumstances. Data that are (1) first produced in a project that is supported in whole or in part with Federal funds and (2) cited publicly and officially by a Federal agency in support of an action that has the force and effect of law (i.e., a regulation) may be accessed through FOIA. It is important for applicants to understand the basic scope of this amendment. NIH has provided guidance at https://grants.nih.gov/grants/policy/a110/a110_guidance_dec1999.htm. Applicants may wish to place data collected under this funding opportunity in a public archive, which can provide protections for the data and manage the distribution for an indefinite period of time. If so, the application should include a description of the archiving plan in the study design and include information about this in the budget justification section of the application. In addition, applicants should think about how to structure informed consent statements and other human subjects procedures given the potential for wider use of data collected under this award.
Sharing of Model Organisms:
NIH is committed to support efforts that encourage sharing of important research resources including the sharing of model organisms for biomedical research (see https://grants.nih.gov/grants/policy/model_organism/index.htm). At the same time the NIH recognizes the rights of grantees and contractors to elect and retain title to subject inventions developed with Federal funding pursuant to the Bayh Dole Act (see the NIH Grants Policy Statement. Beginning October 1, 2004, all investigators submitting an NIH application or contract proposal are expected to include in the application/proposal a description of a specific plan for sharing and distributing unique model organism research resources generated using NIH funding or state why such sharing is restricted or not possible. This will permit other researchers to benefit from the resources developed with public funding. The inclusion of a model organism sharing plan is not subject to a cost threshold in any year and is expected to be included in all applications where the development of model organisms is anticipated.
Inclusion of Women And Minorities in Clinical Research:
It is the policy of the NIH that women and members of minority groups and their sub-populations must be included in all NIH-supported clinical research projects unless a clear and compelling justification is provided indicating that inclusion is inappropriate with respect to the health of the subjects or the purpose of the research. This policy results from the NIH Revitalization Act of 1993 (Section 492B of Public Law 103-43). All investigators proposing clinical research should read the "NIH Guidelines for Inclusion of Women and Minorities as Subjects in Clinical Research” (https://grants.nih.gov/grants/guide/notice-files/NOT-OD-02-001.html); a complete copy of the updated Guidelines is available at https://grants.nih.gov/grants/funding/women_min/guidelines_amended_10_2001.htm. The amended policy incorporates: the use of an NIH definition of clinical research; updated racial and ethnic categories in compliance with the new OMB standards; clarification of language governing NIH-defined Phase III clinical trials consistent with the SF424 (R&R) application; and updated roles and responsibilities of NIH staff and the extramural community. The policy continues to require for all NIH-defined Phase III clinical trials that: a) all applications or proposals and/or protocols must provide a description of plans to conduct analyses, as appropriate, to address differences by sex/gender and/or racial/ethnic groups, including subgroups if applicable; and b) investigators must report annual accrual and progress in conducting analyses, as appropriate, by sex/gender and/or racial/ethnic group differences.
Inclusion of Children as Participants in Clinical Research:
The NIH maintains a policy that children (i.e., individuals under the age of 21) must be included in all clinical research, conducted or supported by the NIH, unless there are scientific and ethical reasons not to include them.
All investigators proposing research involving human subjects should read the "NIH Policy and Guidelines" on the inclusion of children as participants in research involving human subjects (https://grants.nih.gov/grants/funding/children/children.htm).
Required Education on the Protection of Human Subject Participants:
NIH policy requires education on the protection of human subject participants for all investigators submitting NIH applications for research involving human subjects and individuals designated as key personnel. The policy is available at https://grants.nih.gov/grants/guide/notice-files/NOT-OD-00-039.html.
Human Embryonic Stem Cells (hESC):
Criteria for federal funding of research on hESCs can be found at http://stemcells.nih.gov/index.asp and at https://grants.nih.gov/grants/guide/notice-files/NOT-OD-02-005.html. Only research using hESC lines that are registered in the NIH Human Embryonic Stem Cell Registry will be eligible for Federal funding (http://escr.nih.gov). It is the responsibility of the applicant to provide in the project description and elsewhere in the application as appropriate, the official NIH identifier(s) for the hESC line(s) to be used in the proposed research. Applications that do not provide this information will be returned without review.
NIH Public Access Policy:
NIH-funded investigators are requested to submit to the NIH manuscript submission (NIHMS) system (http://www.nihms.nih.gov) at PubMed Central (PMC) an electronic version of the author's final manuscript upon acceptance for publication, resulting from research supported in whole or in part with direct costs from NIH. The author's final manuscript is defined as the final version accepted for journal publication, and includes all modifications from the publishing peer review process.
NIH is requesting that authors submit manuscripts resulting from 1) currently funded NIH research projects or 2) previously supported NIH research projects if they are accepted for publication on or after May 2, 2005. The NIH Public Access Policy applies to all research grant and career development award mechanisms, cooperative agreements, contracts, Institutional and Individual Ruth L. Kirschstein National Research Service Awards, as well as NIH intramural research studies. The Policy applies to peer-reviewed, original research publications that have been supported in whole or in part with direct costs from NIH, but it does not apply to book chapters, editorials, reviews, or conference proceedings. Publications resulting from non-NIH-supported research projects should not be submitted.
For more information about the Policy or the submission process, please visit the NIH Public Access Policy Web site at http://publicaccess.nih.gov/ and view the Policy or other Resources and Tools, including the Authors' Manual.
Standards for Privacy of Individually Identifiable Health Information:
The Department of Health and Human Services (DHHS) issued final modification to the "Standards for Privacy of Individually Identifiable Health Information", the "Privacy Rule", on August 14, 2002. The Privacy Rule is a federal regulation under the Health Insurance Portability and Accountability Act (HIPAA) of 1996 that governs the protection of individually identifiable health information, and is administered and enforced by the DHHS Office for Civil Rights (OCR).
Decisions about applicability and implementation of the Privacy Rule reside with the researcher and his/her institution. The OCR website (http://www.hhs.gov/ocr/) provides information on the Privacy Rule, including a complete Regulation Text and a set of decision tools on "Am I a covered entity?" Information on the impact of the HIPAA Privacy Rule on NIH processes involving the review, funding, and progress monitoring of grants, cooperative agreements, and research contracts can be found at https://grants.nih.gov/grants/guide/notice-files/NOT-OD-03-025.html.
URLs in NIH Grant Applications or Appendices:
All applications and proposals for NIH funding must be self-contained within specified page limitations. For publications listed in the appendix and/or Progress report, Internet addresses (URLs) or PubMed Central (PMC) submission identification numbers must be used for publicly accessible on-line journal articles. Publicly accessible on-line journal articles or PMC articles/manuscripts accepted for publication that are directly relevant to the project may be included only as URLs or PMC submission identification numbers accompanying the full reference in either the Bibliography & References Cited section, the Progress Report Publication List section, or the Biographical Sketch section of the NIH grant application. A URL or PMC submission identification number citation may be repeated in each of these sections as appropriate. There is no limit to the number of URLs or PMC submission identification numbers that can be cited.
The Public Health Service (PHS) is committed to achieving the health promotion and disease prevention objectives of "Healthy People 2010," a PHS-led national activity for setting priority areas. This FOA is related to one or more of the priority areas. Potential applicants may obtain a copy of "Healthy People 2010" at http://www.health.gov/healthypeople.
Authority and Regulations:
This program is described in the Catalog of Federal Domestic Assistance at http://www.cfda.gov/ and is not subject to the intergovernmental review requirements of Executive Order 12372 or Health Systems Agency review. 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 Parts 52 and 45 CFR Parts 74 and 92. All awards are subject to the terms and conditions, cost principles, and other considerations described in the NIH Grants Policy Statement.
The PHS strongly encourages all grant recipients to provide a smoke-free workplace and discourage the use of all tobacco products. In addition, Public Law 103-227, the Pro-Children Act of 1994, prohibits smoking in certain facilities (or in some cases, any portion of a facility) in which regular or routine education, library, day care, health care, or early childhood development services are provided to children. This is consistent with the PHS mission to protect and advance the physical and mental health of the American people.
Loan Repayment Programs:
NIH encourages applications for educational loan repayment from qualified health professionals who have made a commitment to pursue a research career involving clinical, pediatric, contraception, infertility, and health disparities related areas. The LRP is an important component of NIH's efforts to recruit and retain the next generation of researchers by providing the means for developing a research career unfettered by the burden of student loan debt. Note that an NIH grant is not required for eligibility and concurrent career award and LRP applications are encouraged. The periods of career award and LRP award may overlap providing the LRP recipient with the required commitment of time and effort, as LRP awardees must commit at least 50% of their time (at least 20 hours per week based on a 40 hour week) for two years to the research. For further information, please see: http://www.lrp.nih.gov.
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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)
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