Part I Overview Information

Department of Health and Human Services

Participating Organizations
National Institutes of Health (NIH), (

Components of Participating Organizations
National Institute on Drug Abuse (NIDA), (

Title:  Pre-Application for the 2011 NIDA Avant-Garde Award Program for HIV/AIDS Research (X02)

Announcement Type

This Funding Opportunity Announcement (FOA) is a reissue of PAR-10-068.

Update: The following update relating to this announcement has been issued:

Program Announcement (PA) Number: PAR-10-287

NOTICE: Applications submitted in response to this Funding Opportunity Announcement (FOA) for Federal assistance must be submitted electronically through ( using the SF424 Research and Related (R&R) forms and the SF424 (R&R) Application Guide. 


This FOA must be read in conjunction with the application guidelines included with this announcement in for Grants (hereafter called

A registration process is necessary before submission and applicants are highly encouraged to start the process at least four (4) weeks prior to the grant submission date. See Section IV.

Catalog of Federal Domestic Assistance Number(s)

Key Dates
Release/Posted Date: September 23, 2010
Opening Date:  January 11, 2011 (Earliest date an application may be submitted to
Letters of Intent Receipt Date(s): Not applicable.
NOTE: On-time submission requires that applications be successfully submitted to no later than 5:00 p.m. local time (of the applicant institution/organization). 
Application Due Date(s): February 11, 2011
Peer Review Date(s): April 2011 
Council Review Date(s): Not applicable
Earliest Anticipated Start Date(s): Not applicable
Additional Information To Be Available Date (Activation Date): Not Applicable
Expiration Date: February 12, 2011

Due Dates for E.O. 12372

Not Applicable

Additional Overview Content

Executive Summary

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
1. Criteria
2. Review and Selection Process
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 Contacts
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

This award is designed to support individual scientists of exceptional creativity who propose cutting edge – and possibly transformative – approaches to major challenges in biomedical and behavioral research on HIV/AIDS that are relevant to drug abuse. The term “avant-garde” is used to describe highly innovative approaches that have the potential to be transformative.  It is hoped that this high-impact research will open new areas of HIV/AIDS research and/or lead to new avenues for treatment and prevention of HIV/AIDS among drug abusers. Proposed research should reflect ideas substantially different from those already being studied by the investigator or others. Biomedical and behavioral research is defined broadly in this announcement as encompassing scientific investigations in the biological, behavioral, clinical, social, physical, chemical, computational, engineering, and mathematical sciences. The award is meant to support individuals who intend to pursue research directions that are not readily supported by other NIH grant mechanisms. The program is not intended simply to expand the funding of an already supported research project, but rather to support highly creative researchers to pursue visionary concepts and approaches to research on HIV/AIDS.

This announcement utilizes the X02 mechanism for submission of pre-applications. Pre-applications are a necessary first step in applying for a 2011 Avant-Garde Award. Pre-applications will be evaluated by a group of external experts. Those investigators whose projects are judged to be the most outstanding will be notified of the opportunity to submit full (DP1) applications under RFA-DA-11-002.

Avant-Garde awardees are required to commit the major portion (at least 51% or 6.1 person months) of their research effort to activities supported by the Avant-Garde Award program. Those who will not be able to meet this requirement should not submit pre-applications.

See Section VIII, Other Information - Required Federal Citations, for policies related to this announcement.

Section II. Award Information

1. Mechanism of Support

This FOA will use the X02 mechanism for submission of pre-applications. Pre-applications are a necessary first step in applying for a 2011 Avant-Garde Award. Pre-applications will be assessed by a group of external reviewers.  Those applicants whose pre-applications are identified as being outstanding (individuals of exceptional creativity with highly innovative projects that are not suited to standard grant mechanisms) will be notified of the opportunity to submit full applications under RFA-DA-11-002 (DP1).   The Project Director/Principal Investigator (PD/PI) will be solely responsible for planning, directing, and executing the proposed project.  

2. Funds Available

All awards will be made under RFA-DA-11-002.  No awards will be made under this FOA.

NIH grants policies as described in the NIH Grants Policy Statement will apply to the applications submitted and awards made in response to this FOA.

Section III. Eligibility Information

1. Eligible Applicants

1.A. Eligible Institutions
The following organizations/institutions are eligible to apply:

Foreign (non-U.S.) organizations are not eligible to apply.

1.B. Eligible Individuals

Any individual(s) with the skills, knowledge, and resources necessary to carry out the proposed research as the PD/PI is invited to work with his/her organization to develop an application for support. Individuals from underrepresented racial and ethnic groups as well as individuals with disabilities are always encouraged to apply for NIH support. Investigators who have not been previously involved in drug abuse research are encouraged to consider the scientific opportunity to contribute to this field. 

Investigators at all career levels who meet the eligibility criteria and are currently engaged in research are eligible to submit applications. The research proposed need not be in a conventional biomedical or behavioral discipline; if the individual’s experience is in non-biological areas, however, he/she must demonstrate a commitment to exploring topics of biomedical or behavioral relevance to HIV/AIDS and drug abuse.

This initiative is to support investigators who intend to pursue new research directions – research that is distinct from that currently or previously conducted by the investigator. Applications for projects that are extensions of ongoing research should not be submitted.  DP1 awardees are required to commit the major portion (at least 51% or 6.1 person months) of their research effort to activities supported by the Avant-Garde Award program.  Those who will not be able to meet this requirement should not submit pre-applications.

Investigators who were not selected for an award in prior years may submit pre-applications this year; however, all pre-applications must be submitted as “new” applications regardless of any previous submission to the program.

Only one PD/PI (i.e., no multiple PDs/PIs) may be designated on the pre-application.  NIH intramural investigators are not eligible for support under this program.

2. Cost Sharing or Matching

This program does not require cost sharing as defined in the current NIH Grants Policy Statement.

3. Other-Special Eligibility Criteria

Number of Applications. An individual may not submit more than one application. There is no limit to the number of applications institutions may submit.

Resubmissions. Resubmissions of applications are not allowed.   

Renewals. Renewals applications are not permitted under this FOA. 

Section IV. Application and Submission Information

To download a SF424 (R&R) Application Package and SF424 (R&R) Application Guide for completing the SF424 (R&R) forms for this FOA, use the “Apply for Grant Electronically” button in this FOA or link to and follow the directions provided on that Web site.


Appropriate registrations with and eRA Commons must be completed on or before the due date in order to successfully submit an applicationSeveral 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 with both and the Commons. All registrations must be complete by the submission deadline for the application to be considered “on-time” (see 3.C.1 for more information about on-time submission).

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 NIH eRA Commons.

Several additional separate actions are required before an applicant can submit an electronic application, as follows:  

1) Organizational/Institutional Registration in Registered  

2) Organizational/Institutional Registration in the eRA Commons

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(s)/PI(s) and AOR/SO need separate accounts in the NIH eRA Commons since both are authorized to view the application image.

Note: The registration process is not sequential.  Applicants should begin the registration processes for both and eRA Commons as soon as their organization has obtained a DUNS number.  Only one DUNS number is required and the same DUNS number must be referenced when completing registration, eRA Commons registration and the SF424 (R&R) forms.

1. Request Application Information

Applicants must download the SF424 (R&R) application forms and the SF424 (R&R) Application Guide for this FOA through

o    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:

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 for this FOA through and in accordance with the SF424 (R&R) Application Guide (

The SF424 (R&R) Application Guide is critical to submitting a complete and accurate application to NIH. Some fields within the SF424 (R&R) application components, 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 includes all applicable components, required and optional. A completed application in response to this FOA includes the data in 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

Optional Components:
PHS398 Cover Letter File
PHS 398 Cover Letter File should be submitted only when submitting a Changed/Corrected Application after the submission date, and should include an explanation for the late submission.

IMPORTANT: Special instructions for the Avant-Garde X02 pre-application are given in Section 6 (Other Submission Requirements).

3. Submission Dates and Times

See Section IV.3.A. for details.

3.A. Submission, Review and Anticipated Start Dates
Opening Date: January 11, 2011 (Earliest date an application may be submitted to  
Application Due Date(s): February 11, 2011 
Peer Review Date(s): April 2011
Council Review Date(s): Not applicable
Earliest Anticipated Start Date(s): Not applicable

3.A.1. Letter of Intent

A letter of intent is not required for the funding opportunity.

3.B. Submitting an Application Electronically to the NIH

To submit an application in response to this FOA, applicants should access this FOA via and follow Steps 1-4. Note:  Applications must only be submitted electronically.  PAPER APPLICATIONS WILL NOT BE ACCEPTED.  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.

3.C. Application Processing

3.C.1 Submitting On-Time

Applications may be submitted on or after the opening date and must be successfully received by no later than 5:00 p.m. local time (of the applicant institution/organization) on the application due date(s). (See Section IV.3.A. for all dates.) If an application is not submitted by the due date(s) and time, the application may be delayed in the review process or not reviewed. All applications must meet the following criteria to be considered “on-time”:

Please visit for detailed information on what to do if or eRA system issues threaten your ability to submit on time.

Submission to is not the last step – applicants must follow their application through to the eRA Commons to check for errors and warnings and view their assembled application!

3.C.2 Viewing an Application in the eRA Commons

Once any eRA identified 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 weekdays (Monday – Friday, excluding Federal holidays) to view the assembled application before it automatically moves forward to NIH for further processing.

Upon receipt, applications will be evaluated for completeness by the Center for Scientific Review, NIH. Incomplete applications will not be reviewed.

There will be an acknowledgement of receipt of applications from and the Commons. The submitting AOR/SO receives the acknowledgments. The AOR/SO 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 an 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 an application that is essentially the same as one already reviewed.

4. Intergovernmental Review

This initiative is not subject to intergovernmental review.

5. Funding Restrictions

 Not applicable

6. Other Submission Requirements


Pre-applications with Multiple PDs/PIs are not allowed.


The following instructions are specific to the Avant-Garde Award X02 pre-applications and are exceptions to the general SF424 instructions.  Pre-applications that do not conform to the specific instructions detailed below will not be assessed.

NOTE: Letters of reference are not required and will not be accepted with pre-applications.  Reference letters will be required of those applicants submitting full (DP1) applications to RFA-DA-11-002


Item Number1 Type of submission: Must be “Pre-application”

Item Number 4.b Agency Routing Identifier: Enter science Area Designation: Designate one area of science from the list below by entering the one-digit code and name of the scientific area (e.g., 1 Natural History and Epidemiology)

1 Natural history and Epidemiology

2 Etiology and Pathogenesis

3 Microbicides

4 Vaccines

5 Behavioral and Social Science

6 Therapeutics

Item Number 8. Type of Application:  Must be “New”

Item Number 12.  Proposed Project:  Enter start date: 9/30/2011; Enter end date: 07/31/2016.

Item Number 15a.  Total Federal Funds Requested:  Enter $0.

Item Number 15b. Total Non-Federal Funds: Enter $0

Item Number 15c.  Total Federal and Non-Federal Funds:  Enter $0.  (See note below.)

Item Number 15d. Estimated Program Income:  Enter $0.

NOTE: $0 is entered for all budget items.  No awards will be made under this pre-application FOA.



Item 1. Are Human Subjects Involved?

 Check “No.”Detailed plans regarding protection of human subjects, inclusion of women and minorities, targeted/planned enrollment, and inclusion of children are not required and should not be submitted with this pre-application.  This information will be required from only those individuals who submit a full application in response to RFA 11-002.

Item 2. Are Vertebrate Animals Used?

 Check “No.” Detailed information regarding the use of vertebrate animals is not required at the time of submission. This information will be required only from those individuals who submit a full application in response to RFA 11-002,

Items 3-6b. Complete as appropriate.

Item Number 7. Project Summary/Abstract:  Attach an abstract (not to exceed 30 lines) describing the goals of the project.  Text only – no figures, animations, or Web links are allowed. 

Item Number 8. Project Narrative:  Attach Public Health Relevance Statement:  In 2-3 sentences written in plain language describe how the proposed research can positively impact HIV/AIDS treatment or prevention among drug abusers. 

Item Number 9.  Bibliography & References Cited:  Do not use.  Reference citations are not required, but may be included in the essay and would be included in the five-page limit.

Item Number 10.  Facilities & Other Resources: Upload a brief statement (1 page maximum) of the facilities to be used for the conduct of the research.

Item Number 11.  Equipment:  Do not use.

Item Number 12.  Most Significant Research Accomplishment :  Attach a description of no more than one page of the applicant’s single most significant publication or research accomplishment.  Applicants should submit one single accomplishment, not a summary of several accomplishments, multiple publications, or background narratives.  Publications or other documents will not be accepted.


Profile – PD/PI – Attach Biographical Sketch:  Complete only for Project Director/Principal Investigator. Do not submit profiles for other senior/key personnel.  Attach the two-page biographical sketch using the format shown in the Application Guide, Section 4.5, omitting Sections A and D. The biosketch should contain Section B (Positions and Honors) and Section C (peer-reviewed publications or manuscripts in press in chronological order).  Do not include Section A (Personal Statement) or  Section D (Research Support).  Do not exceed the two-page limit.

Profile – PD/PI – Attach Current and Pending Support:  Attach a list of Current and Pending Support from all sources, including current year direct costs and percent effort devoted to each project. A statement must be included that, if chosen to receive an award, the applicant will commit a minimum of 51% or 6.1 person months of his/her research effort to the project supported by the Avant-Garde Award. 

Profile – Senior Key Person 1:  Do not use. 

5. PHS 398 COVER PAGE SUPPLEMENT: Complete all fields.


Field 2. Research Plan Attachments

2.2 Specific Aims attachment is required and limited to 1 page.

2.3 Research Strategy-upload 5-page Essay here,

Detailed Instructions for Essay:

In five pages maximum, describe the applicant’s innovative vision for, and the significance of, the HIV/AIDS biomedical or behavioral problem to be addressed, and his/her qualifications to engage in groundbreaking research. The essay should describe the individual's view of the major challenges in HIV/AIDS biomedical or behavioral research to which he/she can make seminal contributions. No detailed scientific plan should be provided since the research plan is expected to evolve during the tenure of the grant. The essay should include the following sections in the order given with the headings as shown below:

Science area: The area of science must be included at the beginning of the Essay (e.g., 1 Natural history and Epidemiology). Applicants must choose a research area from the following list taken from the Trans-NIH Plan for HIV-Related Research:

1 Natural History and Epidemiology

2 Etiology and Pathogenesis

3 Microbicides

4 Vaccines

5 Behavioral and Social Science

6 Therapeutics

The areas of science are used by NIDA staff to assist in assigning pre-applications to the most appropriate reviewers. Include the area of science at the beginning of your essay.

Project title: The project title must be included at the beginning of the essay.

Project description: What is the scientific problem or challenge that will be addressed, and why is this important? What are the pioneering, and possibly high-risk, approaches that, if successful, might lead to groundbreaking or paradigm-shifting results?

Evidence of innovativeness:  What concrete evidence can you provide for your claim of innovativeness? For example, qualities common to many highly innovative people include an interest in, and the ability to integrate, diverse sources of information; an inclination to challenge paradigms and take intellectual risks; persistence in the face of failure; an ability to attract the right collaborators; and the energy and concentration necessary to plan and execute effective strategies for accomplishing goals.

How the planned research differs from your past or current work: Describe how the project represents a new and distinct direction for your research.

Suitability for Avant-Garde Award program: Why is the planned research uniquely suited to the stated goal of the Avant-Garde Award program, rather than a traditional grant mechanism?

Information on collaborations may be included in the essay. Literature references are not required, but, if included, must fit within the five-page limit.  Figures and illustrations may be included but must also fit within the five-page limit.  Do not include links to websites to provide further information. No animations (movies) are allowed in any documents.

7. PHS 398 Cover Letter File (Optional):

Cover letters should be included only when submitting late applications or Changed/Corrected applications after the submission deadline. Do not submit cover letters for initial submissions or for changed/corrected applications submitted before the submission deadline. The cover letter should contain only the following information:

1.  PD/PI name.

2.  Funding Opportunity Title: Pre-application for 2011 NIDA Avant-Garde Award Program for HIV/AIDS Research (X02).

(See full instructions for submitting the Cover Letter Component in Section 5.2 of the Application Guide. Note: Items 3 – 6 of the Guide do not apply to Avant-Garde Award pre-applications.)

PD/PI Credential (e.g., Agency Login)

The NIH requires the PD(s)/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.

Organizational DUNS

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 For additional information, see “Frequently Asked Questions – Application Guide, Electronic Submission of Grant Applications.”

Appendix Materials 

Appendices are not allowed and will not be accepted

Resource Sharing Plan(s)

The following resource sharing policies do not apply to this FOA:
Data Sharing Plan. Not Applicable Sharing Model Organisms. Not Applicable
Genome Wide Association Studies (GWAS). Not Applicable

Section V. Application Review Information

1. Criteria 

Only the review criteria described below will be considered in the review process.

2. Review and Selection Process

Review Process

Pre-applications that are complete will be evaluated by a multidisciplinary group of outside experts convened by NIDA with expertise in HIV/AIDS and drug abuse, who will evaluate pre-applications based on the criteria listed below.  PIs with the most outstanding pre-applications (best address the review criteria) will be notified of the opportunity to submit full applications for the Avant-Garde Award in response to RFA-DA-11-002. Please note that RFA-DA-11-002 includes additional review criteria of significance, investigator(s), innovation, approach, and environment.

In particular, reviewers will evaluate:

Additional Review Criteria 


Additional Review Considerations


3. Anticipated Announcement and Award Dates

Not Applicable

Section VI. Award Administration Information

1. Award Notices

Not Applicable

2. Administrative and National Policy Requirements

Not Applicable

3. Reporting

Not applicable

Section VII. Agency Contacts

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 (program), peer review, and financial or grants management issues:

1. Scientific/Research Contact(s):

Jacques Normand, Ph.D.
Director, AIDS Research Program
National Institute on Drug Abuse
National Institutes of Health
6001 Executive Blvd
Rm 5274 MSC 9581
Bethesda, MD 20892
Telephone: 301-443-1470
Fax: 301-594-5610

2. Peer Review Contact(s):

Mark Swieter, Ph.D.
Extramural Affairs Branch
Office of Extramural Affairs
National Institute on Drug Abuse, NIH, DHHS
6101 Executive Boulevard, Suite 220, MSC 8401
Bethesda, Maryland  20892-8401
Telephone:  (301)  435-1389
FAX:  (301) 443-0538

3. Financial/Grants Management Contact(s):

Carol Alderson
Grants Management Branch
National Institute on Drug Abuse/NIH/DHSS
6001 Executive Blvd., MSC 9541
Rockville, MD 20892-9541
Telephone: 301-933-6196
Fax: 301-594-6849

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 ( as mandated by the Health Research Extension Act of 1985 (, and the USDA Animal Welfare Regulations ( 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 (

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,

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 ( Investigators should seek guidance from their institutions, on issues related to institutional policies and local institutional review board (IRB) rules, as well as local, State and Federal laws and regulations, including the Privacy Rule.

Policy for Genome-Wide Association Studies (GWAS):
NIH is interested in advancing genome-wide association studies (GWAS) to identify common genetic factors that influence health and disease through a centralized GWAS data repository. For the purposes of this policy, a genome-wide association study is defined as any study of genetic variation across the entire human genome that is designed to identify genetic associations with observable traits (such as blood pressure or weight), or the presence or absence of a disease or condition. All applications, regardless of the amount requested, proposing a genome-wide association study are expected to provide a plan for submission of GWAS data to the NIH-designated GWAS data repository, or provide an appropriate explanation why submission to the repository is not possible. Data repository management (submission and access) is governed by the Policy for Sharing of Data Obtained in NIH Supported or Conducted Genome-Wide Association Studies, NIH Guide NOT-OD-07-088. For additional information, see

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 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.

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 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.

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” (; a complete copy of the updated Guidelines is available at 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 (

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

Human Embryonic Stem Cells (hESC):
Criteria for Federal funding of research on hESCs can be found at and at Only research using hESC lines that are registered in the NIH Human Embryonic Stem Cell Registry will be eligible for Federal funding ( 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.

NIH Public Access Policy Requirement:
In accordance with the NIH Public Access Policy, investigators funded by the NIH must submit or have submitted for them to the National Library of Medicine’s PubMed Central (see, an electronic version of their final, peer-reviewed manuscripts upon acceptance for publication, to be made publicly available no later than 12 months after the official date of publication. The NIH Public Access Policy is available at ( For more information, see the Public Access webpage at

Standards for Privacy of Individually Identifiable Health Information:
The Department of Health and Human Services (HHS) 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 HHS 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 ( 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

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.

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 FOA is related to one or more of the priority areas. Potential applicants may obtain a copy of "Healthy People 2010" at

Authority and Regulations:
This program is described in the Catalog of Federal Domestic Assistance at and is not subject to the intergovernmental review requirements of Executive Order 12372. Awards are made under the authorization of Sections 301 and 405 of the Public Health Service Act as amended (42 USC 241 and 284) and under Federal Regulations 42 CFR Part 52 and 45 CFR Parts 74 and 92. 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% or 6 person months 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:

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