Department of Health and Human Services

Part 1. Overview Information

Participating Organization(s)

National Institutes of Health (NIH)

Components of Participating Organizations

National Eye Institute (NEI)

Funding Opportunity Title
NEI Collaborative Clinical Vision Research: Chair's Grant (UG1-Clinical Trial Required)
Activity Code

UG1 Clinical Research Cooperative Agreements - Single Project

Announcement Type
Reissue of PAR-21-041
Related Notices

    See Notices of Special Interest associated with this funding opportunity

  • October 26, 2022  - Reminder: FORMS-H Grant Application Forms & Instructions Must be Used for Due Dates On or After January 25, 2023 - New Grant Application Instructions Now Available - See Notice NOT-OD-23-012
  • August 31, 2022  - Implementation Changes for Genomic Data Sharing Plans Included with Applications Due on or after January 25, 2023 - See Notice NOT-OD-22-198
  • August 8, 2022 - New NIH "FORMS-H" Grant Application Forms and Instructions Coming for Due Dates on or after January 25, 2023 - See Notice NOT-OD-22-195. 
  • August 5, 2022 - Implementation Details for the NIH Data Management and Sharing Policy - see Notice NOT-OD-22-189
Notice of Funding Opportunity (NOFO) Number
Companion Funding Opportunity
Number of Applications

See Section III. 3. Additional Information on Eligibility.

Assistance Listing Number(s)
Funding Opportunity Purpose

 The NEI uses UG1 cooperative agreement awards to support investigator-initiated large-scale clinical trials, human gene-transfer, stem cell therapy trials, and other complex or high resource- or safety-risk clinical trials. These projects are multifaceted and of high public health significance requiring clear delineation of study organization including roles and responsibilities and require careful performance oversight and monitoring.

For purposes of this Notice of Funding Opportunity (NOFO), the proposed study must be intended to evaluate interventions aimed at screening, diagnosing, preventing, or treating vision disorders, or to compare the effectiveness of two or more established interventions.

The NEI UG1-supported studies are typically funded as a group of single-component companion grant awards including the Chair’s Grant, the Coordinating Center, and Resource Centers, when appropriate.

Specifically, this NOFO encourages applications for the Chair's grant, which includes the scientific rationale, study aims and significance of the research project. 

Key Dates

Posted Date
May 25, 2023
Open Date (Earliest Submission Date)
June 12, 2023
Letter of Intent Due Date(s)

Not Applicable

The following table includes NIH standard due dates marked with an asterisk.
Application Due Dates Review and Award Cycles
New Renewal / Resubmission / Revision (as allowed) AIDS Scientific Merit Review Advisory Council Review Earliest Start Date
July 13, 2023 July 13, 2023 September 07, 2023 * November 2023 January 2024 April 2024
September 25, 2023 * September 25, 2023 * January 07, 2024 * March 2024 May 2024 July 2024
January 25, 2024 * January 25, 2024 * May 07, 2024 * July 2024 October 2024 December 2024
May 25, 2024 * May 25, 2024 * September 07, 2024 * November 2024 January 2025 April 2025
September 25, 2024 * September 25, 2024 * January 07, 2025 * March 2025 May 2025 July 2025
January 25, 2025 * January 25, 2025 * May 07, 2025 * July 2025 October 2025 December 2025
May 25, 2025 * May 25, 2025 * September 07, 2025 * November 2025 January 2026 April 2026
September 25, 2025 * September 25, 2025 * January 07, 2026 * March 2026 May 2026 July 2026
January 25, 2026 * January 25, 2026 * May 07, 2026 * July 2026 October 2026 December 2026

All applications are due by 5:00 PM local time of applicant organization. 

Applicants are encouraged to apply early to allow adequate time to make any corrections to errors found in the application during the submission process by the due date.

Expiration Date
May 26, 2026
Due Dates for E.O. 12372

Not Applicable

Required Application Instructions

It is critical that applicants follow the instructions in the Research (R) Instructions in the SF424 (R&R) Application Guide, except where instructed to do otherwise (in this NOFO or in a Notice from NIH Guide for Grants and Contracts).

Conformance to all requirements (both in the Application Guide and the NOFO) is required and strictly enforced. Applicants must read and follow all application instructions in the Application Guide as well as any program-specific instructions noted in Section IV. When the program-specific instructions deviate from those in the Application Guide, follow the program-specific instructions.

Applications that do not comply with these instructions may be delayed or not accepted for review.

There are several options available to submit your application through to NIH and Department of Health and Human Services partners. You must use one of these submission options to access the application forms for this opportunity.

  1. Use the NIH ASSIST system to prepare, submit and track your application online.
  2. Use an institutional system-to-system (S2S) solution to prepare and submit your application to and eRA Commons to track your application. Check with your institutional officials regarding availability.

  3. Use Workspace to prepare and submit your application and eRA Commons to track your application.

  4. Table of Contents

Part 2. Full Text of Announcement

Section I. Notice of Funding Opportunity Description


The mission of the National Eye Institute (NEI) is to eliminate vision loss and improve quality of life through vision research. Applicants should review the NEI Strategic Plan, which outlines seven Areas of Emphasis.

The purpose of this Notice of Funding Opportunity (NOFO) is to provide a framework for applicants seeking a Chair's Grant.

The Chair's Center provides clinical, scientific, and technical leadership in protocol development and implementation for a multicenter or other complex or high resource- or safety-risk clinical trial. The application provides details regarding the protocol, research design, patient population and procedures and methods proposed for accomplishing study goals.

The NEI UG1-supported studies are typically funded as a group of companion grant awards including the Chair’s Grant, the Coordinating Center, and the Resource Centers, as appropriate.

Separate applications may be submitted for Coordinating Centers or Resource Centers under the following respective UG1 companion NOFOs:

  • PAR-23-204, NEI Collaborative Clinical Vision Research Project: Coordinating Center Grant. (The Coordinating Center proposes a role of statistical and methodologic leadership, logistical coordination and trial support, and safety monitoring including support of the Data and Safety Monitoring Committee)
  • PAR-23-201, NEI Collaborative Clinical Vision Research Project: Resource Center Grant. (The Resource Center provides the expertise and infrastructure for imaging, laboratory, or other requisite services)

Scope of this Notice of Funding Opportunity:

The scope of this NOFO is to encourage grant applications for investigator-initiated clinical trials to establish the efficacy or compare the effectiveness of screening, diagnostic, preventative or therapeutic interventions. Renewal applications that request additional years or funds to complete the original aims of a clinical trial will be accepted under this NOFO. Renewal applications may also be submitted to request support to extend follow-up of clinical trial cohorts after completion of the primary study goals to gather information on longer-term outcomes.

As applicable, this NOFO may support laboratory work associated with study product manufacture, repackaging, and distribution; quality assurance (i.e., identity, potency, or other aspects of product integrity); and participants safety.

Applications Not Responsive to this NOFO:

The following types of activities remain outside of the scope of this NOFO, and applications proposing such activities will be considered non-responsive to this NOFO and will be withdrawn without review:

  • Applications involving a clinical experiment that is not directly intended to evaluate a screening, diagnostic, preventative, or therapeutic intervention, or compare the effectiveness of established interventions, are not suitable for this NOFO.
  • Applications that are not complex or of high resource-or safety-risk are not suitable for this NOFO.
  • Preclinical, developmental, or preparatory studies for gene transfer and stem cell therapy are not supported under this NOFO.
  • NIH-defined clinical trial applications proposing basic experimental studies with humans (BESH) and/or minimal risk studies are not supported under this NOFO.

Applicants are strongly encouraged to contact Scientific/Research staff as plans for an application are being developed (see Section VII, Agency Contacts), and no later than 12 weeks prior to the anticipated application submission date. 

See Section VIII. Other Information for award authorities and regulations.

Investigators proposing NIH-defined clinical trials may refer to the Research Methods Resources website for information about developing statistical methods and study designs.

Section II. Award Information

Funding Instrument

Cooperative Agreement: A support mechanism used when there will be substantial Federal scientific or programmatic involvement. Substantial involvement means that, after award, NIH scientific or program staff will assist, guide, coordinate, or participate in project activities. See Section VI.2 for additional information about the substantial involvement for this NOFO.

Application Types Allowed

The OER Glossary and the SF424 (R&R) Application Guide provide details on these application types. Only those application types listed here are allowed for this NOFO.

Clinical Trial?

Required: Only accepting applications that propose clinical trial(s).

Funds Available and Anticipated Number of Awards

The number of awards is contingent upon NIH appropriations and the submission of a sufficient number of meritorious applications. 

Award Budget
Application budgets are not limited but need to reflect the actual needs of the proposed project.
Award Project Period

The scope of the proposed project should determine the project period. The maximum period is five years.  

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

Section III. Eligibility Information

1. Eligible Applicants

Eligible Organizations

Higher Education Institutions

  • Public/State Controlled Institutions of Higher Education
  • Private Institutions of Higher Education

The following types of Higher Education Institutions are always encouraged to apply for NIH support as Public or Private Institutions of Higher Education:

  • Hispanic-serving Institutions
  • Historically Black Colleges and Universities (HBCUs)
  • Tribally Controlled Colleges and Universities (TCCUs)
  • Alaska Native and Native Hawaiian Serving Institutions
  • Asian American Native American Pacific Islander Serving Institutions (AANAPISIs)

Nonprofits Other Than Institutions of Higher Education

  • Nonprofits with 501(c)(3) IRS Status (Other than Institutions of Higher Education)
  • Nonprofits without 501(c)(3) IRS Status (Other than Institutions of Higher Education)

For-Profit Organizations

  • Small Businesses
  • For-Profit Organizations (Other than Small Businesses)

Local Governments

  • State Governments
  • County Governments
  • City or Township Governments
  • Special District Governments
  • Indian/Native American Tribal Governments (Federally Recognized)
  • Indian/Native American Tribal Governments (Other than Federally Recognized)

Federal Government

  • Eligible Agencies of the Federal Government
  • U.S. Territory or Possession


  • Independent School Districts
  • Public Housing Authorities/Indian Housing Authorities
  • Native American Tribal Organizations (other than Federally recognized tribal governments)
  • Faith-based or Community-based Organizations
  • Regional Organizations
  • Non-domestic (non-U.S.) Entities (Foreign Institutions)
Foreign Institutions

Non-domestic (non-U.S.) Entities (Foreign Institutions) are eligible to apply.

Non-domestic (non-U.S.) components of U.S. Organizations are eligible to apply.

Foreign components, as defined in the NIH Grants Policy Statement, are allowed. 

Required Registrations

Applicant Organizations

Applicant organizations must complete and maintain the following registrations as described in the SF 424 (R&R) Application Guide to be eligible to apply for or receive an award. All registrations must be completed prior to the application being submitted. Registration can take 6 weeks or more, so applicants should begin the registration process as soon as possible. The NIH Policy on Late Submission of Grant Applications states that failure to complete registrations in advance of a due date is not a valid reason for a late submission.

  • System for Award Management (SAM) – Applicants must complete and maintain an active registration, which requires renewal at least annually. The renewal process may require as much time as the initial registration. SAM registration includes the assignment of a Commercial and Government Entity (CAGE) Code for domestic organizations which have not already been assigned a CAGE Code.
    • NATO Commercial and Government Entity (NCAGE) Code – Foreign organizations must obtain an NCAGE code (in lieu of a CAGE code) in order to register in SAM.
    • Unique Entity Identifier (UEI) - A UEI is issued as part of the registration process. The same UEI must be used for all registrations, as well as on the grant application.
  • eRA Commons - Once the unique organization identifier is established, organizations can register with eRA Commons in tandem with completing their registration; all registrations must be in place by time of submission. eRA Commons requires organizations to identify at least one Signing Official (SO) and at least one Program Director/Principal Investigator (PD/PI) account in order to submit an application.
  • – Applicants must have an active SAM registration in order to complete the registration.

Program Directors/Principal Investigators (PD(s)/PI(s))

All PD(s)/PI(s) must have an eRA Commons account.  PD(s)/PI(s) should work with their organizational officials to either create a new account or to affiliate their existing account with the applicant organization in eRA Commons. If the PD/PI is also the organizational Signing Official, they must have two distinct eRA Commons accounts, one for each role. Obtaining an eRA Commons account can take up to 2 weeks.

Eligible Individuals (Program Director/Principal Investigator)

Any individual(s) with the skills, knowledge, and resources necessary to carry out the proposed research as the Program Director(s)/Principal Investigator(s) (PD(s)/PI(s)) is invited to work with their organization to develop an application for support. Individuals from diverse backgrounds, including underrepresented racial and ethnic groups, individuals with disabilities, and women are always encouraged to apply for NIH support. See, Reminder: Notice of NIH's Encouragement of Applications Supporting Individuals from Underrepresented Ethnic and Racial Groups as well as Individuals with Disabilities, NOT-OD-22-019.

For institutions/organizations proposing multiple PDs/PIs, visit the Multiple Program Director/Principal Investigator Policy and submission details in the Senior/Key Person Profile (Expanded) Component of the SF424 (R&R) Application Guide.

2. Cost Sharing

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

3. Additional Information on Eligibility

Number of Applications

Applicant organizations may submit more than one application, provided that each application is scientifically distinct.

The NIH will not accept duplicate or highly overlapping applications under review at the same time, per Submission of Resubmission Application. This means that the NIH will not accept:

  • A new (A0) application that is submitted before issuance of the summary statement from the review of an overlapping new (A0) or resubmission (A1) application.
  • A resubmission (A1) application that is submitted before issuance of the summary statement from the review of the previous new (A0) application.
  • An application that has substantial overlap with another application pending appeal of initial peer review (see Similar, Essentially Identical, or Identical Applications)

Section IV. Application and Submission Information

1. Requesting an Application Package

The application forms package specific to this opportunity must be accessed through ASSIST, Workspace or an institutional system-to-system solution. Links to apply using ASSIST or Workspace are available in Part 1 of this NOFO. See your administrative office for instructions if you plan to use an institutional system-to-system solution.

2. Content and Form of Application Submission

It is critical that applicants follow the instructions in the Research (R) Instructions in the SF424 (R&R) Application Guide except where instructed in this notice of funding opportunity to do otherwise. Conformance to the requirements in the Application Guide is required and strictly enforced. Applications that are out of compliance with these instructions may be delayed or not accepted for review.

Page Limitations

All page limitations described in the SF424 Application Guide and the Table of Page Limits must be followed.

Instructions for Application Submission

The following section supplements the instructions found in the SF424 (R&R) Application Guide and should be used for preparing an application to this NOFO.

SF424(R&R) Cover

All instructions in the SF424 (R&R) Application Guide must be followed.

SF424(R&R) Project/Performance Site Locations

All instructions in the SF424 (R&R) Application Guide must be followed.

SF424(R&R) Other Project Information

All instructions in the SF424 (R&R) Application Guide must be followed.

The following must be included as an attachment, if applicable

Other Attachments:

Clinical Protocol (required) – a full clinical protocol must be included. The FDA and NIH developed a Clinical Trial Protocol Template (See which can be modified for any type of clinical trial.

The filename "ClinicalProtocol.pdf" should be used and will be reflected in the final image bookmarking for easy access to reviewers.

Milestone Plan (required) – Applicants are required to provide detailed project performance and timeline objectives. The proposed milestones must include achievable goals for the project as follows:

  • Completion of start-up activities as applicable (finalization of protocol, completion of any final regulatory approvals, contracting of sites, registration in, etc.)
  • Enrollment of 25%, 50%, 75% and 100% of the projected recruitment
  • Completion of data collection
  • Completion of primary and major secondary endpoint analyses
  • Publication of primary outcome manuscript(s)
  • Preparation of final dataset for public use and data sharing
  • Reporting of results in

The filename "MilestonePlan.pdf" should be used and will be reflected in the final image bookmarking for easy access to reviewers.

Overall Study Organization, Administration, and Procedures (required) – Without repeating information on the PHS Human Subjects and Clinical Trials Information form basic elements regarding study organization, administration, and procedures include but are not limited to:

Collaborative arrangements, duties and responsibilities of the Study Chair, Coordinating Center, Resource Centers and clinical sites as applicable; Lines of communication among study components; Administrative arrangements for IRB, FDA, and submissions and adverse event reporting as applicable; Plans and preliminary schedule for preparation, distribution, and review of trial safety monitoring reports; and, provisions for formal documentation of all safety reviews and tracking of safety recommendations and/or action items through implementation.

The filename "StudyOrganization.pdf" should be used and will be reflected in the final image bookmarking for easy access to reviewers.

Manual of Procedures (MOP) (required) – Basic elements in the MOP may include, but are not limited to: visit schedule; examination and testing procedures; expected adverse events; study publication policies, draft Informed consent forms (ICFs) and, if applicable, assent form(s); sample data collection forms; data capture, management, quality assurance and analytical procedures; and applicable clinical center and resource center information.

The filename "MOP.pdf" should be used and will be reflected in the final image bookmarking for easy access to reviewers.

Interventional Agent(s) or Device(s) Availability (if applicable) – Documentation should be provided on the availability of interventional agent(s) or device(s) as well as plans and support for acquisition and distribution of interventional agent(s) or device(s).

The filename "InterventionAvailability.pdf" should be used and will be reflected in the final image bookmarking for easy access to reviewers.

Statistical Analysis Plan (SAP) (optional)– Applicants may attach an SAP as Other Attachment only if this Chair UG1 application is not accompanied by a companion Coordinating Center UG1 application. The SAP must describe study outcome measures and include estimates of treatment effect, power, and sample size. The plan should justify the proposed sample size based on appropriate study assumptions, expected loss to follow-up, and power calculations. The calculations must be linked to the study endpoints and to the hypothesis(es) being tested. The plan should also include a description of the methods to be used in the analysis of the primary outcome data. The SAP should include plans for interim analyses for safety, efficacy and futility, and final analyses; methods of bias control; and methods for handling missing data (as applicable).  This is distinct from the Human Subjects and Clinical Trials information form.

The filename "Statistical Analysis Plan.pdf" should be used and will be reflected in the final image bookmarking for easy access to reviewers.

Clinical Center Table (if applicable) - Applicant must submit an Organizational Table if they are the entity issuing clinical enrollment center subcontracts. Provide a list of institutions and enrollment center PIs involved in the enrollment of participants for the proposed clinical trial and include Federal Wide Assurance (FWA) numbers. Group organizations under the organization to which they report.

The filename "ClinicalCenterTable.pdf" should be used and will be reflected in the final image bookmarking for easy access to reviewers.

Applications that lack appropriate attachments are incomplete, will not be reviewed, and will be withdrawn.

SF424(R&R) Senior/Key Person Profile

All instructions in the SF424 (R&R) Application Guide must be followed.

R&R Budget

All instructions in the SF424 (R&R) Application Guide must be followed.

R&R Subaward Budget

All instructions in the SF424 (R&R) Application Guide must be followed.

PHS 398 Cover Page Supplement

All instructions in the SF424 (R&R) Application Guide must be followed.

PHS 398 Research Plan

All instructions in the SF424 (R&R) Application Guide must be followed, with the following additional instructions:

Specific Aims: This section should include an overview of the proposed trial highlighting its public health relevance and significance with regard to the ability to move vision science forward, and a plan for how the Chair will provide overall leadership.

Research Strategy:

Provide a detailed description of the study including the scientific background, preliminary data and rationale for the proposed investigation.

Provide a description of the study administration including, but not limited to:

  • Scientific, clinical and administrative experience and qualifications of the PD(s)/PI(s) and other study personnel; leadership's past track record and/or future performance potential in clinical research (NEI-sponsored or otherwise);
  • Plans for carrying out the leadership's roles and responsibilities on a day-to-day basis, including coordination of and communication amongst multiple research activities and study entities;
  • Plans for identifying and engaging qualified investigators to participate in the study;
  • Plans for assuring study integrity, protocol fidelity and completion;
  • Plans for manuscript preparation and results dissemination;
  • Organization of, and the leadership's involvement in study committees (e.g., Executive, Steering, Operations, Publications, Data and Safety Monitoring).

Letters of Support: Letters of support from institutions with a key role in the study must be provided.

Resource Sharing Plan:

Individuals are required to comply with the instructions for the Resource Sharing Plans as provided in the SF424 (R& R ) Application Guide. 

With the following modification:

  • Describe plans for supporting timely publication and dissemination of study findings

Other Plan(s):

Note: Effective for due dates on or after January 25, 2023, the Data Management and Sharing Plan will be attached in the Other Plan(s) attachment in FORMS-H application forms packages.

All instructions in the SF424 (R&R) Application Guide must be followed, with the following additional instructions:

  • All applicants planning research (funded or conducted in whole or in part by NIH) that results in the generation of scientific data are required to comply with the instructions for the Data Management and Sharing Plan. All applications, regardless of the amount of direct costs requested for any one year, must address a Data Management and Sharing Plan.

Only limited Appendix materials are allowed. Follow all instructions for the Appendix as described in the SF424 (R&R) Application Guide.

  • No publications or other material, with the exception of blank questionnaires or blank surveys, may be included in the Appendix.
PHS Human Subjects and Clinical Trials Information

When involving human subjects research, clinical research, and/or NIH-defined clinical trials (and when applicable, clinical trials research experience) follow all instructions for the PHS Human Subjects and Clinical Trials Information form in the SF424 (R&R) Application Guide, with the following additional instructions:

If you answered “Yes” to the question “Are Human Subjects Involved?” on the R&R Other Project Information form, you must include at least one human subjects study record using the Study Record: PHS Human Subjects and Clinical Trials Information form or Delayed Onset Study record.

Study Record: PHS Human Subjects and Clinical Trials Information

All instructions in the SF424 (R&R) Application Guide must be followed.

Delayed Onset Study

Note: Delayed onset does NOT apply to a study that can be described but will not start immediately (i.e., delayed start).All instructions in the SF424 (R&R) Application Guide must be followed.

PHS Assignment Request Form

All instructions in the SF424 (R&R) Application Guide must be followed.

Foreign Institutions

Foreign (non-U.S.) institutions must follow policies described in the NIH Grants Policy Statement, and procedures for foreign institutions described throughout the SF424 (R&R) Application Guide.

3. Unique Entity Identifier and System for Award Management (SAM)

See Part 1. Section III.1 for information regarding the requirement for obtaining a unique entity identifier and for completing and maintaining active registrations in System for Award Management (SAM), NATO Commercial and Government Entity (NCAGE) Code (if applicable), eRA Commons, and

4. Submission Dates and Times

Part I. Overview Information contains information about Key Dates and times. Applicants are encouraged to submit applications before the due date to ensure they have time to make any application corrections that might be necessary for successful submission. When a submission date falls on a weekend or Federal holiday, the application deadline is automatically extended to the next business day.

Organizations must submit applications to (the online portal to find and apply for grants across all Federal agencies). Applicants must then complete the submission process by tracking the status of the application in the eRA Commons, NIH’s electronic system for grants administration. NIH and systems check the application against many of the application instructions upon submission. Errors must be corrected and a changed/corrected application must be submitted to on or before the application due date and time.  If a Changed/Corrected application is submitted after the deadline, the application will be considered late. Applications that miss the due date and time are subjected to the NIH Policy on Late Application Submission.

Applicants are responsible for viewing their application before the due date in the eRA Commons to ensure accurate and successful submission.

Information on the submission process and a definition of on-time submission are provided in the SF424 (R&R) Application Guide.

5. Intergovernmental Review (E.O. 12372)

This initiative is not subject to intergovernmental review.

6. 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 only as described in the NIH Grants Policy Statement.

7. Other Submission Requirements and Information

Applications must be submitted electronically following the instructions described in the SF424 (R&R) Application Guide.  Paper applications will not be accepted.

Applicants must complete all required registrations before the application due date. Section III. Eligibility Information contains information about registration.

For assistance with your electronic application or for more information on the electronic submission process, visit How to Apply – Application Guide. If you encounter a system issue beyond your control that threatens your ability to complete the submission process on-time, you must follow the Dealing with System Issues guidance. For assistance with application submission, contact the Application Submission Contacts in Section VII.

Important reminders:

All PD(s)/PI(s) must include their eRA Commons ID in the Credential field of the Senior/Key Person Profile form. Failure to register in the Commons and to include a valid PD/PI Commons ID in the credential field will prevent the successful submission of an electronic application to NIH. See Section III of this NOFO for information on registration requirements.

The applicant organization must ensure that the unique entity identifier provided on the application is the same identifier used in the organization’s profile in the eRA Commons and for the System for Award Management. Additional information may be found in the SF424 (R&R) Application Guide.

See more tips for avoiding common errors.

Upon receipt, applications will be evaluated for completeness and compliance with application instructions by the Center for Scientific Review and responsiveness by the National Eye Institute, NIH.  Applications that are incomplete, non-compliant and/or nonresponsive will not be reviewed.

Requests of $500,000 or more for direct costs in any year

Applicants requesting $500,000 or more in direct costs in any year (excluding consortium F&A) must contact a Scientific/ Research Contact at least 6 weeks before submitting the application and follow the Policy on the Acceptance for Review of Unsolicited Applications that Request $500,000 or More in Direct Costs as described in the SF424 (R&R) Application Guide

Post Submission Materials

Applicants are required to follow the instructions for post-submission materials, as described in the policy

In addition, for this PAR, applicants may submit—up to 30 days prior to the review meeting—a 1–2-page status update document as post-submission material. This update may include information on clinical sites recruited, recruitment of key personnel, obtaining the drug, access to the device, regulatory and/or IRB approvals.

Section V. Application Review Information

1. Criteria

Only the review criteria described below will be considered in the review process.  Applications submitted to the NIH in support of the NIH mission are evaluated for scientific and technical merit through the NIH peer review system.

For this particular announcement, note the following:

A proposed Clinical Trial application may include study design, methods, and intervention that are not by themselves innovative but address important questions or unmet needs. Additionally, the results of the clinical trial may indicate that further clinical development of the intervention is unwarranted or lead to new avenues of scientific investigation.

Overall Impact

Reviewers will provide an overall impact score to reflect their assessment of the likelihood for the project to exert a sustained, powerful influence on the research field(s) involved, in consideration of the following review criteria and additional review criteria (as applicable for the project proposed).

Scored Review Criteria

Reviewers will consider each of the review criteria below in the determination of scientific merit and give a separate score for each. An application does not need to be strong in all categories to be judged likely to have major scientific impact. For example, a project that by its nature is not innovative may be essential to advance a field.


Does the project address an important problem or a critical barrier to progress in the field? Is the prior research that serves as the key support for the proposed project rigorous? If the aims of the project are achieved, how will scientific knowledge, technical capability, and/or clinical practice be improved? How will successful completion of the aims change the concepts, methods, technologies, treatments, services, or preventative interventions that drive this field?

Are the scientific rationale and need for a clinical trial to test the proposed hypothesis or intervention well supported by preliminary data, clinical and/or preclinical studies, or information in the literature or knowledge of biological mechanisms? For trials focusing on clinical or public health endpoints, is this clinical trial necessary for testing the safety, efficacy or effectiveness of an intervention that could lead to a change in clinical practice, community behaviors or health care policy? For trials focusing on mechanistic, behavioral, physiological, biochemical, or other biomedical endpoints, is this trial needed to advance scientific understanding?


Are the PD(s)/PI(s), collaborators, and other researchers well suited to the project? If Early Stage Investigators or those in the early stages of independent careers, do they have appropriate experience and training? If established, have they demonstrated an ongoing record of accomplishments that have advanced their field(s)? If the project is collaborative or multi-PD/PI, do the investigators have complementary and integrated expertise; are their leadership approach, governance, and organizational structure appropriate for the project?

With regard to the proposed leadership for the project, do the PD/PI(s) and key personnel have the expertise, experience, and ability to organize, manage and implement the proposed clinical trial and meet milestones and timelines? Do they have appropriate expertise in study coordination, data management and statistics? For a multicenter trial, is the organizational structure appropriate and does the application identify a core of potential center investigators and staffing for a coordinating center?


Does the application challenge and seek to shift current research or clinical practice paradigms by utilizing novel theoretical concepts, approaches or methodologies, instrumentation, or interventions? Are the concepts, approaches or methodologies, instrumentation, or interventions novel to one field of research or novel in a broad sense? Is a refinement, improvement, or new application of theoretical concepts, approaches or methodologies, instrumentation, or interventions proposed?

Does the design/research plan include innovative elements, as appropriate, that enhance its sensitivity, potential for information or potential to advance scientific knowledge or clinical practice?


Are the overall strategy, methodology, and analyses well-reasoned and appropriate to accomplish the specific aims of the project? Have the investigators included plans to address weaknesses in the rigor of prior research that serves as the key support for the proposed project? Have the investigators presented strategies to ensure a robust and unbiased approach, as appropriate for the work proposed? Are potential problems, alternative strategies, and benchmarks for success presented? If the project is in the early stages of development, will the strategy establish feasibility and will particularly risky aspects be managed? Have the investigators presented adequate plans to address relevant biological variables, such as sex, for studies in vertebrate animals or human subjects?

If the project involves human subjects and/or NIH-defined clinical research, are the plans to address 1) the protection of human subjects from research risks, and 2) inclusion (or exclusion) of individuals on the basis of sex/gender, race, and ethnicity, as well as the inclusion or exclusion of individuals of all ages (including children and older adults), justified in terms of the scientific goals and research strategy proposed?

Does the application adequately address the following, if applicable

Study Design

Is the study design justified and appropriate to address primary and secondary outcome variable(s)/endpoints that will be clear, informative and relevant to the hypothesis being tested? Is the scientific rationale/premise of the study based on previously well-designed preclinical and/or clinical research? Given the methods used to assign participants and deliver interventions, is the study design adequately powered to answer the research question(s), test the proposed hypothesis/hypotheses, and provide interpretable results? Is the trial appropriately designed to conduct the research efficiently? Are the study populations (size, gender, age, demographic group), proposed intervention arms/dose, and duration of the trial, appropriate and well justified?

Are potential ethical issues adequately addressed? Is the process for obtaining informed consent or assent appropriate? Is the eligible population available? Are the plans for recruitment outreach, enrollment, retention, handling dropouts, missed visits, and losses to follow-up appropriate to ensure robust data collection? Are the planned recruitment timelines feasible and is the plan to monitor accrual adequate? Has the need for randomization (or not), masking (if appropriate), controls, and inclusion/exclusion criteria been addressed? Are differences addressed, if applicable, in the intervention effect due to sex/gender and race/ethnicity?

Are the plans to standardize, assure quality of, and monitor adherence to, the trial protocol and data collection or distribution guidelines appropriate? Is there a plan to obtain required study agent(s)? Does the application propose to use existing available resources, as applicable?

Data Management and Statistical Analysis

Are planned analyses and statistical approach appropriate for the proposed study design and methods used to assign participants and deliver interventions? Are the procedures for data management and quality control of data adequate at clinical site(s) or at center laboratories, as applicable? Have the methods for standardization of procedures for data management to assess the effect of the intervention and quality control been addressed? Is there a plan to complete data analysis within the proposed period of the award?

Does the application propose to use existing available resources, as applicable? 

Is the proposed study organization appropriate to effectively implement the trial? 


Will the scientific environment in which the work will be done contribute to the probability of success? Are the institutional support, equipment, and other physical resources available to the investigators adequate for the project proposed? Will the project benefit from unique features of the scientific environment, subject populations, or collaborative arrangements?

If proposed, are the administrative, data coordinating, enrollment and laboratory/testing centers, appropriate for the trial proposed?

Does the application adequately address the capability and ability to conduct the trial at the proposed site(s) or centers? Are the plans to add or drop enrollment centers, as needed, appropriate?

If international site(s) is/are proposed, does the application adequately address the complexity of executing the clinical trial?

If multi-sites/centers, is there evidence of the ability of the individual site or center to: (1) enroll the proposed numbers; (2) adhere to the protocol; (3) collect and transmit data in an accurate and timely fashion; and, (4) operate within the proposed organizational structure?

Additional Review Criteria

As applicable for the project proposed, reviewers will evaluate the following additional items while determining scientific and technical merit, and in providing an overall impact score, but will not give separate scores for these items.

Study Timeline

Is the study timeline described in detail, taking into account start-up activities, the anticipated rate of enrollment, and planned follow-up assessment? Is the projected timeline feasible and well justified? Does the project incorporate efficiencies and utilize existing resources (e.g., CTSAs, practice-based research networks, electronic medical records, administrative database, or patient registries) to increase the efficiency of participant enrollment and data collection, as appropriate?

Are potential challenges and corresponding solutions discussed (e.g., strategies that can be implemented in the event of enrollment shortfalls)?

Protections for Human Subjects

For research that involves human subjects but does not involve one of the categories of research that are exempt under 45 CFR Part 46, the committee will evaluate the justification for involvement of human subjects and the proposed protections from research risk relating to their participation according to the following five review criteria: 1) risk to subjects, 2) adequacy of protection against risks, 3) potential benefits to the subjects and others, 4) importance of the knowledge to be gained, and 5) data and safety monitoring for clinical trials.

For research that involves human subjects and meets the criteria for one or more of the categories of research that are exempt under 45 CFR Part 46, the committee will evaluate: 1) the justification for the exemption, 2) human subjects involvement and characteristics, and 3) sources of materials. For additional information on review of the Human Subjects section, please refer to the Guidelines for the Review of Human Subjects.

Inclusion of Women, Minorities, and Individuals Across the Lifespan

When the proposed project involves human subjects and/or NIH-defined clinical research, the committee will evaluate the proposed plans for the inclusion (or exclusion) of individuals on the basis of sex/gender, race, and ethnicity, as well as the inclusion (or exclusion) of individuals of all ages (including children and older adults) to determine if it is justified in terms of the scientific goals and research strategy proposed. For additional information on review of the Inclusion section, please refer to the Guidelines for the Review of Inclusion in Clinical Research.

Vertebrate Animals

The committee will evaluate the involvement of live vertebrate animals as part of the scientific assessment according to the following criteria: (1) description of proposed procedures involving animals, including species, strains, ages, sex, and total number to be used; (2) justifications for the use of animals versus alternative models and for the appropriateness of the species proposed; (3) interventions to minimize discomfort, distress, pain and injury; and (4) justification for euthanasia method if NOT consistent with the AVMA Guidelines for the Euthanasia of Animals. Reviewers will assess the use of chimpanzees as they would any other application proposing the use of vertebrate animals. For additional information on review of the Vertebrate Animals section, please refer to the Worksheet for Review of the Vertebrate Animals Section.


Reviewers will assess whether materials or procedures proposed are potentially hazardous to research personnel and/or the environment, and if needed, determine whether adequate protection is proposed.


For Resubmissions, the committee will evaluate the application as now presented, taking into consideration the responses to comments from the previous scientific review group and changes made to the project.


For Renewals, the committee will consider the progress made in the last funding period.


For Revisions, the committee will consider the appropriateness of the proposed expansion of the scope of the project. If the Revision application relates to a specific line of investigation presented in the original application that was not recommended for approval by the committee, then the committee will consider whether the responses to comments from the previous scientific review group are adequate and whether substantial changes are clearly evident.

Additional Review Considerations

As applicable for the project proposed, reviewers will consider each of the following items, but will not give scores for these items, and should not consider them in providing an overall impact score.

Applications from Foreign Organizations

Reviewers will assess whether the project presents special opportunities for furthering research programs through the use of unusual talent, resources, populations, or environmental conditions that exist in other countries and either are not readily available in the United States or augment existing U.S. resources.

Select Agent Research

Reviewers will assess the information provided in this section of the application, including 1) the Select Agent(s) to be used in the proposed research, 2) the registration status of all entities where Select Agent(s) will be used, 3) the procedures that will be used to monitor possession use and transfer of Select Agent(s), and 4) plans for appropriate biosafety, biocontainment, and security of the Select Agent(s).

Resource Sharing Plans

Reviewers will comment on whether the Resource Sharing Plan(s) (i.e., Sharing Model Organisms) or the rationale for not sharing the resources, is reasonable.

Authentication of Key Biological and/or Chemical Resources:

For projects involving key biological and/or chemical resources, reviewers will comment on the brief plans proposed for identifying and ensuring the validity of those resources.

Budget and Period of Support

Reviewers will consider whether the budget and the requested period of support are fully justified and reasonable in relation to the proposed research.

2. Review and Selection Process

Applications will be evaluated for scientific and technical merit by (an) appropriate Scientific Review Group(s) convened by the NEI, in accordance with NIH peer review policy and procedures, using the stated review criteria. Assignment to a Scientific Review Group will be shown in the eRA Commons. 

As part of the scientific peer review, all applications will receive a written critique.

Applications will be assigned on the basis of established PHS referral guidelines to the appropriate NIH Institute or Center. Applications will compete for available funds with all other recommended applications submitted in response to this NOFO. Following initial peer review, recommended applications will receive a second level of review by the National Advisory Eye Council. The following will be considered in making funding decisions:

  • Scientific and technical merit of the proposed project as determined by scientific peer review.
  • Availability of funds.
  • Relevance of the proposed project to program priorities.

3. Anticipated Announcement and Award Dates

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. Refer to Part 1 for dates for peer review, advisory council review, and earliest start date.

Information regarding the disposition of applications is available in the NIH Grants Policy Statement.

Section VI. Award Administration Information

1. Award Notices

If the application is under consideration for funding, NIH will request "just-in-time" information from the applicant as described in the NIH Grants Policy Statement.

A formal notification in the form of a Notice of Award (NoA) will be provided to the applicant organization for successful applications. The NoA signed by the grants management officer is the authorizing document and will be sent via email to the recipient's business official.

Recipients must comply with any funding restrictions described in Section IV.5. Funding Restrictions. Selection of an application for award is not an authorization to begin performance. Any costs incurred before receipt of the NoA are at the recipient's risk. These costs may be reimbursed only to the extent considered allowable pre-award costs.

Any application awarded in response to this NOFO will be subject to terms and conditions found on the Award Conditions and Information for NIH Grants website.  This includes any recent legislation and policy applicable to awards that is highlighted on this website.

Individual awards are based on the application submitted to, and as approved by, the NIH and are subject to the IC-specific terms and conditions identified in the NoA. If an award provides for one or more clinical trials. By law (Title VIII, Section 801 of Public Law 110-85), the "responsible party" must register and submit results information for certain “applicable clinical trials” on the Protocol Registration and Results System Information Website ( NIH expects registration and results reporting of all trials whether required under the law or not. For more information, see

Institutional Review Board or Independent Ethics Committee Approval: Recipient institutions must ensure that all protocols are reviewed by their IRB or IEC. To help ensure the safety of participants enrolled in NIH-funded studies, the recipient must provide NIH copies of documents related to all major changes in the status of ongoing protocols.

Data and Safety Monitoring Requirements: The NIH policy for data and safety monitoring requires oversight and monitoring of all NIH-conducted or -supported human biomedical and behavioral intervention studies (clinical trials) to ensure the safety of participants and the validity and integrity of the data. Further information concerning these requirements is found at and in the application instructions (SF424 (R&R) and PHS 398).

Investigational New Drug or Investigational Device Exemption Requirements: Consistent with federal regulations, clinical research projects involving the use of investigational therapeutics, vaccines, or other medical interventions (including licensed products and devices for a purpose other than that for which they were licensed) in humans under a research protocol must be performed under a Food and Drug Administration (FDA) investigational new drug (IND) or investigational device exemption (IDE).

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, Recipients, and Activities, including of note, but not limited to:

If a recipient is successful and receives a Notice of Award, in accepting the award, the recipient agrees that any activities under the award are subject to all provisions currently in effect or implemented during the period of the award, other Department regulations and policies in effect at the time of the award, and applicable statutory provisions.

Should the applicant organization successfully compete for an award, recipients of federal financial assistance (FFA) from HHS will be required to complete an HHS Assurance of Compliance form (HHS 690) in which the recipient agrees, as a condition of receiving the grant, to administer programs in compliance with federal civil rights laws that prohibit discrimination on the basis of race, color, national origin, age, sex and disability, and agreeing to comply with federal conscience laws, where applicable. This includes ensuring that entities take meaningful steps to provide meaningful access to persons with limited English proficiency; and ensuring effective communication with persons with disabilities. Where applicable, Title XI and Section 1557 prohibit discrimination on the basis of sexual orientation, and gender identity, The HHS Office for Civil Rights provides guidance on complying with civil rights laws enforced by HHS. See and

HHS recognizes that research projects are often limited in scope for many reasons that are nondiscriminatory, such as the principal investigator’s scientific interest, funding limitations, recruitment requirements, and other considerations. Thus, criteria in research protocols that target or exclude certain populations are warranted where nondiscriminatory justifications establish that such criteria are appropriate with respect to the health or safety of the subjects, the scientific study design, or the purpose of the research. For additional guidance regarding how the provisions apply to NIH grant programs, please contact the Scientific/Research Contact that is identified in Section VII under Agency Contacts of this NOFO.

Please contact the HHS Office for Civil Rights for more information about obligations and prohibitions under federal civil rights laws at or call 1-800-368-1019 or TDD 1-800-537-7697.

In accordance with the statutory provisions contained in Section 872 of the Duncan Hunter National Defense Authorization Act of Fiscal Year 2009 (Public Law 110-417), NIH awards will be subject to the Federal Awardee Performance and Integrity Information System (FAPIIS) requirements. FAPIIS requires Federal award making officials to review and consider information about an applicant in the designated integrity and performance system (currently FAPIIS) prior to making an award. An applicant, at its option, may review information in the designated integrity and performance systems accessible through FAPIIS and comment on any information about itself that a federal agency previously entered and is currently in FAPIIS. The Federal awarding agency will consider any comments by the applicant, in addition to other information in FAPIIS, in making a judgement about the applicant’s integrity, business ethics, and record of performance under Federal awards when completing the review of risk posed by applicants as described in 45 CFR Part 75.205 and 2 CFR Part 200.206 “Federal awarding agency review of risk posed by applicants.” This provision will apply to all NIH grants and cooperative agreements except fellowships.”

Cooperative Agreement Terms and Conditions of Award

Cooperative Agreement Terms and Conditions of Award:

The following special terms of award are in addition to, and not in lieu of, otherwise applicable U.S. Office of Management and Budget (OMB) administrative guidelines, U.S. Department of Health and Human Services (DHHS) grant administration regulations at 45 CFR Part 75, and other HHS, PHS, and NIH grant administration policies.

The administrative and funding instrument used for this program will be the cooperative agreement, an "assistance" mechanism (rather than an "acquisition" mechanism), in which substantial NIH programmatic involvement with the recipients is anticipated during the performance of the activities. Under the cooperative agreement, the NIH purpose is to support and stimulate the recipients' activities by involvement in and otherwise working jointly with the award recipients in a partnership role; it is not to assume direction, prime responsibility, or a dominant role in the activities. Consistent with this concept, the dominant role and prime responsibility resides with the recipients for the project as a whole, although specific tasks and activities may be shared among the recipients and the NIH as defined below

Project Director/Principal Investigator (PD/PI) Rights and Responsibilities:

The PD/PI will have the primary responsibility for:

Defining objectives and approaches, and planning, conducting, analyzing, interpreting, drawing conclusions from and publishing trial results. The design, methods, and procedures of the clinical trial will be detailed in a recipient-prepared and maintained, study-adopted Manual(s) of Procedures and the recipients will have the responsibility for following the protocol

Ensuring that study progress, quality and safety reports are prepared and distributed as requested by the medical monitor or Data and Safety Monitoring Committee (DSMC). Ensuring that there is formal documentation of all medical monitor safety reviews, or DSMC deliberations, as applicable. This documentation will clearly list all recommendations and explicit action items and will be reviewed and approved by the medical monitor or quorum of DSMC members as applicable. It is the responsibility of the PD/PI to ensure that their responses to safety or oversight monitoring recommendations or action items are formally reviewed and approved by the medical monitor or quorum of the DSMC. The PD/PI is responsible for ensuring that there is proper administration of applicable medical monitoring and/or management of the Committee. The PD/PI must give all medical monitors or DSMC members the name and contact information of the responsible NEI program director and advise them to contact the NEI program director directly with any concerns about the adequacy of trial safety or study implementation, as applicable. In addition, the trial PD/PI must officially notify the NEI program director within 24 hours whenever the medical monitor or DSMC makes a recommendation to substantively modify or stop the study.

Ensuring that the NEI and the medical monitor or DSMC receives study progress and safety reports as requested.

Ensuring that the DSMC receives a copy of the study’s primary manuscript(s) for review and approval in advance of journal submission.

Implementing DSMC recommendations -Timely implementation of substantive DSMC recommendations is expected.

Notifying the NEI program director within 24 hours of any FDA regulatory actions including: clinical hold; requests for modification; or termination for trials requiring regulatory approval.

Reporting details of the safety monitoring process in the grant’s annual non-competing renewal (also called RPPR). Specifically, the renewal must note: 1) actual dates for all medical monitor or DSMC meetings as applicable; 2) verification that monitoring minutes have been reviewed and approved by the medical monitor, or quorum of DSMC and, 3) an update on the status of monitoring and general medical monitor or DSMC action items. Note: status reports must not contain any confidential study data or patient information. NEI guidelines for Data and Safety Monitoring of Clinical Trials can be found at:

Documenting progress toward the stated study timeline and milestones as specified in the in the grant application and/or as modified during pre- or post-award negotiations. Specifically, the annual non-competing renewal must include but not be limited to: 1) actual dates of regulatory approvals if applicable; 2) date of enrollment of 1st study participant; 3) date of registration, if applicable; 4) enrollment completion date; 5) date of completion of participant follow-up; 6) date of results reporting, and, 7) date of initiation of data sharing.

Reporting on compliance with NIH policies related to the study. Specifically, for clinical trials, the RPPR must note the status of or compliance with: 1) registration on (i.e. by providing the identifier); 2) submission of summary results information on; 3) Relevant NIH trainings (e.g. GCP, human protection etc.) for applicable study personnel; 4) data sharing; and 5) public access.

The Chairperson is responsible for the overall conduct of the clinical trial and for providing scientific, technical, and administrative leadership to the study. They will have lead responsibility for planning and directing all phases of the study and for using the study's resources. In carrying out these responsibilities, the Study Chairperson will actively seek advice from all the study's components, including the representative of the NEI. The Chairperson is usually the individual who developed the idea for the clinical trial and is the leader in preparing the Manual of Procedures and organizing the study components.

The principal investigator of each resource core center (e.g., data coordinating center, image reading center, laboratory center) will play an important role in the design, implementation, and execution of the clinical trial. Each PD/PI is responsible for all aspects of the operations of his/her resource center and for the local implementation of the study protocol. The resource core centers are involved in performing specified support functions such as training and certification of clinical center staff, designing and maintaining quality assurance programs, data management, data analysis, and preparing publications.

The principal investigator of each participating clinical center has the primary responsibility of identifying and recruiting eligible patients at his/her center. They will be responsible for the follow-up, as specified in the study protocol, of each patient enrolled in the clinical study and for submitting required data to the resource center(s). The PD/PI is also responsible for ensuring that his/her clinic personnel are trained and certified to carry out study procedures.

PD/PI are expected to publish and publicly disseminate results, data and other products of the study, concordant with governance policies and protocols and according to NIH Policies ( and consistent with the approved DMS Plan..

Publications and oral presentations of work performed under this agreement will require appropriate acknowledgment of support by the NEI/NIH. The PD/PI must ensure that trial publications are entered in by including the registered “NCT number” to all trial publications.

Support or other involvement of industry or any other third party in the study may be advantageous and appropriate. Participation by the third party; involvement of study resources, citing the name of the study or NEI support, or special access to study results, data, findings, or resources requires notification and concurrence by the NEI. Except for licensing of patents or copyrights, support or involvement of any third party will occur only following notification of and concurrence by the NEI.

As applicable, any therapeutic agent manufactured using NEI grant support is reserved for either 1) the sole use of treating participants enrolled in the NEI supported trial or 2) laboratory work attending: study product manufacture, repackaging and distribution; quality assurance (i.e., identity, potency, or other aspects of product integrity); and participant safety. Any alternative use of study product requires the express approval of the NEI.

The recipient institution will retain custody of and have primary rights to the data and software developed under these awards, subject to Government rights of access consistent with current HHS, PHS, and NIH policies.

NIH Responsibilities:

An NIH Program Director, serving as Project Coordinator, will have substantial programmatic involvement that is above and beyond the normal stewardship role in awards, as described below:

The appropriate NEI extramural Program Director from the Division of Extramural Science Programs whose name appears on the Notice of Grant Award (NoA) will:

Nominate members of an independent Data and Safety Monitoring Committee (DSMC). The DSMC membership will be based on recommendations from the Study Leadership and NEI program staff.

Assist the Study Chairperson, Coordinating Center Director, and, when appropriate, the Executive Committee, in assuring that participant information handbooks, recruitment information, press releases, and publicity exhibits are properly prepared, approved and disseminated.

Assist the Study Chairperson and Coordinating Center Director in the identification of additional participating clinics, if necessary, to enhance patient recruitment.

Assist the Study Leadership Committee in site visits and routine performance monitoring of the entire study including matters of quality control within and among various components, and in the determination of inadequate patient recruitment or failure to comply with the protocol on the part of individual clinics or study core centers. The NEI Program Director will attend and participate in study meetings as appropriate.

Assist the Editorial/Writing Committee in the preparation and review of study results for publication.

Assist the DSMC as an expert resource in their evaluation of safety, efficacy, quality, and progress on an ongoing basis, as applicable. Serving as a steward of federal funds, the NEI Program Official will assist but not direct deliberations and decisions of the Committee, e.g., proceeding from one phase of the study to the next; implementing protocol changes, evaluating study progress and quality including patient recruitment, overall clinical and resource center performance; monitoring study timeliness and progress toward meeting milestones, approving ancillary studies, planning data analysis; releasing unmasked data; announcing study findings; determining the timing of release of any interim or final reports; and, reviewing primary outcome manuscript(s) prior to journal submission.

The NEI reserves the right to curtail, withhold, or terminate support for the study, for an individual award, or support for a participating consortium, in situations involving: inadequate progress toward meeting study milestones including those related to: availability and regulatory approval of study product as applicable, patient recruitment, follow-up, data reporting, or quality control; a major breach of the study protocol or NEI/NIH policy; a substantive change in the agreed-upon protocol to which the NEI does not agree; statistical evidence that the major study endpoint has been reached ahead of schedule; data sharing; or, human subject ethical issues that dictate a premature termination. Prior to taking such actions, NEI will consult with and receive recommendations from the DSMC. Additionally, the NEI Program Director will be responsible for the normal scientific and programmatic stewardship of the award and will be named in the award notice.

Areas of Joint Responsibility Include:

Data and Safety Monitoring Committee (DSMC)

The DSMC is an independent group composed of individuals not directly involved in patient care or data collection for the study who are responsible for safeguarding the interests of all trial participants, assessing the safety and efficacy of the treatment during the trial, and for monitoring the overall conduct of the trial. The DSMC receives and reviews the accruing data from the trial and provides recommendations about stopping or continuing the trial. The DSMC may also formulate recommendations to enhance the trial’s scientific integrity and timeliness including recommendations relating to the selection/ recruitment/ retention of participants, their management, improving adherence to protocol-specified treatments, and procedures for data management and quality control. The DSMC operates under the guidance of an approved Charter.

Key responsibilities of the DSMC include but are not limited to:

  • Reviewing and approving: the DSMC charter, the trial protocol, informed consent documents, methods for bias control, statistical analysis plan including methods for handling missing data and final analyses, data and safety monitoring plan including interim monitoring for safety, efficacy, and futility, data table shells, study organizational and operational procedures, study timeline and milestone plan and assessing data quality, including completeness
  • Monitoring recruitment and losses to follow-up
  • Monitoring compliance with the treatment protocol by participants and investigators
  • Evaluating study timeliness and progress toward meeting milestones, and recommending modifications as appropriate
  • Monitoring evidence for treatment differences in the main efficacy outcomes
  • Monitoring the safety of treatment (e.g., toxicity, adverse events)
  • Deciding whether to recommend that the trial continues as planned or whether recruitment or treatment should be terminated in some treatment groups
  • Reviewing proposed major modifications to the study prior to their implementation (e.g., increasing target sample size, dropping an arm based on other trial outcomes or toxicity results).
  • Suggesting additional data analyses
  • Assessing the relevance and impact of external evidence including published reports of related studies submitted by NEI, the study leadership, or DSMC members to determine whether the study needs to be changed or terminated
  • Reviewing proposals for sub- or ancillary studies for scientific merit and potential impact on the trial.
  • Ensuring the timely and accurate reporting of main results from the trial
  • Reviewing and approving the primary trial manuscript(s) to determine that the results are fairly presented and the conclusions appropriate, prior to submission for publication(s) or presentation(s).

Study Leadership Committee:

Comprised of the Study Chairperson, PD/PIs of the Coordinating Center (s), and Resource Center(s) as applicable and the NEI representative. This committee acts as the administrative and executive arm of the study. It makes decisions on operational issues; schedules study meetings and conference calls; considers and adopts changes in study procedures as necessary; reviews and implements recommendations from the DSMC; reviews progress of the study in achieving its main goal and takes steps required to enhance likelihood of success; and, reviews data collection practices and procedures as summarized in performance monitoring reports for individual resource centers and clinical centers to identify and correct remediable deficiencies.

Editorial Committee/Writing Committee:

This committee has the responsibility for reviewing all study presentations, publications and for assisting in the interpretation and preparation of the main study results. Its members are the study chair, coordinating center director, the NEI representative, and several clinical center investigators, as applicable.

Dispute Resolution:

Any disagreements that may arise in scientific or programmatic matters (within the scope of the award) between award recipients and the NIH may be brought to Dispute Resolution. A Dispute Resolution Panel composed of three members will be convened. It will have three members: a designee of the Steering Committee chosen without NIH staff voting, one NIH designee, and a third designee with expertise in the relevant area who is chosen by the other two; in the case of individual disagreement, the first member may be chosen by the recipients. This special dispute resolution procedure does not alter the recipients' right to appeal an adverse action that is otherwise appealable in accordance with PHS regulation 42 CFR Part 50, Subpart D and DHHS regulation 45 CFR Part 16.

3. Data Management and Sharing

Note: The NIH Policy for Data Management and Sharing is effective for due dates on or after January 25, 2023.

Consistent with the NIH Policy for Data Management and Sharing, when data management and sharing is applicable to the award, recipients will be required to adhere to the Data Management and Sharing requirements as outlined in the NIH Grants Policy Statement. Upon the approval of a Data Management and Sharing Plan, it is required for recipients to implement the plan as described.

In general, NEI does not endorse or require sharing data in any particular repository.  NEI encourages researchers to select the repository that is most appropriate for their data type.  The NIH has provided a listing of NIH-supported repositories:

Recipients must adhere to the approved NIH DMS Policy that is in effect at the time of the competing award. A statement of progress on the Data Management Sharing Plan should be included in the Research Performance Progress Report (RPPR) under section C.5 “Other Products and Resource Sharing” as applicable. Failure to adhere to the DMS Plan by the Recipient may result in Enforcement Actions as described in the NIH Grants Policy Statement.  The NEI reserves the right to terminate or curtail any study or any individual award in the event of a substantial shortfall in data collection or submission to the repository or failure to collaborate with other consortium investigators.

4. Reporting

When multiple years are involved, recipients will be required to submit the Research Performance Progress Report (RPPR) annually and financial statements as required in the NIH Grants Policy Statement.

A final RPPR, invention statement, and the expenditure data portion of the Federal Financial Report are required for closeout of an award, as described in the NIH Grants Policy Statement. NIH NOFOs outline intended research goals and objectives. Post award, NIH will review and measure performance based on the details and outcomes that are shared within the RPPR, as described at 45 CFR Part 75.301 and 2 CFR Part 200.301.

The Federal Funding Accountability and Transparency Act of 2006 (Transparency Act), includes a requirement for recipients of Federal grants to report information about first-tier subawards and executive compensation under Federal assistance awards issued in FY2011 or later.  All recipients of applicable NIH grants and cooperative agreements are required to report to the Federal Subaward Reporting System (FSRS) available at on all subawards over $25,000.  See the NIH Grants Policy Statement for additional information on this reporting requirement.

In accordance with the regulatory requirements provided at 45 CFR 75.113 and Appendix XII to 45 CFR Part 75, recipients that have currently active Federal grants, cooperative agreements, and procurement contracts from all Federal awarding agencies with a cumulative total value greater than $10,000,000 for any period of time during the period of performance of a Federal award, must report and maintain the currency of information reported in the System for Award Management (SAM) about civil, criminal, and administrative proceedings in connection with the award or performance of a Federal award that reached final disposition within the most recent five-year period.  The recipient must also make semiannual disclosures regarding such proceedings. Proceedings information will be made publicly available in the designated integrity and performance system (currently FAPIIS).  This is a statutory requirement under section 872 of Public Law 110-417, as amended (41 U.S.C. 2313).  As required by section 3010 of Public Law 111-212, all information posted in the designated integrity and performance system on or after April 15, 2011, except past performance reviews required for Federal procurement contracts, will be publicly available.  Full reporting requirements and procedures are found in Appendix XII to 45 CFR Part 75 – Award Term and Conditions for Recipient Integrity and Performance Matters.

Section VII. Agency Contacts

We encourage inquiries concerning this funding opportunity and welcome the opportunity to answer questions from potential applicants.

Application Submission Contacts

eRA Service Desk (Questions regarding ASSIST, eRA Commons, application errors and warnings, documenting system problems that threaten submission by the due date, and post-submission issues)

Finding Help Online: (preferred method of contact)
Telephone: 301-402-7469 or 866-504-9552 (Toll Free)

General Grants Information (Questions regarding application instructions, application processes, and NIH grant resources)
Email: (preferred method of contact)
Telephone: 301-637-3015 Customer Support (Questions regarding registration and Workspace)
Contact Center Telephone: 800-518-4726

Scientific/Research Contact(s)

Sangeeta Bhargava, PhD
National Eye Institute (NEI)
Telephone: 301-435-8175

Donald Everett, MA
National Eye Institute (NEI)
Telephone: 301-435-8181

Jimmy Le, ScD
National Eye Institute (NEI)
Telephone: 301-435-8160


Peer Review Contact(s)

Brian Hoshaw, PhD
National Eye Institute (NEI)
Telephone: 301-402-0566

Financial/Grants Management Contact(s)

Karen Robinson Smith
National Eye Institute (NEI)
Telephone 301-435-8178


Section VIII. Other Information

Recently issued trans-NIH policy notices may affect your application submission. A full list of policy notices published by NIH is provided in the NIH Guide for Grants and Contracts. All awards are subject to the terms and conditions, cost principles, and other considerations described in the NIH Grants Policy Statement.

Authority and Regulations

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 Part 75 and 2 CFR Part 200.

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