and Human Services (HHS)
EXPIRED
Department of Health and Human Services
Participating Organizations
National Institutes of Health (NIH) (http://www.nih.gov)
Components of Participating Organizations
National Heart, Lung, and Blood Institute (NHLBI)
(http://www.nhlbi.nih.gov)
National Institute on Aging (NIA), (http://www.nia.nih.gov/)
National Institute of Nursing Research (NINR),
(http://www.ninr.nih.gov/)
Office of Dietary Supplements (ODS), (http://dietary-supplements.info.nih.gov/)
Title: Nutrition and Diet
in the Causation, Prevention, and Management of Heart Failure (R21)
Announcement Type
This is a reissue of PA-05-089,
which was previously released April 15, 2005.
Update: The following update relating to this announcement has been issued:
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 SF424 (R&R) Application Guide. APPLICATIONS MAY NOT BE SUBMITTED IN PAPER FORMAT.
This FOA must be read in conjunction with the application guidelines provided 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.
Two steps are required for on time submission:
1) The application must be submitted to Grants.gov by 5:00 p.m. local time (of the applicant institution/organization) on the submission date (see Key Dates below).
2) Applicants must complete a verification step in the eRA Commons within two (2) business days of notification from NIH. Note: Since email can be unreliable, it is the responsibility of the applicant to periodically check on their application status in the Commons.
Program Announcement (PA) Number:
PA-06-136
Catalog of Federal Domestic Assistance Number(s)
93.837, 93.866, 93.361
Key Dates
Release/Posted Date: March 3, 2006
Opening Date: May 2, 2006 (Earliest date an application may be submitted
to Grants.gov).
Letters of Intent Receipt Date(s): Not applicable
Application Submission Date(s): http://grants1.nih.gov/grants/funding/submissionschedule.htm
Peer Review Date(s): http://grants1.nih.gov/grants/funding/submissionschedule.htm#reviewandaward.
Council Review Date(s): http://grants1.nih.gov/grants/funding/submissionschedule.htm#reviewandaward
Earliest Anticipated Start Date(s): http://grants1.nih.gov/grants/funding/submissionschedule.htm#reviewandaward.
Additional Information To Be Available Date (Url Activation Date): Not applicable
Expiration Date: March 2, 2009 (now May 8, 2009 per NOT-OD-07-093)
Due Dates for E.O. 12372
Not Applicable
Additional Overview Content
Executive Summary
The purpose of this Funding Opportunity Announcement (FOA) is to encourage submission of investigator-initiated research applications on the role of nutrition and diet in the causation, prevention, and treatment of cardiomyopathies and heart failure. Basic, translational, and applied interdisciplinary research applications with rigorous hypothesis-testing designs for projects in animals or humans are of interest. The overall goal is to develop a satisfactory science base for preventive approaches in high-risk individuals and for rational nutritional management of patients in various stages of heart failure.
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. Sending an Application to the
NIH
C. Application Processing
4. Intergovernmental Review
5. Funding Restrictions
6. Other Submission Requirements
Section V. Application Review
Information
1. Criteria
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
3. Reporting
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
Section I. Funding Opportunity Description
1. Research Objectives
The purpose of this funding opportunity announcement
(FOA) is to encourage submission of investigator-initiated research applications
on the role of nutrition and diet in the causation, prevention, and treatment
of cardiomyopathies and heart failure. Basic, translational, and applied
interdisciplinary research applications with rigorous hypothesis-testing study
designs using animals or humans are of interest. The overall goal is to develop
a satisfactory science base for preventive approaches in high-risk individuals
and for rational nutritional management of patients in various stages of heart
failure.
Background
Public Health Need
Heart failure (HF) syndromes are frequently fatal illnesses in which the heart loses its ability to pump effectively in response to the body's needs. HF is typically a chronic disease, with progressive deterioration of ventricular function occurring over a period of years or even decades. Patients may become incapable of performing even the simplest activities of daily living and are at very high risk of medical complications and death.
Congestive heart failure (CHF), the most severe clinical manifestation of HF, poses an enormous national public health burden. 4.9 million Americans live with CHF. 550,000 new cases are diagnosed yearly, and the average duration of disease is ~9 years. In 2002 CHF accounted for 56,000 deaths, $15 billion in hospital costs, and $28 billion in total costs attributable to health care expenditures and lost productivity. Elderly individuals are at particularly high risk of developing CHF; indeed, CHF is the leading hospital discharge diagnosis from medical wards among this age group. Systolic HF is the most common form found in the elderly. Diastolic HF also occurs frequently in the aged, presenting with dyspnea and decreased exercise tolerance Elderly women are the individuals who are most at risk of developing diastolic HF.
The influence of nutrition on HF phenotypes is poorly understood, although epidemiologic and mechanistic evidence is emerging that dietary factors and alterations in myocardial nutrient metabolism may play a critical role in the development and progression of the disease. This implies that dietary modifications might reduce risk of developing HF or might delay progression to more severe forms. In addition, patients with advanced cardiomyopathies or CHF, including those treated by mechanical assist devices or cardiac transplantation, typically suffer from severe nutritional debilitation. Little guidance is available at present regarding optimal nutritional approaches for advanced cases, but dietary management represents a potentially cost-effective means of improving clinical outcomes for these patients.
Nutrition as a causal factor for heart failure
Nutritional factors have long been etiologically implicated in the development of cardiomyopathies, particularly in animals; the veterinary and agricultural literature provides a thorough documentation of multiple types of nutritional cardiomyopathies in species as diverse as swine, cats, dogs, foxes, rodents, and herbivores. These primarily reflect dietary deficiencies or excesses of micronutrients such as vitamins or trace elements, sometimes in the context of dietary stress from protein restriction or high polyunsaturated fatty acid intake.
Relatively little is known about the external factors that influence the development and severity of HF in humans. In unusual situations, nutritional deficiencies may contribute to the development of human cardiomyopathy; one example is that seen in the interaction of coxsackie virus and selenium/vitamin E deficiency in fostering the development of Keshan disease. Some cases of HF are attributable to agents that directly promote myocardial toxicity, such as excessive intake of alcohol, use of cocaine, or treatment with certain cancer chemotherapeutic agents. Most cases of HF, however, are linked to well-known risk factors for coronary artery disease. The most striking of these is pre-existing hypertension, which appears to be both indirectly and directly linked to HF, as it is a risk factor for coronary artery disease and also is considered to result directly in the development of diastolic HF. For relatively weak contributors such as diet or nutrition, the best way to obtain unbiased estimates of long-term risk is through the use of prospective cohort studies that enroll groups of healthy individuals and then track the development of disease over time. In fact, recent evidence from large, long-term follow-up studies has suggested that dietary and nutritional factors can act as effect modifiers for risk factors such as hypertension, but also may have independent and possible causal effects on HF risk. The role of alcohol is not well understood, with relatively modest intakes appearing protective, but the mechanisms for such an effect are not defined. The strongest evidence to date implicates elevated body mass index, high sodium intake, and elevated homocysteine levels as causal or facilitative in raising risk of HF.
Mechanistic research reinforces the likelihood that the observed epidemiologic findings reflect causal relationships rather than chance associations or confounding. For example, deleterious effects on myocardial function and metabolism, and even myocardial structure, have been observed under controlled conditions for animals and/or humans with varying degrees of obesity, insulin resistance, diabetes, and energy deficiency states such as starvation and anorexia nervosa. Conversely, poor myocardial function can lead to distortions of energy balance as seen in cardiac cachexia or growth failure in children with congenital heart defects. Dietary lipid alterations may have direct myocardial effects, as seen in cholesterol cardiomyopathy of rabbits and long-chain fatty acid accumulation in humans. Also, certain micronutrient imbalances, particularly of electrolyte minerals and trace elements, have been found to adversely affect myocardial function. For most vitamins, however, the role in cardiac function is not well defined, with the exception of thiamine. Non-nutritive dietary compounds (such as coenzyme Q, taurine, and carnitine) that are found in food but also are ingested as dietary supplements have been studied with mixed results; the effects of these compounds on myocardial function are poorly understood.
Nutrition in the management of heart failure
Compared with nutrition guidelines for other cardiovascular conditions, those for HF are minimal. Patients and care providers alike seek well-integrated, robust nutritional guidance that accounts for specific therapeutic needs at various stages of disease, but also places them in a complete dietary context. Thus more information is needed in various HF patient populations regarding dietary macronutrient composition, overall dietary patterns (such as the DASH diet), and the appropriate usage of dietary supplements. Information particularly is needed regarding appropriate weight loss modalities for HF patients who are obese or overweight. Also, given recent recommendations that most HF patients should engage in therapeutic exercise regimens, a better understanding is needed of the role of nutrition in improving exercise tolerance. For example, glycogen-sparing diets may be able to enhance exercise capacity in HF, but have not been tested widely in different patient subgroups, such as those with concurrent diabetes.
Advanced-stage HF patients treated with surgical approaches have unique nutritional problems that to date have been only minimally addressed. Nutritional concerns among patients receiving left ventricular assist devices include impaired gastrointestinal function and high risk of nutrient depletion. Similarly, the optimal nutritional management of cardiac transplant patients is not well developed; problems include pre-transplant debilitation and post-transplant drug-nutrient interactions, obesity, hyperhomocysteinemia, and hyperlipidemia. Better approaches are needed for characterizing nutritional status and managing nutritional support in such patients.
Although dietary guidance often is a component of multi-disciplinary team management of HF patients, it usually is difficult to identify the specific benefits and cost effectiveness of nutrition services compared with other treatment modalities. This is particularly important for HF patients, given that many hospitalizations are ascribed to deviations from diet and medication. Outpatients and hospitalized patients with HF need to be studied in terms of how to achieve good adherence and how to separate adherence vs. efficacy effects for dietary modifications. Research also is needed on behavioral, psychosocial, family support, and other factors that affect the ability of HF patients to achieve adherence to dietary recommendations.
Summary of research needs
Hypothesis-testing research is needed to identify plausible biological mechanisms and to clarify the roles of specific foods, nutrients, and dietary patterns in the development and progression of HF. Information is needed regarding applicability of veterinary, farm, and other animal models of nutrition-related HF to the human situation. Data are particularly needed in relation to the basic etiology and pathophysiology of cardiomyopathies and HF.
There is a dearth of both observational and mechanistic studies related to nutrition in adult and pediatric HF patients at all stages of the disease. Regardless of the original cause of the disease, patients with advanced cardiomyopathies or HF typically suffer from severe nutritional debilitation, but little guidance is available regarding optimal dietary management of such patients. Furthermore, rational dietary management of patients with relatively mild HF has not been fully explored, especially as an adjunct to pharmacologic therapy. Appropriate investigations into delivery of nutrition-related health services also are needed. These would have real potential to generate data that can help in decisions related to design of health care systems, effectiveness of behavioral interventions, and cost effectiveness of various treatment paradigms.
Other topics of interest include studies of cardiac lipotoxicity (especially in association with obesity), cardiac cachexia and other problems of energy balance and metabolism, and nutrient metabolism in HF. There is a need for a more precise definition of cardiac cachexia (based on objective endpoints), as well as research to evaluate its effects on whole body metabolism and cardiac function, and on its treatment. The role of dietary supplements in the management of HF patients needs to be better defined. Evaluations also are needed regarding the potential utility of dietary regimens and nutritional modifications for improving clinical outcomes in patients with HF, cardiomyopathy, heart transplants, or implantable devices.
A diverse array of investigator-initiated projects, solicited through this FOA, could effectively broaden the knowledge base on nutrition and HF. Most trials to date have been short-term and underpowered; the results have been hard to interpret, especially in the context of concurrent pharmacologic therapy; and the cardiac and nutritional endpoints often have been inadequate, preventing robust conclusions. The greatest impact is expected to derive from small, focused, mechanistic studies that can provide a high-caliber evidence base for rational nutritional management of patients in various stages of HF. Such studies should be designed by multidisciplinary teams of investigators including cardiologists, nurses, and nutritionists.
Appropriate designs for studies in humans would address: statistical power; effect size of the intervention; appropriate homogeneity or heterogeneity of patient populations for testing the hypotheses of interest; potential confounding factors; time course of treatment; drop-out rates; dietary intake and nutritional status assessment; treatment compliance methodology; and intermediate measurements and surrogate endpoints relevant to HF research, including biological, clinical, and behavioral responses to specific interventions.
Epidemiology studies focused on the interaction between nutritional status and cardiac function/HF also are needed. Population studies also could be useful in assessing diet-disease risk relationships in population subsets such as patients with obesity, diabetes mellitus, and the metabolic syndrome. Use of established cohorts or existing data sets could provide an efficient research approach, i.e., taking advantage of longitudinal or cross-sectional studies in which nutritional status, dietary, and cardiac function/structure endpoints were measured Existing data sets also could be a valuable resource for hypothesis-generating analyses and could provide descriptive data that might be the basis for power calculations for more focused studies.
Suitable topics for research include, but are not limited to, the following:
See Section VIII, Other Information
- Required Federal Citations, for policies related to this announcement.
Section II. Award Information
1. Mechanism of Support
This funding opportunity will use the National Institutes
of Health (NIH) Exploratory/Development Research Grant (R21) award mechanism.
As an applicant, you will be solely responsible for planning, directing, and
executing the proposed project.
The R21 awards are to demonstrate feasibility and to obtain preliminary data
testing innovative ideas that represent clear departure from ongoing research
interests. These grants are intended to: 1) provide initial support for new
investigators; 2) allow exploration of possible innovative new directions
for established investigators; and 3) stimulate investigators from other areas
to lend their expertise to research within the scope of this solicitation.
This funding opportunity uses just-in-time concepts. It also uses the modular budget formats (see the Modular Applications and Awards section of the NIH Grants Policy Statement: http://grants.nih.gov/grants/policy/policy.htm#gps). Specifically, if you are submitting an application with direct costs in each year of $250,000 or less (excluding consortium F&A costs), use the Modular Budget Component provided in the SF424 (R&R) Application Package and Instructions Guide (See specifically Section 5.4).
The R21 grant support is for new projects only, and will not be renewed. Continuation of projects developed under this program will be through the regular research grant (R01) program. Two resubmissions (formerly called revisions) of a previously reviewed R21 grant application may be submitted as defined in the NIH policy at http://grants.nih.gov/grants/policy/amendedapps.htm.
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 IC(s) 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.
The total project period for an application submitted in response to this funding opportunity may not exceed 2 years. Direct costs are limited to $275,000 over the two years of the R21 award, with no more than $200,000 in direct costs allowed in any single year. For example, you may request $100,000 in the first year and $175,000 in the second year. Applicants may request direct costs in $25,000 modules, up to the total direct costs limitation of $275,000 for the combined two-year award period. NIH grants policies as described in the NIH Grants Policy Statement will apply to the applications submitted and awards made in response to this Program Announcement funding opportunity.
Facilities and administrative (F&A)
costs requested by consortium participants are not included in the direct
cost limitation, see NOT-OD-05-004.
Section III. Eligibility Information
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 programs
2. Cost Sharing or Matching
This program does not require cost sharing as defined the current NIH
Grants Policy Statement.
3. Other-Special Eligibility Criteria
Not applicable.
Section IV. Application and Submission
Information
Registration and Instructions for Submission via Grants.gov
To download an Application Package and Application Guide
for completing the SF424 (R&R) forms for this FOA, link to http://www.grants.gov/Apply/
and follow the directions provided on that Web site.
A one-time registration is required for institutions/organizations at both:
PD/PIs should work with their institutions/organizations to make sure they are registered in the NIH eRA Commons.
Several additional separate actions are required before an applicant institution/organization can submit an electronic application, as follows:
1) Organization/Institutional Registration in Grants.gov/Get Started
Grants.gov Customer Support
Contact Center Phone: 800-518-4726
Business Hours: M-F 7:00 a.m. - 9:00 p.m. Eastern Time
Email [email protected]
2) Organization/Institutional Registration in the eRA Commons
eRA Commons Help Desk
Phone: 301-402-7469 or 866-504-9552 (Toll Free)
TTY: 301-451-5939
Business hours M-F 7:00 a.m. 8:00 p.m. Eastern Time
Email [email protected]
3) Project Director/Principal Investigator (PD/PI) Registration in the NIH eRA Commons: Refer to the NIH eRA Commons System (COM) Users Guide.
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 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.
1. Request Application Information
Applicants must download the SF424 (R&R) application forms and 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.
Applicants 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: [email protected].
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 the SF424 (R&R) Application Guide (MS Word or PDF) instructions.
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 Tips and Tools for Navigating Electronic Submission on the front page of Electronic Submission of Grant Applications.
The SF424 (R&R) application is comprised of data arranged in separate components. Some components are required, others are optional. The forms package associated with this FOA in Grants.gov/APPLY will include all applicable components, required and optional. A completed application in response to this FOA will include the following components:
Required 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 Checklist
PHS398 Modular Budget
Optional Components:
PHS398 Cover Letter File
R&R Subaward Budget Attachment(s) Form
Foreign Organizations
Several special provisions apply to applications submitted
by foreign organizations:
Proposed research should provide
a unique research opportunity not available in the United States.
3. Submission Dates and Times
See Section IV.3.A for
details.
3.A. Submission, Review, and
Anticipated Start Dates
Opening Date: May 2, 2006 (Earliest date an application may be submitted to Grants.gov)
Letter of Intent Receipt Date(s): Not applicable
Application Submission Date(s): Standard dates apply. See http://grants1.nih.gov/grants/funding/submissionschedule.htm
for details.
Peer Review Date(s): Standard dates apply. Please see http://grants.nih.gov/grants/funding/submissionschedule.htm#reviewandaward
for details.
Council Review Date(s): Standard dates apply. Please see http://grants.nih.gov/grants/funding/submissionschedule.htm#reviewandaward
for details.
Earliest Anticipated Start Date: Standard dates apply. Please see http://grants.nih.gov/grants/funding/submissionschedule.htm#reviewandaward
for details.
3.A.1. Letter of Intent
A letter of intent is not required for the funding
opportunity.
3.B. Sending an Application to the NIH
To submit an application in response to this FOA,
applicants should access this FOA via http://www.grants.gov/Apply
and follow steps 1-4. Note: Applications must only be submitted electronically.
PAPER APPLICATIONS WILL NOT BE ACCEPTED.
3.C. Application Processing
Applications may be submitted to Grants.gov on or after the opening date and
must be submitted no later than 5:00 p.m. local time (of the applicant institution/organization) on the application
submission date(s). (See Section IV.3.A. for all
dates.) If an application is not submitted by the submission date(s)
and time, the application may be delayed in the review process or not reviewed.
Upon receipt, applications will be transferred from Grants.gov
to the NIH Electronic Research Administration process for validation. Both
the PD/PI and the Signing Official for the organization must verify the submission
via Commons within 2 business
days of notification of the NIH validation.
Upon receipt, applications will be evaluated for completeness by the Center
for Scientific Review, NIH. Incomplete applications will not be reviewed.
The NIH will not accept any application in response to this FOA that is
essentially the same as one currently pending initial merit review unless
the applicant withdraws the pending application. The NIH will not accept any
application that is essentially the same as one already reviewed. This does
not preclude the submission of an application already reviewed with substantial
changes, but such application must include an Introduction addressing the
previous critique. Note such an application is considered a "resubmission"
for the SF424 (R&R).
There will be an acknowledgement of receipt of applications from Grants.gov
and the Commons. Information related to
the assignment of an application to the Scientific Review Group is also in
the Commons.
4.
Intergovernmental Review
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 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 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 NIH Grants Policy
Statement.
6. Other Submission Requirements
The NIH requires the PD/PI 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 Tips and Tools for Navigating Electronic Submission on the front page of Electronic Submission of Grant Applications.
Renewal (formerly competing continuation or Type 2 ) applications are not permitted.
All application instructions outlined in the SF424 (R&R) application are to be followed, with the following requirements for R21 applications:
Note: While each section of the Research Plan needs to be uploaded separately as a PDF attachment, applicants are encouraged to construct the Research Plan 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.
Plan for Sharing Research Data
The precise content of the data-sharing plan will
vary, depending on the data being collected and how the investigator is planning
to share the data. Applicants who are planning to share data may wish to 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). 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.
Applicants requesting more than $500,000 in direct
costs in any year of the proposed research must include a plan for sharing
research data in their application. The funding organization will be responsible
for monitoring the data sharing policy (http://grants.nih.gov/grants/policy/data_sharing).
The reasonableness of the data sharing plan or the
rationale for not sharing research data may 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.
Sharing Research Resources
NIH policy requires that grant awardee recipients
make unique research resources readily available for research purposes to
qualified individuals within the scientific community after publication (NIH
Grants Policy Statement http://grants.nih.gov/grants/policy/nihgps_2003/NIHGPS_Part7.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, http://grants.nih.gov/grants/funding/2590/2590.htm).
See Section VI.3. Reporting.
Section V. Application Review
Information
1. Criteria (Update: Enhanced review criteria have been issued for the evaluation of research applications received for potential FY2010 funding and thereafter - see NOT-OD-09-025).
Only the review criteria described below will
be considered in the review process.
2. Review and Selection Process
Applications submitted for this funding opportunity
will be assigned to the ICs on the basis of established PHS referral guidelines.
Appropriate scientific review groups convened in accordance
with the standard NIH peer review procedures (http://www.csr.nih.gov/refrev.htm)
will evaluate applications for scientific and technical merit.
As part of the initial merit review, all applications
will:
Applications submitted in response to this funding opportunity will compete for available funds with all other recommended applications. The following will be considered in making funding decisions:
The NIH R21 exploratory/developmental grant is a mechanism for supporting novel scientific ideas or new model systems, tools, or technologies that have the potential to significantly advance our knowledge or the status of health-related research. Because the Research Plan is limited to 15 pages, an exploratory/developmental grant application need not have extensive background material or preliminary information as one might normally expect in an R01 application. Accordingly, reviewers will focus their evaluation on the conceptual framework, the level of innovation, and the potential to significantly advance our knowledge or understanding. Reviewers will place less emphasis on methodological details and certain indicators traditionally used in evaluating the scientific merit of R01 applications, including supportive preliminary data. Appropriate justification for the proposed work can be provided through literature citations, data from other sources, or, when available, from investigator-generated data. Preliminary data are not required; however, they may be included if available.
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.
Note that an application does not need to be strong in all categories to be
judged likely to have a major scientific impact and thus deserve a high priority
score. For example, an investigator may propose to carry out important work
that by its nature is not innovative but is essential to move a field forward.
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?
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?
Innovation: Is the project original and innovative? 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?
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 PD/PI 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?
2.A. 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 item
6 of the Research Plan component of the SF424 (R&R).
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 item 7 of the 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 five items described
under item 11 of the Research Plan component of the SF424 (R&R) will be
assessed.
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: The reasonableness of the proposed budget and the requested
period of support in relation to the proposed research may be assessed by
the reviewers. Is the percent effort listed for the PD/PI appropriate for
the work proposed? Is each budget category realistic and justified in terms
of the aims and methods?
Period of Support:
The appropriateness of the requested period of support in relation to the
proposed research.
2.C. Sharing Research Data
Data Sharing Plan:
The reasonableness of the data sharing plan or the rationale for not sharing
research data may 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 funding organization will be responsible
for monitoring the data sharing policy. http://grants.nih.gov/grants/policy/data_sharing.
Program staff will be responsible for the administrative
review of the plan for sharing research resources.
2.D. Sharing Research Resources
NIH policy requires that grant awardee 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 (http://grants.nih.gov/grants/policy/nihgps_2003/NIHGPS_Part7.htm#_Toc54600131).
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. 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. Reporting.
3. Anticipated Announcement and Award Dates
Not applicable.
Section VI. Award Administration
Information
1. Award Notices
After the peer review of the application is completed,
the PD/PI will be able to access his or her Summary Statement (written critique)
via the 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.
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 Also Section IV.5.
Funding Restrictions.
2. Administrative and National
Policy Requirements
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.
3. Reporting
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 Contacts:
NHLBI
Abby G. Ershow, Sc.D.
Division of Heart and Vascular Diseases
National Heart, Lung, and Blood Institute
6701 Rockledge Drive,
Suite, MSC 7956
Bethesda, MD 20892-7956
Telephone: (301) 435-0550
FAX: (301) 480-2858
Email: [email protected]
Gina S. Wei, MD, MPH
Division of Epidemiology and Clinical Applications
National Heart, Lung, and Blood Institute
6701 Rockledge Drive,
MSC 7934
Telephone: (301) 435-0416
FAX: (301) 480-1667
Email: [email protected]
ODS
Rebecca Costello, Ph.D.
Office of Dietary Supplements
National Institutes of Health
6100 Executive Boulevard,
Room 3B01, MSC 7517
Bethesda, MD 20892-7517
Telephone: (301) 435-2920
FAX: (301) 480-1845
Email: [email protected]
NIA
Susan G. Nayfield, M.D., M.Sc.
Geriatrics and Clinical Gerontology Program
National Institute on Aging
Gateway Building, Suite 3C-307
7201 Wisconsin Avenue
6701
Bethesda, MD 20892-9205
Telephone: (301) 496-6761
FAX: (301) 402-1784
Email: [email protected]
NINR
Karen Huss, R.N.,
D.N.Sc., APRN-BC
Cardiopulmonary Health and Critical
Care Program
Division of Extramural Activities
National Institute of Nursing Research
6701 Democracy Boulevard,
Room 710
Bethesda, MD 20892-4870
Telephone: (301) 594-5970
FAX: (301) 480-8260
Email: [email protected]
2. Peer Review Contacts:
Not applicable.
3. Financial or Grants Management Contacts:
NHLBI
Mr. David Reiter
Grants Operations Branch
National Heart, Lung, and Blood Institute
2 Rockledge Center, Room 7142, MSC 7926
6701 Rockledge Drive
Bethesda, MD 20892-7926 (Express 20817)
Telephone: (301) 435-0144
Fax: (301) 480-3310
Email: [email protected]
NIA
Mr. John Bladen
Grants and Contracts Management Office
National Institute on Aging
Gateway Building, Suite 2N212
7201 Wisconsin Avenue
Bethesda, MD 20892-9205
Phone: (301) 402-7730
Fax: (301) 402-3672
Email: [email protected]
NINR
Mr. Brian Albertini
Office of Grants and Contracts Management
National Institute of Nursing Research
6701 Democracy Boulevard,
Room 710
One Democracy Plaza
Bethesda, MD 20892-4870 (courier use 20817)
Phone: (301) 594-6869
Fax: (301) 402-4502
Email: [email protected]
Section VIII. Other Information
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 (http://grants.nih.gov/grants/olaw/references/PHSPolicyLabAnimals.pdf)
as mandated by the Health Research Extension Act of 1985 (http://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 (45CFR46) 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,
http://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 (http://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 scientific merit or the priority score.
Access to Research Data through the Freedom of
Information Act:
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 http://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 http://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 http://grants.nih.gov/grants/policy/nihgps_2003/index.htm).
All investigators submitting an NIH application or contract proposal, beginning
with the October 1, 2004 receipt date, 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 (http://grants.nih.gov/grants/guide/notice-files/NOT-OD-02-001.html);
a complete copy of the updated Guidelines is available at http://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); 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 (http://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 http://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 http://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
(http://publicaccess.nih.gov/publicaccess_manual.htm).
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 http://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. Unless otherwise specified
in an NIH solicitation, Internet addresses (URLs) should not be used to provide
information necessary to the review because reviewers are under no obligation
to view the Internet sites. Furthermore, we caution reviewers that their anonymity
may be compromised when they directly access an Internet site.
Healthy People 2010:
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 PA
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 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 NIH Grants Policy
Statement can be found at http://grants.nih.gov/grants/policy/policy.htm.
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.
Weekly TOC for this Announcement
NIH Funding Opportunities and Notices
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