Department of Health and Human Services

Part 1. Overview Information

Participating Organization(s)

National Institutes of Health (NIH)

Components of Participating Organizations

National Institute of Allergy and Infectious Diseases (NIAID)

National Institute on Alcohol Abuse and Alcoholism (NIAAA)

Eunice Kennedy Shriver National Institute of Child Health and Human Development (NICHD)

National Institute on Drug Abuse (NIDA)

National Institute of Mental Health (NIMH)

All applications to this funding opportunity announcement should fall within the mission of the Institutes/Centers. The following NIH Offices may co-fund applications assigned to those Institutes/Centers.

Office of Behavioral and Social Sciences Research (OBSSR)

Office of Research on Women's Health (ORWH)

Funding Opportunity Title
American Women: Assessing Risk Epidemiologically (AWARE) (R01 Clinical Trial Optional)
Activity Code

R01 Research Project Grant

Announcement Type
Related Notices
  • October 28, 2021 - Reminder: FORMS-G Grant Application Forms & Instructions Must be Used for Due Dates On or After January 25, 2022 - New Grant Application Instructions Now Available. See Notice NOT-OD-22-018.
  • September 13, 2021 - Updates to the Non-Discrimination Legal Requirements for NIH Recipients. See Notice NOT-OD-21-181.
  • August 5, 2021 - New NIH "FORMS-G" Grant Application Forms and Instructions Coming for Due Dates on or after January 25, 2022. See Notice NOT-OD-21-169
  • August 5, 2021 - Update: Notification of Upcoming Change in Federal-wide Unique Entity Identifier Requirements. See Notice NOT-OD-21-170
  • April 20, 2021 - Expanding Requirement for eRA Commons IDs to All Senior/Key Personnel. See Notice NOT-OD-21-109
Funding Opportunity Announcement (FOA) Number
Companion Funding Opportunity
Assistance Listing Number(s)
93.855, 93.273, 93.865, 93.279, 93.242, 93.313
Funding Opportunity Purpose

This Funding Opportunity Announcement (FOA) will support research that combines epidemiologic methods, digital technology, and data science approaches to better understand HIV prevention, transmission, and early care-cascade points for women living in the US. Applications must: 1) determine the best ways to identify, enroll, and retain cohorts of women living in the United States (US) who are behaviorally vulnerable to HIV; and 2) develop a knowledgebase comprised of cohort data from women augmented with other data sources including big data sources. Findings should not only lead to a better understanding of how women remain vulnerable to HIV but also inform future pilot interventions aimed at decreasing the incidence of HIV and other sexually transmitted infections (STIs) among cisgender, transgender, and gender non-conforming women.

Key Dates

Posted Date
August 12, 2021
Open Date (Earliest Submission Date)
November 09, 2021
Letter of Intent Due Date(s)

30 days prior to the application due date

Application Due Dates Review and Award Cycles
New Renewal / Resubmission / Revision (as allowed) AIDS Scientific Merit Review Advisory Council Review Earliest Start Date
Not Applicable Not Applicable December 09, 2021 April 2022 May 2022 July 2022

All applications are due by 5:00 PM local time of applicant organization. All types of non-AIDS applications allowed for this funding opportunity announcement are due on the listed date(s).

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
December 10, 2021
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 FOA or in a Notice from NIH Guide for Grants and Contracts).

Conformance to all requirements (both in the Application Guide and the FOA) 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.

Table of Contents

Part 2. Full Text of Announcement

Section I. Funding Opportunity Description


While HIV prevention strategies have improved, and HIV incidence rates continue to decrease in the US, a critical need remains to strengthen and advance prevention particularly where declines appear to have stalled. The most recent surveillance data from the US Centers for Disease Control and Prevention (CDC) demonstrate that as of 2019, about 7,000 (19%) of all new HIV diagnoses were identified in women, with an increase among White women. Compared to the HIV incidence rate for White women in 2018, the rate of HIV infection was 13-times higher for Black women and 3-times higher for Latinas. New HIV case rates also remain high for transgender people; overall, 14% of transgender women in the US have HIV. Much higher prevalence rates are found among transgender minorities: 44% in Black transgender women, and 26% in Latina transgender women. These statistics point out the substantial vulnerabilities that remain, particularly in communities of color in the U.S.

Digital tools such as eHealth, mHealth, and social media and mobile applications have been widely used to improve uptake of disease prevention messages, conduct disease surveillance, and provide symptom and health tracking. In studies of men who have sex with men (MSM), digital approaches such as the NIH-funded Limited Interaction Targeted Epidemiology (LITE) program have facilitated recruitment to research studies irrespective of geographic location, improving the inclusion of people in rural and underserved areas, as well as marginalized individuals who experience substantial stigma and discrimination. Digital cohorts can be enrolled much faster than in traditional clinic- or community-based research settings which are constrained by scheduling and mobility limitations. Nominal interactions with study staff, and minimally invasive study requirements together maximize anonymity to help maintain unbiased and generalizable populations and enhance the ability to engage with key populations and study sensitive topics.

It has been demonstrated that traditional demographic and behavioral risk categories are insufficient to distinguish women who are more vulnerable to HIV. Recent research on the use of risk algorithms to determine pre-exposure prophylaxis (PrEP) eligibility demonstrated poor predictive power for women in contrast to good predictive value among MSM. Identifying women who are vulnerable to HIV is crucial to enable tailored prevention approaches. HIV health-related messaging directed broadly across demographic groups may fail to effectively communicate with high incidence sub-populations, stalling efforts to reduce HIV transmission in women in the US. This FOA seeks to build on previous experience with digital tools, minimally invasive requirements, and knowledge of subgroups of women to reach and inform prevention of HIV and other STIs in behaviorally vulnerable women.

Analysis of data from digital cohorts of HIV vulnerable women, combined with contextual and community data, may assist in understanding unique vulnerabilities to HIV. Epidemiologic studies using contextual and community data hold promise for new insights especially when combined with large digital cohorts.

Examples of such data include, but are not limited to:

  • Disease surveillance systems
  • HIV viral phylodynamics
  • Insurance coverage and health care utilization
  • Local and/or national economic and employment indicators
  • Use of prescription drug and illicit substances
  • Alcohol misuse patterns
  • Incarceration data
  • Social networking, social media
  • Health communication including modalities used to access and utilize health information

Research Objectives and Scope

This FOA seeks to support innovative, flexible, scalable technology-mediated epidemiologic studies focused on identifying vulnerabilities and informing on prevention and treatment of HIV in cisgender, transgender, and gender non-conforming women in the US. This will be accomplished through the development and analysis of knowledgebases that combine data from prospective cohorts of women with other sources of contextual data. In this context a knowledgebase is defined as centralized database that supports collecting, organizing, retrieving, and sharing information.

Each project will develop a prospective digital cohort of women to assess HIV incidence and factors that contribute to HIV vulnerability. In order to engage key populations and study vulnerable women, it is anticipated that minimal interactions with study staff, minimally invasive study requirements, and measures to protect privacy will be needed. Remote ascertainment of HIV and STI test results are highly encouraged, such as self-collection kits or medical record abstraction. Cohorts that include women across the lifespan such as adolescents (in this case greater than 15 years of age) and women over age 55 are encouraged. Use of digital technologies are likely to be needed to allow cost effective scalable recruitment and retention. Consultation with stakeholders in women’s health such as community advisory groups, consumer advocates, public health organizations, faith-based and/or spiritual leaders and organizations are strongly encouraged and are anticipated to be key to the success of reaching and enrolling women using this approach.

Studies may evaluate individual behavior (e.g., substance use, alcohol misuse, commercial/transactional sex) and/or women with behaviorally vulnerable sexual partners (e.g., bisexual, incarcerated men, concurrent partners). Information obtained from the digital cohort may be augmented by either case-control studies of women recently diagnosed with HIV and/or focus groups to collect more detailed qualitative data. Short-term follow-up within the project period is appropriate to assess behavioral vulnerabilities and validate the associations with testing data on HIV and/or STI acquisition in the cohort.

In addition to data from prospective studies, knowledgebases must also include data on community and structural-level factors such as disease surveillance, HIV viral phylodynamics, insurance coverage, health care utilization, local and/or national economic and employment indicators, use of prescription drug and illicit substances, alcohol misuse patterns, incarceration data, social networking, social media, and health communication including modalities used to access and utilize health information. These knowledgebases are expected to serve as a substantial resource for the wider investigative community. Knowledgebases are expected to remain current over the period of the award so that it continues to represent the current HIV risk environment for women, particularly as the HIV landscape changes across the U.S.

Projects of particular interest include, but are not limited to those that:

  • Identify optimal approaches to enrolling HIV vulnerable women, measuring risk and verifying HIV and other STI infections
  • Use the knowledgebases to describe in detail the individual and contextual factors that influence behavioral vulnerability to HIV among subgroups of women, and ameliorate vulnerabilities
  • Employ flexible scalable approaches for data acquisition and analysis
  • Use data science approaches to conduct network analyses and prediction models. Tools such as digital trace, viral phylogenetics, geospatial analysis, machine learning can be used to define networks, prevention strategy prediction in space and time
  • Conduct simulation and other types of modeling, to explain patterns in social networks, behavior risk, and health-seeking behaviors, in space and time
  • Develop models to anticipate responses to HIV prevention messages for different subgroups of behaviorally vulnerable women
  • Assess the role of substance abuse or alcohol misuse in women as related to behavioral vulnerability to HIV and other infectious diseases (STIs, hepatitis). Construct models to understand these interactions more deeply
  • Evaluate mental health as a determinant of HIV exposure and engagement in prevention strategies
  • Interrogate determinants of HIV PrEP awareness, uptake, and adherence
  • Develop optimal approaches to reach HIV vulnerable women across the lifespan
  • Process and visualize data, as well as predictions to display knowledge gained from AWARE research, aimed at informing the scientific community and organizations responsible for HIV and other STI-related health programs.

Combining multiple data sources in ways not originally anticipated requires careful considerations of ethical issues including risk of breaches of anonymity, privacy, or confidentiality. Collaboration with a bioethicist to guide the legal, social, and ethical considerations for data use and protection is strongly encouraged.

NIH program staff will provide opportunities for awardees to share approaches for data collection, data standards and harmonization, and analytic methods that foster collaborations and further NIH goals for advancing women’s health research and ending the HIV epidemic in women. Investigators are strongly encouraged to make knowledgebase(s) accessible to the scientific community as quickly as possible, preferable as soon as data are available for analysis.

NIH is striving for consistency and high levels of rigor and reproducibility in all research, and data sharing. Applicants are encouraged to review these goals in NOT-OD-21-013 Final NIH Policy for Data Management and Sharing. The development of data and more complex knowledgebases, as well as data science tools, that adhere to F.A.I.R. Data Principles (Findable, Accessible, Interoperable, and Reusable [digital objects]) will provide resources from this AWARE program to the scientific community for further development and future analyses and provide critical information on the use of digital recruitment and retention in populations of women vulnerable to HIV and other STIs. This is consistent with meeting the critical need to effectively and efficiently establish high-priority, mission related repositories and knowledgebases as part of NIAID’s vision to establish a federated, interoperable data ecosystem. Establishing these repositories and knowledgebases through good data management practices is the key to data and knowledge discovery, integration, and data reuse.

NIH Institutes and Centers (ICs) encourage the use of common data elements (CDEs) in basic, clinical, and applied research, patient registries, and other human subject research to facilitate broader and more effective use of data and advance research across studies. CDEs are data elements that have been identified and defined for use in multiple data sets across different studies. Use of CDEs can facilitate data sharing and standardization to improve data quality and enable data integration from multiple studies and sources, including electronic health records. NIH ICs have identified CDEs for many clinical domains (e.g., neurological disease), types of studies (e.g., genome-wide association studies [GWAS]), types of outcomes (e.g., patient-reported outcomes), and patient registries (e.g., the Global Rare Diseases Patient Registry and Data Repository). NIH has established a Common Data Element (CDE) Resource Portal" to assist investigators in identifying NIH-supported CDEs when developing protocols, case report forms, and other instruments for data collection. The Portal provides guidance about and access to NIH-supported CDE initiatives and other tools and resources for the appropriate use of CDEs and data standards in NIH-funded research. Investigators are encouraged to consult the Portal and describe in their applications any use they will make of NIH-supported CDEs in their projects. In summary, products of these investigations are expected to be widely shared (where not otherwise prohibited such as by Tribal authority).

Awardees must comply with applicable NIAID Clinical Terms of Award Guidance for Compliance and NIAID Clinical Terms of Award for activities that meet the NIH definition of a clinical trial.

Applications that include the following types of studies will be considered non-responsive to this FOA, and will not be reviewed:

  • Studies of women residing outside of the United States or its territories
  • Studies proposing a clinical trial to test pharmaceutical intervention(s), regardless of Investigational New Drug (IND) application status
  • Studies focused only on women identified with HIV before study start
  • Studies not focused on women vulnerable to HIV infection
  • Studies not proposing technology-focused approaches to establish and follow large numbers of HIV-negative women for epidemiologic research
  • Studies not proposing F.A.I.R. knowledgebases
  • Applications lacking a clearly described data sharing plan

Design, Analysis, and Sample Size for Studies to Evaluate Group-Based Interventions: Investigators who wish to evaluate the effect of an intervention on a health-related biomedical or behavioral outcome may propose a study in which (1) groups or clusters are assigned to study arms and individual observations are analyzed to evaluate the effect of the intervention, or (2) participants are assigned individually to study arms but receive at least some of their intervention in a real or virtual group or through a shared facilitator. Such studies may propose a parallel group- or cluster-randomized trial, an individually randomized group-treatment trial, a stepped-wedge design, or a quasi-experimental version of one of these designs. In these studies, special methods may be warranted for analysis and sample size estimation. Applicants should show that their methods are appropriate given their plans for assignment of participants and delivery of interventions. Additional information is available at

The AWARE program includes research agendas of multiple NIH Institutes and Centers (ICs) and Offices. Their specific scientific interests are outlined below for potential inclusion in proposed projects and will be a factor used to determine co-funding support for meritorious applications.

National Institute on Alcohol Abuse and Alcoholism (NIAAA)

The National Institute on Alcohol Abuse and Alcoholism (NIAAA) supports research that advances understanding of alcohol misuse and alcohol use disorder (AUD) among women at-risk and living with HIV/AIDS. The consequences of alcohol misuse and AUD have continued to increase in women, and the adverse effects of alcohol on health and life outcomes in women remain particularly worrisome. Research to be supported should address the complexity of issues at the intersection of alcohol misuse and vulnerability to HIV specifically in women. This includes research that includes vulnerable groups of youth, pregnant and transgender women, with a goal of preventing HIV transmission and decreasing the incidence of HIV.

Eunice Kennedy Shriver National Institute of Child Health and Human Development (NICHD)

NICHD encourages research and data science approaches that have the potential to change the lives of children, adolescents and women at risk of HIV, from birth through reproductive age and adulthood. Areas of particular interest to NICHD for this AWARE program include, but are not limited to, studies that:

  • Work to understand how sexually transmitted infections (STIs) and other emerging infectious diseases in behaviorally vulnerable pregnant and non-pregnant women provokes HIV acquisition and/or exacerbates infection
  • Use modeling approaches to delineate behaviorally vulnerable pregnant and lactating women from the general population
  • Use modeling approaches to delineate the earliest points of the HIV care continuum in pregnant and lactating women and/or adolescents
  • Interrogate the role of health disparities and risk for HIV infection in maternal health and mortality, with innovative approaches that can combat these issues in underrepresented populations
  • Demonstrate geographic representation of women vulnerable to HIV, including pregnant and lactating women, as well as their health-seeking behaviors that may influence access to HIV testing, maternal health status including during the postpartum period

National Institute on Drug Abuse (NIDA)

NIDA supports research at the intersection of substance use, HIV, and related comorbidities and generate evidence-based strategies to improve individual and public health. Of interest are projects that will generate data in the following epidemiologic research areas relevant to women who inject and/or use drugs (PWID/PWUD). NIDA is particularly interested in:

  • Substance use effects, including the dynamics of HIV transmission change with the types of drug use (e.g., prescription opioids to heroin, synthetic opioids to fentanyl) on HIV clinical outcomes in women, including risk for HIV acquisition, retention in care, co-occurring conditions such as viral hepatitis, STIs and neurocognitive disorders
  • Evaluation of novel methods to characterize substance use-related behavior in women and use of substance use services (e.g., medication-assisted treatment, syringe services) over time at both individual and system levels
  • Studies that consider substance use and substance use trajectories for women in the context of HIV-related reproductive health and clinical conditions co-occurring with HIV (e.g., pregnancy, STIs, viral hepatitis). This work could include the impact of natal assault laws and social stigma on access to both substance use and HIV care.
  • Assessment of the effectiveness of substance use treatment and integrated substance use-HIV treatment venues as strategies for treatment as prevention in women
  • Epidemiologic impact of social and economic factors on HIV prevention and clinical management of HIV in substance-using women, especially women from racial or ethnic minorities. Such factors could include job loss, homelessness and disruption of substance use and HIV services (e.g., lingering impact of COVID-19 pandemic)

National Institute of Mental Health (NIMH)

NIMH, through the Division of AIDS Research, supports research to reduce the incidence of HIV worldwide and to decrease the burden of living with HIV. NIMH areas of particular interest include, but are not limited to:

  • Use of artificial intelligence (AI) to efficiently identify, enroll, and retain cohorts of women living in the US whose mental health status increases their risk for acquiring HIV
  • Research to improve our understanding of the impact of community and neighborhood level factors (e.g., availability of sexual and reproductive health services, violence exposure, poverty, racism, HIV stigma) on awareness and uptake of HIV prevention strategies among women in areas where women have higher than average HIV incidence rates
  • Use of novel methods to better understand the impact of individual- and interpersonal-level factors, including mental health, trauma, partner violence, internalized stigma, and mobility, on awareness and uptake of HIV prevention among women
  • Integration and harmonization of data from large-scale, population-based datasets to model the multi-level influences (individual-, interpersonal-, community-, structural-level factors) on HIV prevention outcomes

Office of Research on Women’s Health (ORWH)

The research priorities described in this funding opportunity announcement align well with ORWH’s Strategic Goals, Advancing Science for the Health of Women: The Trans-NIH Strategic Plan for Women’s Health Research. ORWH will not be assigned any applications from this funding opportunity announcement but may choose to support the stated research priorities of the participating Institutes/Centers in providing co-funding.

Office of Behavioral and Social Sciences Research (OBSSR)

OBSSR will not be assigned any applications from this funding opportunity announcement but may choose to support the stated research priorities of the participating Institutes/Centers in providing co-funding.

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

Section II. Award Information

Funding Instrument

Grant: A support mechanism providing money, property, or both to an eligible entity to carry out an approved project or activity.

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 FOA.

Clinical Trial?

Optional: Accepting applications that either propose or do not propose clinical trial(s).

Need help determining whether you are doing a clinical trial?

Funds Available and Anticipated Number of Awards

Issuing IC and partner components intend to commit an estimated total of $4.65 million to fund 3-5 awards in FY 2022.

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 project period is 5 years.

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

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 Governments

  • 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
Foreign Institutions

Non-domestic (non-U.S.) Entities (Foreign Institutions) are not eligible to apply.

Non-domestic (non-U.S.) components of U.S. Organizations are not 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.

  • Dun and Bradstreet Universal Numbering System (DUNS) - All registrations require that applicants be issued a DUNS number. After obtaining a DUNS number, applicants can begin both SAM and eRA Commons registrations. The same DUNS number must be used for all registrations, as well as on the grant application.
  • 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.
  • eRA Commons - Applicants must have an active DUNS number to register in eRA Commons. Organizations can register with the eRA Commons as they are working through their SAM or registration, but 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 DUNS number and 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 his/her organization to develop an application for support. Individuals from underrepresented racial and ethnic groups as well as individuals with disabilities are always encouraged to apply for NIH support.

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 FOA 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. 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 NOT-OD-11-101).

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 FOA. 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 funding opportunity announcement 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.

Letter of Intent

Although a letter of intent is not required, is not binding, and does not enter into the review of a subsequent application, the information that it contains allows IC staff to estimate the potential review workload and plan the review.

By the date listed in Part 1. Overview Information, prospective applicants are asked to submit a letter of intent that includes the following information:

  • Descriptive title of proposed activity
  • Name(s), address(es), and telephone number(s) of the PD(s)/PI(s)
  • Names of other key personnel
  • Participating institution(s)
  • Number and title of this funding opportunity

The letter of intent should be sent to:

Kristina S. Wickham, PhD
Telephone: 301-761-5390

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 FOA.

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.

SF424(R&R) Senior/Key Person Profile

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

R&R or Modular 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:

Research Strategy: Provide an overall strategy for identifying vulnerabilities of women to HIV and how this informs the approach to

  • enrolling and retaining women in the cohort
  • using of structural or contextual data
  • integration of data into a knowledgebase and approach to analysis

Include your hypothesis and how it may inform HIV treatment and prevention in women.

In a section clearly labeled, Milestones and Timelines, describe the specific milestones and timelines to achieve the specific aims of the application. Indicate any barriers or uncertainties that could affect the timeline.

In a section clearly labeled, Target Study Population, describe and justify for the target study population for the research question(s) posed. Include a discussion of applicability of the study results to additional populations of HIV vulnerable women.

Specifically describe the integration of the team regarding: data science and clinical research with cisgender, transgender, and/or gender non-conforming women in the areas of prevention and treatment for HIV and other STIs.

As applicable, also include the following information as part of the Research Strategy, keeping within the three sections (Significance, Innovation, and Approach) requested in the SF424 (R&R) Application Guide.

  • Describe experience and approaches for enrolling US women highly vulnerable for HIV acquisition and plans to include NIH-designated health disparity populations in the United States, which include Blacks/African Americans, Hispanics/Latinos, American Indians/Alaska Natives, Asians, Native Hawaiians and other Pacific Islanders; socioeconomically disadvantaged populations of any race, underserved rural populations, as well as sexual and gender minorities (transgender women for the purposes of this FOA),
  • Describe cohort enrollment approaches, their scalability, and alternatives if necessary, for follow-up and retention of sufficient numbers of women.
  • Describe efforts to minimize barriers that may cause bias and loss to follow-up. Include description of stakeholder involvement. Indicate specific milestones for enrollment and retention targets for the cohort.
  • Describe the statistical plan and statistical evaluation of the sample size needed to test study hypotheses, and the individual and contextual factors associated with HIV seroconversion.
  • Provide plans to determine the HIV status of the cohort at enrollment and during follow-up. Include a description and justification for the HIV testing methods to be used and appropriate validation plans.
  • Describe plans for referring participants who seroconvert during the project for HIV treatment.
  • Describe and justify the existing contextual data to be included in the knowledge base and how those data will enrich the understanding of HIV vulnerabilities. Provide evidence of access to non-public datasets that are proposed.
  • Describe plans to develop the knowledgebase through integration of cohort data with community and structural data sources.
  • Describe plans and approaches for securing and anonymizing highly sensitive data, preventing data breaches, reidentification, loss of privacy and confidentiality. Address ethical considerations for protecting participant anonymity, prevent loss of privacy and confidentiality of personally identifiable information.

Note: Do not duplicate the information requested within the PHS Human Subjects and Clinical Trials Information Section (below) when describing human subjects research or clinical trials (optional).

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.

The following modifications also apply:

  • All applications, regardless of the amount of direct costs requested for any one year, must address a Data Sharing Plan.
  • The Data Sharing Plan must include detailed plans for rapidly providing the HIV research community access to the knowledgebase as well as plans for sharing data, including metadata, protocols, manuals of procedures, algorithms for calculated data elements, and other documentation that describe the study and resultant data. Provide specific timelines, platforms, repositories, and access procedures planned for data sharing.
Only limited Appendix materials are allowed. Follow all instructions for the Appendix as described in the SF424 (R&R) Application Guide.
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.

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 Component of the SF424(R&R) Application Package. 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 FOA for information on registration requirements.

The applicant organization must ensure that the DUNS number it provides on the application is the same number 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 components of participating organizations, NIH. Applications that are incomplete, non-compliant and/or nonresponsive will not be reviewed.

Post Submission Materials

Applicants are required to follow the instructions for post-submission materials, as described in the policy. Any instructions provided here are in addition to the instructions in the policy.

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.

In addition, for applications involving clinical trials: 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?

Specific to this FOA:

  • Will successful completion of the aims influence the testing and treatment methods, technologies used, health care services, or other interventions critical to prevention of HIV?

In addition, for applications involving clinical trials

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?

Specific to this FOA:

  • Do the PDs/PIs demonstrate experience in the conduct of clinical research addressing issues unique to cisgender, transgender, and/or gender non-conforming women in the areas of prevention and treatment for HIV, other STIs?
  • Does the research team have a track record for the recruitment and retention of minority women?
  • Do the PDs/PIs and collaborative research team demonstrate experience in data science?

In addition, for applications involving clinical trials

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?

Specific to this FOA:

  • Does the research methodology reflect innovative use of digital technology to recruit and retain participants?
  • Do contextual data complement the cohort data to broaden the understanding of HIV-vulnerability in women?
  • Does the research propose innovative data science to bring new knowledge to HIV/STI research?

In addition, for applications involving clinical trials

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?

Specific to this FOA:

  • To what degree does the approach provide confidence of acceptability, feasibility, and potential impact of the project approach to access, recruit and retain the US population of women who are behaviorally vulnerable to HIV?
  • Does the approach identify and manage high risk aspects of the project?
  • Do the planned HIV screening approaches for screening, enrollment and during the project align with the goals of the program with respect to feasibility, cost, and veracity?
  • Does the project include appropriate enrollment of subgroups of women representative of the current U.S. epidemic of new HIV diagnoses?
  • Is the strategy for verifying race, sex, and age of the participants appropriate?
  • Does the study design consider potential changes in HIV incidence in the U.S./territories that may occur during the project period?
  • Does the approach include the early planning needed to allow rapid and transparent data sharing while protecting sensitive data?
  • Does the structure of the knowledgebase and the Data Sharing Plan facilitate rapid access to the metadata, protocols, manuals of procedures, algorithms for calculated data elements, and other documentation that describe the study and resultant data?

In addition, for applications involving clinical trials

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?


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?

In addition, for applications involving clinical trials

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

Specific to applications involving clinical trials

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 Animal 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.


Not Applicable.


Not Applicable.


Not Applicable.

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

Not Applicable.

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 following Resource Sharing Plans, or the rationale for not sharing the following types of resources, are reasonable: (1) Sharing Model Organisms; and (2) Genomic Data Sharing Plan (GDS).

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 National Institute of Allergy and Infectious Diseases (NIAID), 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 may undergo a selection process in which only those applications deemed to have the highest scientific and technical merit (generally the top half of applications under review) will be discussed and assigned an overall impact score.

Appeals of initial peer review will not be accepted for applications submitted in response to this FOA.

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 FOA. Following initial peer review, recommended applications will receive a second level of review by the National Advisory Allergy and Infectious Diseases 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.

Awardees 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 FOA 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 awardee 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. More information is provided at Award Conditions and Information for NIH Grants.

Recipients of federal financial assistance (FFA) from HHS must administer their programs in compliance with federal civil rights laws that prohibit discrimination on the basis of race, color, national origin, disability, age and, in some circumstances, religion, conscience, and sex. This includes ensuring programs are accessible to persons with limited English proficiency. The HHS Office for Civil Rights provides guidance on complying with civil rights laws enforced by HHS. Please 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 FOA.

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 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

Not Applicable

3. Reporting

When multiple years are involved, awardees 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.

The Federal Funding Accountability and Transparency Act of 2006 (Transparency Act), includes a requirement for awardees of Federal grants to report information about first-tier subawards and executive compensation under Federal assistance awards issued in FY2011 or later. All awardees 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: 301-945-7573 Customer Support (Questions regarding registration and Workspace)
Contact Center Telephone: 800-518-4726

Scientific/Research Contact(s)

Joana Roe, BA
National Institute of Allergy and Infectious Diseases (NIAID)
Telephone: 240-627-3213

Kendall Bryant, PhD
National Institute on Alcohol Abuse and Alcoholism (NIAAA)
Telephone: 301-402-9389

Denise A. Russo, PhD
Eunice Kennedy Shriver National Institute of Child Health and Human Development (NICHD)
Telephone: 301-435-6871

Peter Hartsock, PhD
National Institute on Drug Abuse (NIDA)
Telephone: 301-402-1964

Teri Senn, PhD
National Institute of Mental Health (NIMH)
Telephone: 301-761-7852

Elizabeth Anne Barr, PhD
Office of Research on Women's Health (ORWH)
Telephone: 301-402-7895

Peer Review Contact(s)

Kristina S. Wickham, PhD
National Institute of Allergy and Infectious Diseases (NIAID)
Telephone: 301-761-5390

Financial/Grants Management Contact(s)

Ann Devine
National Institute of Allergy and Infectious Diseases (NIAID)
Telephone: 240-669-2899

Judy Fox
National Institute on Alcohol Abuse and Alcoholism (NIAAA)
Telephone: 301-443-4704

Margaret Young
Eunice Kennedy Shriver National Institute of Child Health and Human Development (NICHD)
Telephone: 301-642-4552

Pamela G. Fleming
National Institute on Drug Abuse (NIDA)
Telephone: 301-480-1159

Rita Sisco
National Institute of Mental Health (NIMH)
Telephone: 301-443-2805

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.

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