Full Text PAR-97-080 NOVEL HIV THERAPIES: INTEGRATED PRECLINICAL/CLINICAL PROGRAM NIH GUIDE, Volume 26, Number 24, July 25, 1997 PA NUMBER: PAR-97-080 P.T. 34 Keywords: AIDS Antivirals National Institute of Allergy and Infectious Diseases National Institute of Mental Health Application Receipt Date: November 12 PURPOSE The Division of AIDS (DAIDS), National Institute of Allergy and Infectious Diseases (NIAID), invites applications for the discovery, preclinical evaluation, development, and/or pilot clinical study of novel agents and strategies to suppress HIV replication, interfere with disease progression, and ameliorate the consequences of infection. The National Institute of Mental Health invites applications to identify and treat the nervous system complications of HIV infection that result in CNS dysfunction. The Integrated Preclinical/Clinical Program (IPCP) described in this Program Announcement (PA) combines applications for the National Cooperative Drug Discovery Groups for the Treatment of HIV Infection (NCDDG-HIV), which supports preclinical discovery of new therapeutics; applications from collaborative Groups seeking to transition from preclinical to clinical studies during the award period; and applications for the Strategic Program for Innovative Research on AIDS Treatment (SPIRAT), which supports pilot clinical studies of novel treatments. By combining these into a single PA, the IPCP will provide a continuous spectrum of research opportunities to Groups interested in the discovery and development of new therapies for HIV infection. This PA is designed for multi-disciplinary preclinical and clinical research Groups, each consisting of a minimum of three interrelated projects, in which the participation of the private sector is strongly encouraged. Responsive applications will involve creative and original therapeutic research that emphasizes diverse facets of HIV infection. Excluded from this PA are targets and approaches already under extensive investigation by academia and the pharmaceutical sector, non-targeted random screening of potential inhibitors, and research on AIDS-associated opportunistic pathogens and malignancies. HEALTHY PEOPLE 2000 The Public Health Service (PHS) is committed to achieving the health promotion and disease prevention objectives of "Healthy People 2000," a PHS-led national activity for setting priority areas. This PA, Novel HIV Therapies: Integrated Preclinical/Clinical Program, is related to the priority area of HIV infection. Potential applicants may obtain a copy of "Healthy People 2000" (Full Report: Stock No. 017-001-00474-0 or Summary Report: Stock No. 017-001-00473-1) through the Superintendent of Documents, Government Printing Office, Washington, DC 20402-9325 (telephone 202-512-1800). ELIGIBILITY Applications may be submitted by domestic for-profit and non-profit organizations, public and private institutions such as universities, colleges, hospitals, units of state and local governments, and eligible agencies of the federal government. While foreign organizations are not eligible to apply as the principal institution, foreign components may apply as a research project or core. However, these components will not receive support for indirect costs. Racial/ethnic minority individuals, women, and persons with disabilities are encouraged to apply as Principal Investigators (PIs). MECHANISM OF SUPPORT The administrative and funding mechanism will be the program project grant (P01). Program project grants support broadly-based, multidisciplinary research programs that have a well-defined, central research focus or objective. An important feature is that the interrelationships of the individual scientifically meritorious projects will result in a greater contribution to the overall program goals than if each project were pursued individually. The program project grant consists of a minimum of three interrelated individual research projects that contribute to the program objective. This type of award can also provide support for certain shared resources termed cores that provide funds for tasks common to two or more projects within the award. To increase the diversity and multi-faceted expertise in any Group, each project will be from a different academic department (if from the same institution) and/or from a different company. Responsibility for the planning, direction, and execution of the proposed research will be that of the applicant. Research groups supported by the IPCP include: (1) Groups focusing exclusively on preclinical discovery and development of novel therapeutic entities and strategies; and (2) Groups positioned to implement a proposed pilot clinical study during the award period. The suggested maximum budget for a Group engaged in preclinical research is $675,000 total (direct plus indirect) cost for the first year; larger budgets must be strongly justified. The maximum budget for a Group actively engaged in clinical studies is $1.4 million total (direct plus indirect) cost for the first year. Groups proposing a clinical phase during the award period should submit a complete budget for both the preclinical and clinical portions of the study using the preclinical and clinical limits set above. It is noted that the level of support for clinical research under this PA may well be insufficient to provide all the funds necessary to conduct the proposed clinical study. Prospective Groups should, therefore, develop plans to use existing infrastructure and organizational support to complement the award [including NIH sponsored General Clinical Research Centers (GCRC) and Centers for AIDS Research (CFAR)]. The total project period for any Group is four years. Awards pursuant to this PA are contingent upon the availability of funds for this purpose. RESEARCH OBJECTIVES Background Research advances in recent years have yielded a wealth of information on HIV molecular biology, the pathogenesis of HIV disease, and the impact of disease progression on immune function. Concomitantly, seminal technological advances have been realized. Together, these advances offer exciting opportunities to develop and translate new therapeutic concepts to clinical application and complement current FDA approved therapies. To assist in assembling the diverse scientific expertise and ancillary resources needed to translate basic discoveries to applied entities, this PA is designed to support multi-disciplinary preclinical and clinical research Groups. The objective of the Integrated Preclinical/Clinical Program is thus two-fold: (1) to maintain a strong and diverse base in preclinical discovery and development of new therapeutics; and (2) to support the translation of innovative treatment concepts from preclinical studies to pilot clinical proof-of-concept studies. The NIMH will consider co-support of NIAID-supported applications when a component of the research is directed toward understanding and treating the nervous system disease. Scope of Research As stated above, the ultimate goal of this PA is the discovery, development, and exploratory clinical evaluation of new and effective therapeutic approaches for the treatment of HIV disease and prevention of HIV sexual transmission. Such research is expected to yield long term therapeutic returns as well as identify and open new research directions. In line with this objective, the PA will support diverse and creative strategies of sound scientific rationale that are new or under-studied and provide a continuous spectrum of research opportunities from preclinical to pilot clinical studies. This comprehensive effort will be conducted by interdisciplinary research Groups. Examples of preclinical and clinical research supported under the IPCP include: 1. development of under-explored/new antiviral therapies that target viral and host proteins known to be critic 2. development of entities and strategies that target cells and tissues implicated in virus sequestration; 3. development of entities or strategies to render the immune 'environment of HIV-1 infected individuals receptive to reconstitution by hematopoietic stem cells or lymphoid cells/tissue; 4. translation of innovative therapeutic and immunotherapeutic strategies to multi-dimensional treatment regimens that address the many facets of HIV disease; 5. identification of molecular and cellular mechanisms underlying HIV-associated CNS dysfunction and development of targeted therapeutics; 6. identification and development of effective inhibitors of sexual transmission. The involvement of the private sector is strongly encouraged because of this sector's unique infrastructure and capital resources, allowing rapid mobilization for the development of lead therapeutics. Preclinical Research The preclinical portion of the IPCP supports the discovery and development of a specific therapeutic approach or strategy in a concerted manner with obvious contribution by and need for each project and core to the overall Group objective and development plan. A successful preclinical Group should develop a new therapeutic strategy that can subsequently be translated to clinical evaluation. Preclinical Groups seeking to transition from preclinical to clinical research during the award period must detail the goals and milestones by which they will reach this point. These goals and milestones should include plans and timetable to obtain the required institutional and government approvals (IRB, FDA, RAC). These goals and milestones will be reviewed by the Scientific Peer Review Group (SPRG) and will subsequently be used to determine the successful completion of the preclinical development phase. Release of funds for clinical research will be contingent upon the documented successful completion of the proposed and peer-reviewed goals and milestones. Clinical Studies The clinical portion of the IPCP supports interdependent, iterative clinical/laboratory research designed to evaluate and optimize a clinical therapeutic approach. Relative to the preclinical portion of the IPCP, human subjects concerns and regulatory issues substantially increase under the clinical phase. These safety and clinical proof-of-concept studies of innovative therapeutic strategies may involve greater scientific risk than that practiced in larger clinical trials. A successful Group will develop and optimize a therapeutic strategy to a point at which it can be determined whether the strategy merits further clinical evaluation. The clinical study application must be based on a strategy in an advanced stage of preclinical development that is suitable for evaluation in a small number (6-12) of patients. The application should include (1) a detailed plan of the iterative clinical and laboratory research to be conducted to optimize the proposed strategy; (2) a timetable to be followed; (3) plans for the clinical studies including the clinical protocol; and (4) institutional and government approvals (IRB, FDA, RAC). SPECIAL REQUIREMENTS Meetings All awardees are strongly encouraged to attend a scientific conference of IPCP investigators, organized by NIAID and held every 12-18 months in the Washington DC vicinity. Applicants should include requests for travel funds in the original applications specific for and restricted to the above meetings. No additional travel funds will be provided to attend other domestic or foreign meetings. Patent Coverage Since an application may include several institutions, including the private sector, complex patent situations may arise. To avoid delays related to intellectual property issues in implementing new therapies for HIV, each multi-project Group is required to provide a plan as part of the application, detailing (1) the approach, agreed to by all parties, to be used for obtaining patent coverage and for licensing, where appropriate; and (2) the procedures to be followed for the resolution of legal problems that potentially may develop. Attention is drawn to the reporting requirements of 35 U.S.C. Parts 200-212 and 37 CFR Part 401 or FAR 55.227-11. Instructions were also published in the NIH GUIDE FOR GRANTS AND CONTRACTS, Vol. 19, No. 23, June 22, 1990. Note that non-profit organizations (including universities) and small business firms retain the rights to any patent resulting from Government grants or cooperative agreements. It is also noted that a Presidential memorandum of February 18, 1983 extended to all business concerns, regardless of size, the first option to the ownership of rights to inventions as provided in P.L. 96-517. As a result of this memorandum, the relationships among industrial organizations and other participants are simplified, since all Group members can now be full partners in the research and in any inventions resulting therefrom. The specific patenting arrangements among the institutions may vary and could include joint patent ownership, exclusive licensing arrangements, etc. Applicants are encouraged to develop an arrangement that is most suitable for the Group's particular circumstances. The patent agreement among the institutions comprising the Group, signed and dated by the organizational officials authorized to enter into patent arrangements for each Group member and member institution, must be submitted with the application, and a copy submitted to Dr. Nava Sarver (address under INQUIRIES). If the Group wishes to place all inventions and discoveries resulting from these studies within the public domain, a letter to that effect must be submitted to Dr. Sarver in lieu of the patent agreement . The letter must be co-signed by the Principal Investigator, each of the Project Leaders, and each of the business officials representing the respective institutions. Federal regulation clause 37-CFR-401 and HHS Inventions regulations at 45 CFR Parts 6 and 8 require that NIH be informed of inventions and licensing occurring under NIH funded research. Invention and licensing reports must be submitted to the Extramural Invention Reports Office at (301) 435-1986. For awards including clinical studies Groups seeking to transition from preclinical to clinical studies during the award period must include a long-range development plan that details the preclinical, transitional, and clinical phases of the proposed studies and a budget appropriate to each phase. Funds to accommodate the potentially more costly clinical study should be budgeted in the application. The Group must articulate a set of objectives and milestones to be completed prior to the transition to clinical research and include the clinical site and clinical investigators to be involved. For purposes of peer review, the application must include a clinical protocol based on research findings available at the time of submission (although it is understood that the protocol may change as work progresses). All the above components - the development plan, objectives and milestones, clinical site and clinical investigators - will be essential elements of the initial review by the SPRG. The NIAID (NIMH) will review requests to transition to clinical research and will use outside expertise to review the revised clinical protocol and budget and to assist in determining whether the Group requesting transition is positioned to proceed to clinical studies. Release of funds for clinical research will be contingent on successful accomplishment of milestones and criteria stated in the original application, reviewed and approved by the SPRG, and include compliance with all applicable laws and regulations. To initiate clinical studies, an awardee must have IRB, FDA and RAC (if applicable) approvals. Funds for clinical studies will be withheld until the required approvals are obtained and copies provided to NIAID (Dr. Nava Sarver, address under INQUIRIES). Additional details for applications including a clinical component are listed under 'Special requirements', below. The Principal Investigator is responsible for: 1. assuming responsibility for developing protocols and monitoring study performance, participant recruitment and follow-up, interim data and safety monitoring. All proposed protocols will be submitted by the Principal Investigator to the NIAID (Dr. Nava Sarver, address below) for review for safety issues by the DAIDS Clinical Science Review Committee (CSRC). The Principal Investigator will be responsible for reporting recruitment, retention, and adverse events to DAIDS/NIAID. 2. establishing procedures to comply with FDA regulations for studies involving investigational agents and strategies and to comply with the requirements of 45 CFR Part 46 for the protection of human subjects. Terms of award for any human clinical trial component will be developed to ensure volunteer safety and monitoring of compliance with regulations and Good Clinical Practices. NIAID staff will provide guidance and technical advice on meeting FDA requirements for investigational substances. INCLUSION OF WOMEN AND MINORITIES IN RESEARCH INVOLVING HUMAN SUBJECTS 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 biomedical and behavioral research projects involving human subjects, unless a clear and compelling rationale and justification is provided 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 research involving human subjects should read the "NIH Guidelines For Inclusion of Women and Minorities as Subjects in Clinical Research," which have been published in the Federal Register of March 28, 1994 (FR 59 14508-14513), and the NIH Guide for Grants and Contracts, Vol. 23, No. 11., March 18, 1994. APPLICATION PROCEDURES Applications are to be submitted on the grant application form PHS 398 (rev. 5/95) and will be accepted on the application deadlines of November 12, 1997, November 1998, and November 1999. Applications kits are available at most institutional offices of sponsored research and may be obtained from the Division of Extramural Outreach and Information Resources, National Institutes of Health, 6701 Rockledge Drive, MSC 7910, Bethesda, MD 20892-7910, telephone 301/710-0267, email: [email protected]. Applications may also be obtained electronically via the WWW (http://www.nih.gov/grants/phs398/phs398.html). For purposes of identification and processing of the application, mark "YES" in item 2 on the face page and enter the PA number PAR-97-080 and the title "Novel HIV Therapies: Integrated Preclinical/Clinical Program". The signed, completed, typewritten original of the application (plus the Checklist) and three single-sided copies must be sent to: DIVISION OF RESEARCH GRANTS NATIONAL INSTITUTES OF HEALTH 6701 ROCKLEDGE DRIVE, ROOM 1040 - MSC 7710 BETHESDA, MD 20892-7710 BETHESDA, MD 20817 (for express/courier service) At the same time, two single-sided copies of the application and five sets of appendices must be sent to Dr. Dianne Tingley at the address listed under INQUIRIES. APPLICANTS REQUESTING $500,000 OR MORE IN ANNUAL DIRECT COSTS. The NIH Policy Update on Acceptance for Review of Unsolicited Applications that Request More Than $500,000 Direct Cost for Any One Year applies to applications in response to this PA. The Policy Update was published in the NIH Guide for Grants and Contracts, Vol. 25, No. 14, May 3, 1996, and became effective June 1, 1996. NIAID has policies that require pre-approval by the Institute before acceptance of Program Project applications and applications that request $500,000 or more in annual direct costs and guidelines for preparation of multi-project (including P01) research grant applications outlined in the NIAID Multiproject Instructions Brochure. Potential applicants must contact Dr. Sarver, at the address listed under INQUIRIES, to initiate clearance processes for acceptance of their applications and to obtain guidelines for the preparation of P01 applications. The NIAID Multiproject Instructions Brochure is also available via the WWW (http://www.niaid.nih.gov/ncn/tools/multibro.htm). CONCURRENT SUBMISSION OF AN R01 AND A COMPONENT PROJECT OF A P01 APPLICATION. Current NIH policy permits a component research project of a multi-project P01 grant application to be concurrently submitted as a traditional individual research project (R01) application. If, following review, both the multi-project P01 application and the R01 application are found to be in the fundable range, the investigator must relinquish the R01 and will not have the option to withdraw from the multi-project P01 grant. This is an NIH policy intended to preserve the scientific integrity of a multi-project grant, which may be seriously compromised if a strong component project(s) is removed from the program. Investigators wishing to participate in a multi-project grant must be aware of this policy before making a commitment to the Principal Investigator and awarding institution. GCRC INSTITUTIONS Applicants from institutions that have a General Clinical Research Center (GCRC) funded by the NIH National Center for Research Resources may wish to identify the Center as a resource for conducting the proposed clinical research. If so, a letter of agreement from the GCRC Program Director must be included in the application material. REVIEW CONSIDERATIONS Upon receipt, applications will be reviewed for completeness by the Division of Research Grants. Incomplete applications will be returned to the applicant without further consideration. Applications will be evaluated for scientific and technical merit by an NIAID ad hoc peer review Group convened in accordance with standard NIH review procedures. As part of the initial merit review, all applications will receive a written review and may undergo a process in which only those applications deemed to have the highest scientific merit will be assigned a priority score and receive a second level review by the NIAID Council. Applications determined to be non-competitive will be withdrawn from further consideration, and the Principal Investigator and the official signing for the applicant organization will be notified. Review criteria are based on the objectives and goals of the IPCP. The SPRG will evaluate applications for impact, approach, and feasibility using the standard NIH review criteria , and additional review criteria specific to this initiative and specific to either preclinical or clinical studies, as follows: IMPACT: The extent to which the project, if successfully completed, will make an original and important contribution to biomedical science. Specifically: A. The scientific, technical or medical significance, and originality of the project. B. The likelihood that, if successfully executed, this research will open a new direction in the treatment of HIV infection ( e.g., the innovativeness and uniqueness of the proposed strategy), demonstrate a capacity to be reduced to clinical practice, or merit evaluation in clinical studies for safety and proof-of-concept. C. For previously funded preclinical Groups (NCDDG-HIV): evidence of significant progress in the previous award (e.g. design, formulation, or development of therapeutic entities/strategies that merit clinical evaluation) D. For previously funded clinical (SPIRAT) Groups: demonstrate that the concept proposed is new, substantially improved, or represents a new direction from that evaluated in the preceding funding period. APPROACH: the extent to which the conceptual framework, design (including selection of appropriate subject populations or animal models), methods, and analyses are properly developed, well integrated, and appropriate to the objectives of the project. Specifically: A. appropriateness and adequacy of the experimental approach, the development plan, and the methodology proposed to carry out the research, including laboratory capabilities (preclinical and/or clinical) in immunology, virology, and cell biology; assays to detect changes in parameters related to HIV infection based on state-of-the-art methods. B. scientific and technical merit of the approach as a whole, and the relationship and contribution of each project and core to the central focus of the overall program. C. cohesiveness, multi-disciplinary and multifaceted scope of the program and the coordination and interdependence of the individual projects and core(s); plans for effective intra-Group communication. D. For Groups focusing on preclinical research: choice of the therapeutic target or strategy, its contribution to the diversity of potential therapeutics, and the likelihood that the target/strategy can be developed during the award period. E. For Groups proposing clinical research: adequacy and validity of the proposed milestones for determining the readiness of the Group to transition to clinical research (if applicable); iterative nature of clinical/laboratory research plan to develop and optimize the proposed treatment strategy; protocol design (clinical and scientific), short and long term development plans, and contingency plans addressing the specific objectives set forth in the therapeutic strategy; and provisions to obtain the required institutional and regulatory approvals (IRB, FDA, RAC) to conduct the clinical study. FEASIBILITY: the likelihood that the proposed work can be accomplished by the investigators, given their documented experience and expertise, past progress, preliminary data, requested and available resources, institutional commitment, and (if appropriate) documented access to special reagents or technologies and adequate plans for the recruitment and retention of subjects. Specifically: A. leadership, scientific ability, and administrative competence of the PI for the development and management of a comprehensive research program. B. qualifications and experience of each Project Leader (PL) or Core Leader in relation to his/her proposed contribution to the program. C. the PI's and PLs' commitment to devote substantial time and effort to the program. [Due to the complexity and time required to maintain a well-coordinated and productive research effort, a minimum 20% (time) commitment by the PI and PLs is strongly suggested unless there are compelling arguments to the contrary.] D. the academic, clinical, and physical environment in which the research will be conducted; the potential for interaction with scientists from other departments and/or institutions in relevant disciplines. E. For Groups proposing clinical research: experience of the PI and PLs in the planning, design, and conduct of small clinical studies in HIV-infected patients; availability of a General Clinical Research (GCRC), Center for AIDS Research (CFAR), or other additional source of institutional support and/or statistical support; the infrastructure required for the conduct of safe and efficient clinical research; and short and long range plans that will result in the successful implementation of clinical studies during the award period. AWARD CRITERIA Funding decisions will be made on the basis of scientific and technical merit as determined by peer review, appropriate balance of the preclinical and early clinical studies portfolios, overall programmatic balance and relevance to the control of public health problems, and availability of funds. Schedule Application Receipt Date: Nov 12, 1997 Scientific Review Date: Feb/Mar 1998 Earliest Date of Award: Jun/Jul 1998 INQUIRIES Written and telephone inquiries concerning this PA are strongly encouraged. The opportunity to clarify any issues or questions from potential applicants is welcomed. Inquiries regarding programmatic issues may be directed to: Nava Sarver, Ph.D. NIAID, Division of AIDS Chief, Targeted Interventions Branch Solar Building, Room 2C01 Bethesda, MD 20892-7620 TELEPHONE: 301-496-8197 FAX: 301-402-3211 E-mail: [email protected] Programmatic issues specific to CNS-related applications may be directed to: Dianne Rausch, Ph.D. NIMH, Office on AIDS 5600 Fishers Lane, Room 10-75 Rockville, MD 20857 TELEPHONE; 301-443-6100 FAX: 301-443-9719 E-mail: [email protected] Inquiries regarding review may be directed to: Dianne Tingley, Ph.D. NIAID, Division of Extramural Activities Scientific Review Program Solar Building, Room 4C07 Bethesda, MD 20892-7610 TELEPHONE: 301-496-2550 FAX: 301-402-2638 E-mail: [email protected] Inquiries regarding fiscal matters may be directed to: Mollie Shea NIAID, Division of Extramural Activities Grants Management Branch Solar Building, Room 4B26 Bethesda, MD 20892-7610 TELEPHONE: 301-402-6576 FAX: 301-480-3780 E-mail: [email protected] Diana S. Trunnell Assistant Chief, Grants Management Branch Parklawn Bldg, Room 7C-08 5600 Fishers Lane Rockville, MD 20857 TELEPHONE: 301-443-2805 FAX: 301-443-6885 E-mail: [email protected] AUTHORITY AND REGULATIONS This program is described in the Catalog of Federal Domestic Assistance, No. 93.856 - Microbiology and Infectious Diseases Research. Awards are made under authorization of the Public Health Service Act, Title IV, Part A (Public Law 78-410, as amended by Public Law 99-158, 42 USC 241 and 285) and administered under PHS grants policies and Federal Regulations 42 CFR 52 and 45 CFR Part 74. This program is not subject to the intergovernmental review requirements of Executive Order 12372 or Health Systems Agency review. The PHS strongly encourages all grant and contract recipients to provide a smoke-free work place and promote the non-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 routing 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. .
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