Full Text AI-93-04 NATIONAL COOPERATIVE VACCINE DEVELOPMENT GROUPS FOR ACQUIRED IMMUNODEFICIENCY SYNDROME NIH GUIDE, Volume 22, Number 3, January 22, 1993 RFA: AI-93-04 P.T. 34 Keywords: AIDS Vaccine National Institute of Allergy and Infectious Diseases Letter of Intent Receipt Date: February 26, 1993 Application Receipt Date: April 22, 1993 PURPOSE It is the intention of this Request for Applications (RFA) to encourage investigators to collaborate on new approaches for Acquired Immunodeficiency Syndrome (AIDS) vaccine research and development through the National Cooperative Vaccine Development Groups (NCVDG) Program, and to complement and balance the efforts presently being pursued by existing NCVDGs. It is recognized that the ultimate objective of developing efficacious AIDS vaccines requires a solid knowledge base of the immunology, virology, adjuvants, molecular biology, and host interactions of infectious agents. The objective of this RFA is to stimulate original, novel and innovative research of sound scientific rationale, requiring comprehensive team effort, that is likely to result in AIDS vaccines effective in prevention and/or used as immunotherapy against AIDS. The National Institute of Allergy and Infectious Diseases (NIAID) invites applications aimed at the conceptualization, development, and evaluation of vaccines designed to effectively prevent (AIDS). This research should stress creative, novel approaches to the development of effective AIDS vaccines and should have the capacity to translate these concepts rapidly into improved candidate vaccines. The NCVDG can be focused in one or more vaccine areas and may pursue studies of HIV-based vaccines or studies of relevant model viruses (e.g., the Simian Immunodeficiency Viruses (SIV)). The Group must possess the expertise necessary to conduct adequate evaluation of the proposed approach(s) in preclinical situations. Further studies required for development of new vaccines to bring them to clinical trial may be a part of the work proposed by an applicant. Alternatively, an NCVDG may request that the NIAID conduct these developmental tasks using contracts now in place (SIV Evaluation Units, Chimpanzee Access via Interagency Agreement with the National Cancer Institute, and AIDS Resources and Reagents Contract). An NCVDG must form a cohesive team, and is encouraged to include scientists from a combination of academic, non-profit research, and commercial organizations. Applications that include research projects from the private sector (e.g., pharmaceutical, chemical, or biotechnological companies) are encouraged. 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 RFA, National Cooperative Vaccine Development Groups for AIDS, 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 "Healthy People 2000" (Summary Report: Stock No. 017-001-00473-1) through the Superintendent of Documents, Government Printing Office, Washington, DC 20402-9325 (telephone 202-783-3238). ELIGIBILITY REQUIREMENTS Applications may be submitted by domestic and foreign for-profit and non-profit organizations, public and private, such as universities, colleges, hospitals, laboratories, companies, units of State and local governments, and eligible agencies of the Federal government. Applications from minority individuals and women are encouraged. MECHANISM OF SUPPORT Awards will be made as cooperative agreements (U01s). The cooperative agreement is an assistance mechanism in which substantial NIAID programmatic involvement with the recipient during the performance of the planned activity is anticipated. The nature of NIAID staff participation is described in SPECIAL REQUIREMENTS - Terms and Conditions of Award. The awardee will be responsible for the planning, direction, and execution of the proposed project and interrelated activities. A minimum of two interrelated research projects per Group is required. While no maximum number of projects is stipulated, it has been observed that when a multidisciplinary grant or award exceeds six component projects the program becomes less coordinated and more difficult to manage. The total project period for applications submitted in response to this RFA may not exceed four years. Because the nature and scope of the research proposed in response to this RFA may vary, it is anticipated that the size of the award will vary also. However, applications with first-year budgets in excess of $1,000,000 total (direct and indirect) should contact the NIAID Scientific Coordinator, listed under INQUIRIES, for written approval. Budget requests should be carefully justified and commensurate with the complexity of the project. This RFA may be a one-time solicitation. If by the end of the third year of the award, the NIAID has not announced its intent to re-issue the RFA, incumbents should contact NIAID program staff and consider submitting investigator-initiated (R01) applications which will compete with all investigator-initiated applications and be reviewed according to the customary peer review procedures. While the number of applications cannot be determined, both new and competitive renewal applications are anticipated. All policies and requirements that govern the grant program of the PHS, and the National Institutes of Health (NIH) apply. FUNDS AVAILABLE The NIAID anticipates making four to eight awards for project periods up to four years. The NIAID has set aside $4.2 million total costs for the first year of funding. This level of support is dependent on the receipt of a sufficient number and diversity of applications of high scientific merit. Although this program is provided for in the financial plans of the NIAID, awards pursuant to this RFA are contingent upon the availability of funds for this purpose. RESEARCH OBJECTIVES Background The NIH and other agencies in the PHS are currently supporting extramural and intramural projects for the study of the etiology, natural history, and demographics of AIDS; for the screening of high-risk individuals; for determining means of diminishing the risk of infection; and for the development of vaccines and other methods of prevention. Notwithstanding these efforts, the rapidity of the increase in diagnosed cases of AIDS and the morbidity from this disease require the mobilization of the most creative scientific talents -- regardless of their scientific discipline or organizational affiliations -- into groups whose objective is to pursue aggressively a concerted research effort to discover and develop vaccines for preventing AIDS. Recent surveillance studies indicate that the total number of AIDS cases in the U.S. reported through March 1992 was 218,301, with projections by WHO of 30 to 40 million HIV infections worldwide in men, women, and children by the year 2000. Moreover, more than 90 percent of these cases will be in developing countries. It has been predicted that all infected persons will progress to develop AIDS. An NCVDG may consist of scientists from academic and/or non-profit research institutions and commercial organizations. The NIAID has awarded thirteen NCVDGs, some of which already have terminated. The purpose of this current initiative is to maintain the total NCVDG network to ten Groups aimed at facilitating and accelerating efforts in AIDS vaccine development. A listing of the active NCVDGs can be found in Appendix I. Research Goals and Objectives of the NCVDG Program 1. The principal goal of the NCVDG Program for AIDS is the conceptualization, development, and evaluation of vaccines designed to effectively prevent AIDS in humans. This research can focus on HIV or other lentiviruses (e.g., SIV) that are appropriate models for AIDS vaccine development and that may involve animal model studies of vaccine immunogenicity and efficacy. 2. Applications for funding as an NCVDG should stress creative, novel approaches to the development of effective AIDS vaccines and may emphasize one or more of the general approaches outlined below. Since the currently funded NCVDGs are also pursuing research in many of these areas, potential applicants are strongly encouraged to contact program staff to determine if their proposed studies address vaccine strategies not currently being funded. Applications for research on novel vaccine vectors, immunogen processing and presentation, mucosal immunity, and creative methods to enhance immunogenicity are encouraged. Approaches may include, but are not limited to: o live attenuated vaccines; o whole inactivated vaccines; o recombinant proteins or protein fragments; o novel recombinant viruses or other vectors (e.g., yeast Ty elements, hepatitis B virus, bacteria); o synthetic peptides; o combination approaches; o DNA immunization. 3. Applications should address all aspects of research, from basic research to subsequent developmental studies, scale-up and production, evaluation in laboratory animals, protection of appropriate species from infection or disease following virulent challenge, and other considerations that relate to the acceptability and utility of candidate vaccines for clinical trials. Applicants should describe their plans to accommodate the stated program requirements, criteria, and staff involvement. 4. The Group's objectives and goals should be relevant and compatible with NIAID program's missions and directions as stated in this RFA. 5. For small pilot studies involving a few animals, the Principal Investigator is expected to have access to a small number of animals and to primate facilities. For larger animal studies the applicant may use NIAID resources such as the SIV Evaluation Units, Chimpanzees via Interagency Agreement with the National Cancer Institute, and the Resources and the Reagents Contract. The Principal Investigator should contact the program official on how these resources may be accessed. Definitions COOPERATIVE AGREEMENT - An assistance mechanism in which substantial NIAID programmatic involvement with the recipient organization during the performance of the planned activity is anticipated. NATIONAL COOPERATIVE VACCINE DEVELOPMENT GROUP (NCVDG) - In this RFA the terms National Cooperative Vaccine Development Group, NCVDG, and "Group" are synonymous. Each Group may be composed of a number of scientific investigators from academic and/or non-profit research institutions as well as scientists from commercial organizations, performing research on interrelated projects whose central focus is development of vaccine(s) for AIDS. RESEARCH PROJECT - A discrete, specified, circumscribed project that must relate to the overall theme of the NCVDG. SCIENTIFIC CORE COMPONENTS - Facilities for equipment and services that are shared by two or more projects of the Group. Examples of Scientific Core components are: vaccine production facility, reagent production, animal model evaluations. The Scientific Core can be defined as a component with established techniques and assays that perform a service function resulting in an economy of effort and savings in the overall costs. The Scientific Core unit is to be described in the same detail as research projects to enable the evaluation of its scientific expertise and technical merit. (See details for preparation of the budgets under Preparation and Organization of the Application). ADMINISTRATIVE CORE - An administrative facility that provides central operations and support for the overall management of the cooperative agreement and services shared by the Group as a whole. The Administrative Core should have a budget separate from that of the Principal Investigator's, but administered by the Principal Investigator's organization. PROJECT LEADER - The leader of one of the scientific research projects of the NCVDG, who is responsible for the scientific conduct of that project. CORE LEADER - The leader of one of the Scientific or Administrative Cores of the NCVDG PRINCIPAL INVESTIGATOR - The person who assembles the NCVDG, who is responsible for the performance of the Group as a whole and for that of each of the Project Leaders, and who submits the single application in response to this RFA. The Principal Investigator will coordinate Group activities scientifically and administratively and should preferably also be project leader of one of the Research Projects of the Group. The awardee institution establishes and operates the Central Operations Office that funds Group members and is legally and fiscally accountable for the disposition of funds awarded. While the Principal Investigator need not be an employee of the awardee institution, for this Program NIAID strongly prefers that the Principal Investigator be an employee of the awardee institution. NIAID SCIENTIFIC COORDINATOR - A scientist of the extramural staff of the NIAID who functions as a peer with the Principal Investigators and Project Leaders and facilitates the partnership relationship between NIAID and the Groups. INVENTION - A new vaccine that is or may be patentable under Title 35 of the United States Code. ARBITRATION PANEL - A panel that is formed to review any scientific or programmatic activity that is impeding progress within a Group. It will be composed of a "Group" designee, one NIAID designee, and a third designee with expertise in the relevant area and chosen by the other two. Such panels may help resolve both scientific and programmatic issues that develop during the course of work that restrict progress. SPECIAL REQUIREMENTS Terms and Conditions of Award NOTE: Failure to abide by any of the Terms of Award pertaining to awardee responsibilities stipulated in this Section may result in the withholding of funds by the NIAID until compliance with the terms is restored. Working Relationships Within a Cooperative Agreement Under the Cooperative Agreement, a partner relationship exists between the recipient of the award and NIAID in which the Group is responsive to the requirements and conditions set forth in this RFA. The participation of the Government through the NIAID extramural staff is intended to facilitate a concerted effort by all members of the network of Groups by providing appropriate scientific input, by coordinating efforts among Groups, by making available to Groups biological materials for testing, by accessing appropriate data bases, and by providing ancillary testing and other resources, such as reagents, samples or experimental animals, available under existing Government contracts. The interaction of academic and non-profit research institutions with commercial organizations and Government is strongly encouraged and is expected to favor expeditious preclinical development of AIDS vaccines to prevent transmission of HIV. Patent Coverage Inasmuch as the development of effective AIDS vaccines is the objective of this effort, and since active involvement by industrial laboratories is facilitated by the existence of adequate patent coverage, it is essential that applicants provide plans to ensure such coverage. Since several institutions may be involved, the situation could be complicated. Each applicant Group must, therefore, provide a detailed description of the approach to be used for obtaining patent coverage and for licensing where appropriate, in particular where the invention may involve investigators from more than one institution. In addition, each Group must provide a detailed description of the procedures to be followed for the resolution of legal problems that may develop. Your attention is drawn to P.L. 96-517 as amended by P.L. 98-620 and instructions published by the Office of Management and Budget in the Federal Register (OMB Circular A-124), Volume 47, Number 34, Friday, February 19, 1982, pp. 7556-7566. Note that non-profit organizations (including universities) and small business firms retain the rights to any patent resulting from Government contracts, grants or Cooperative Agreements. Also, 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 their own particular circumstances. The proposed patent plan among the institutions comprising the Group must be submitted with the application. This patent agreement, signed and dated by the organizational officials authorized to enter into patent arrangements for each Group member and member institution, must be sent prior to peer review to Dr. Alan Schultz at the address listed under INQUIRIES. 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 Extramural Invention Reports office, Office of Extramural Research, Building 31, Room 5B41, NIH, with a copy to Dr. Alan Schultz at the address listed under INQUIRIES. Awardee Rights and Responsibilities The applying Group must define its objectives in accord with its own interests and perceptions of novel and exploitable approaches and must develop the detail of the research design following the guidance given in this RFA. It is the primary responsibility of the Principal Investigator to clearly state the objectives of the Group, to perform the research stipulated in the proposal and to ensure that the results obtained are published in a timely manner. The data obtained will be the property of the awardee. Specifically, the Principal Investigator defines the details for the project within the guidelines of the RFA, retains primary responsibility for the performance of the scientific activity, and agrees to accept close assistance in coordination, cooperation, and participation of NIAID staff in all aspects of scientific and technical management of the project in accordance with the terms formally and mutually agreed upon prior to the award. The responsibility for the planning, direction, and execution of the proposed project will be solely that of the applicant. 1. Meetings o Two mandatory Group meetings. The Principal Investigator and Project Leaders of the Group, and the NIAID Scientific Coordinator, must meet twice per year to review progress, plan and design research activities, and establish priorities within the Group. The Principal Investigator will be responsible for scheduling the time and place (generally at one of the performance sites) and for preparing concise proceedings or minutes which will be delivered to the members of the group within sixty days of the meeting. The agenda for this meeting will be determined by agreement between the Principal Investigator and the NIAID Scientific Coordinator. NIAID staff may not chair Group meetings. o One mandatory meeting of the awardees will be held annually at the NIH or at a site designated by the NIAID during which the Principal Investigators and Project Leaders of all the Groups will present significant findings in symposium format. Applicants should include requests for travel funds specifically for the above meetings when preparing the budget. o Informal meetings. A critical determinant of Group success will be the degree of communication among its members. Therefore, in addition to the three meetings listed above, two additional meetings which may be necessary for coordination of Group activities may be scheduled if justified and should be included in the budget. Regular telephone and written communication will be important and are encouraged. 2. The Principal Investigator will be responsible for the timely submission of all abstracts, manuscripts and reviews (co)authored by members of the Group and supported in part or in total under this Agreement. The Principal Investigator and Project Leaders are requested to submit manuscripts to the Scientific Coordinator within three weeks of acceptance for publication so that an up-to-date summary of program accomplishments can be maintained. 3. An annual Progress Report should be submitted, which should include a complete and cumulative list of all publications (abstracts, manuscripts, reviews) (co)authored by Group members and supported in part or in total under this Agreement. Each Progress Report should also include a brief section outlining intra-Group interactions that have augmented activities, citing specific occurrences (e.g., construct X was made under Project 1 and transferred to Project 2 for analysis). Inter-Group collaboration with other NCVDGs should be specified, where applicable. Interaction with the Scientific Coordinator and the NIAID during the reporting period should be described. The Progress Report should routinely include basic information. Please refer to PHS 2590 noncompeting continuation application form, which includes the basic information required by NIH for preparation of the progress report. 4 Publications or oral presentations of work done under this Agreement are the responsibility of the Principal Investigator and appropriate Project Leaders and will require appropriate acknowledgement of NIAID support. 5. All published (abstracts, peer reviewed manuscripts, reviews) and oral presentations of work supported in part or in total by the NCVDG cooperative agreement must acknowledge the award by including the mechanism, cooperative agreement number, and Institute, i.e., "This work was supported in whole (or in part) by the NCVDG program, cooperative agreement number U01-AI-12345, NIAID. 6. While the NIAID Scientific Coordinator has a right of access to the data (see NIAID staff responsibilities below), the applicant will retain custody of and rights to the data. Timely publication of major findings is encouraged. 7. The applicant institution and the Principal Investigator will be responsible for the Group's application. The award will be made to the applicant institution on behalf of the Group as a whole and not to individual research projects within the Group. The applicant institution will provide a Central Operations Office for the Group, will be responsible for the performance of the entire Group, and will be accountable for the funds awarded. NIAID Staff Responsibilities: Nature of NIAID Participation Assistance via a Cooperative Agreement differs from the traditional research grant in that, in addition to the normal programmatic and administrative stewardship responsibilities, the awarding component (NIAID) anticipates substantial programmatic involvement during performance of the research program. NIAID shall work with the Group and shall be represented by a NIAID Scientific Coordinator. The coordinator shall be a member of the professional staff of the Vaccine Research and Development Branch, Basic Research and Development Program, Division of AIDS. During performance of the award, the NIAID Scientific Coordinator, Dr. Alan M. Schultz, Acting Preclinical Section Chief, may provide appropriate assistance, advice, and guidance by performing the following: participating in the design of Group activities; advising in the selection of sources or resources; coordinating or participating in collection and/or analysis of data; advising in management and technical performance; or participating in the preparation of publications. However, the role of the NIAID will be to facilitate and not to direct the activities. It is anticipated that decisions in all activities will be reached by consensus of the Group and that NIAID staff will be given the opportunity to offer input to this process. The manner of reaching this consensus and the final decision-making authority will rest with the Principal Investigator. 1. NIAID Participation in Design of Group Activities, Development of Research Protocols and Evaluation of Results o The NIAID Scientific Coordinator, like other Group members, may suggest studies within the scope of the Group's objectives and research activities; may present to the Group experimental findings from published sources or from contract projects in support of these suggestions; may participate in the design, but not in the execution, of experiments agreed to by the Group; and may participate in the analysis of results. o The NIAID Scientific Coordinator may assist the Group or other individual members in research planning, particularly by: o provision of needed resources and information that may not be otherwise be available to the Group; o provision of data from testing conducted in resource contract laboratories; o provision of information concerning work being conducted in other NIAID-supported extramural projects, in order to reduce or prevent duplication of efforts. 2. NIAID Participation in Collection and Analysis of Data, Procedures for Submission of Results to NIAID, and Preparation of Group Findings for Presentation and Publication In addition to the special reports and stipulations described below, reporting requirements will be identical to those currently in existence for awardees of traditional NIH research project grants. o The principal end product of NCVDG activities will be the development of promising AIDS vaccines for testing in clinical trials. Subsequent developmental work through private resources is encouraged. Alternatively, the Group may recommend that development be sponsored by the NIAID. In the latter case, it will be necessary for the Principal Investigator (s), appropriate Project Leaders and the NIAID Scientific Coordinator to collaborate in the analysis, summarization, preparation, and presentation of data to the appropriate NIAID staff and NIH advisory committees (including the AIDS Research Advisory Committee and NIAID Council) and other working groups (such as the Animal Model Operating Committee or the AIDS Vaccine Selection Committee). o NIAID will retain the option to cross-file or independently file an application for investigational clinical trial; i.e., an Investigational New Drug Application (INDA), to the United States Food and Drug Administration of any invention resulting from these NIAID supported Cooperative Agreements. Reports of data generated by the Group or any of its members required for inclusion in INDA's and Clinical Brochures and for cross-filing purposes will be submitted by the Principal Investigator to the Scientific Coordinator upon request. Such reports will be in final draft form and include background information, methods, results, and conclusions. They will be subject to approval and revision by the NIAID and may be augmented with test results from other Government sponsored projects prior to submission to the appropriate regulatory agency. o The NIAID, via the NIAID Scientific Coordinator, will have access to data generated under this Cooperative Agreement. Information obtained from the data may be used by the NIAID Scientific Coordinator for the preparation of internal reports on the Group's activities. Arbitration Process Inasmuch as certain activities require approval by NIAID staff during performance of this Cooperative Agreement, specifically, reports intended for inclusion in INDA's and Clinical Brochures, redistribution of biological materials received from the Government, and dissemination of research findings resulting from the use of these materials, NIAID will establish an arbitration process to resolve any differences of opinion between the awardee and NIAID, on scientific-technical matters. An arbitration panel, composed of one Group designee, one NIAID designee, and a third designee with expertise in the relevant area and chosen by the other two, will be formed to review any scientific or programmatic issue that is significantly restricting progress. These special arbitration procedures in no way affect the awardee's right to appeal an adverse action in accordance with PHS regulations at 42 CFR Part 50, Subpart D, and HHS regulations at 45 CFR Part 16. The special "Terms and Conditions of Award: Nature of NIAID Participation" described in this Section are in addition to, and not in lieu of, otherwise applicable OMB administrative guidelines, HHS grant administration regulations at 45 CFR Parts 74 and 92, and other HHS, PHS, and NIH grant administration policies. Preparation and Organization of the Application: Special Instructions for Preparing the Group Application 1. General Instructions: Overall Application For preparing the NCVDG application this Section supplements the instructions found in form PHS 398 (rev. 9/91), which is available as an application kit at most grantee institutions and from the Office of Research Grants Inquiries, Division of Research Grants, National Institutes of Health, 5333 Westbard Avenue, Room 449, Bethesda, MD 20892, telephone 301-496-7441. Additional instructions are required because the form PHS 398 is designed primarily for individual research grant (R01) applications, whereas the Group application consists of several research projects interrelated by a common theme. Items that require modification for multi-project applications, in addition to other information not requested in form PHS 398, are detailed below: o PHS 398 Instructions - Pages 1-10: General Information and General Instructions. No modification. o PHS 398 Instructions - Pages 10-16: Specific instructions for filling form page 1 (Face Page of Form 398) of the application. o Page 1 of Form PHS 398 Complete items 1 through 18 as instructed. Please note that this should be Page 1 of the entire application; all succeeding pages should be numbered consecutively. Since the application is in response to an RFA, mark the "Yes" box in item 2a and enter the number and title of this RFA. For item 3a to 3h, enter the name of the Principal Investigator of the Group along with other required information concerning him or her. The applicant (awardee) institution and the Principal Investigator will be responsible for the application, for Group research activities, and the awardee institution will be responsible for the support of Group activities through a Central Operations Office. For item 11, name the applicant organization and its address. The applicant organization (awardee institution) will provide the Central Operations Office and be legally and financially responsible and be accountable for the use and disposition of funds awarded on the basis of this RFA; show availability of personnel and facilities capable of performing and supporting the administrative functions of the Group. o Page 2 of form PHS 398 - This section represents an abstract of the overall program. It should briefly state the overall goals of the NCVDG and give an indication of the research emphasis of component projects and cores. Do not exceed space provided. This section should be written in such a manner that it can be adapted by NIH staff to be the Overall Description portion of the Summary Statement. Under "Key Personnel Engaged on Project," list the Principal Investigator of the overall NCVDG and the Project Leader for each component project and the Core Leader for each core. o Page 3 of form PHS 398: Table of Contents (modification necessary) The NCVDG application should be assembled and paginated as one complete application. Following the complete table of contents for the entire document, the applicant should provide a separate table of contents for each project similar in detail to the table of contents in the PHS 398. Bearing in mind that the application will be reviewed project by project and core by core, prepare a detailed table of contents that will enable reviewers to readily find specific information. A page reference should be included for the budget that is associated with each project/core. Further, each project should be identified by number, title and responsible Project Leader. o Summary Budget Information Required for the Group Application. Summary budgets should be prepared for the total Group application. 1. Present a composite budget for the first year according to the format shown in Table I in Appendix II of this RFA. 2. Use page 5 from the form PHS 398 to prepare a summary budget by category for all years of requested support. Requests for unusual increases in any of the succeeding years must be justified in the individual project budgets. 3. Detailed budgets for each category for each research project and each core are requested for the first year only. Personnel List all professional and non-professional participants (including those with no salary requested) in the Group for the first year of requested support utilizing the format shown in Table II and the distribution of professional effort (%) for other support as shown in Table III. Sample tables labeled I, II, and III are found in Appendix II attached to this RFA. o Page 6 of Form 398: Biographical Sketches Prepare biographical sketches for all professional personnel participating in individual projects and cores, using page 6 of the form PHS 398 application kit and applying the same page limitations. The biographical sketches, with that of the PI first and those of the other key professional personnel following in alphabetical order, should be placed at the end of the application, appropriately numbered and referenced in the table of contents. Research Plan As an introduction to the component elements of the NCVDG provide the information detailed below, using continuation pages as needed. Name this section "OVERALL PROGRAM". Since this Section will constitute the Research Plan for the overall program a total of up to 25 pages may be used in its presentation (Introduction, Organizational and Administrative Structure). The Facilities pages should not be included in the 25-page limitation. 1. Program Introduction - Statement of Objectives The NCVDG should be viewed as a confederation of interrelated research projects -- each capable of standing on its own scientific merit, but complementary to one another. It is very important to establish the programmatic theme in the first few sentences of a general introduction. The introduction is an important section, for it provides the investigator an opportunity to give conceptual wholeness to the overall program -- by giving a statement of the general problem area and by laying out a broad strategy for attacking the problems. As the strategy develops, each project and core should be cited briefly as to its place in the overall scheme. The introductory section should briefly state the rationale of the research proposed in each project describing how it relates to vaccine development and/or the anticipated approach to achieve and/or evaluate the work proposed. It is essential to demonstrate that each component research project contributes to the attainment of the Group's objectives and that each has available the professional and technical personnel to permit efficient and successful conduct of the proposed research; i.e., it is important to show that the total personnel of the Group are sufficient in quality and quantity to assure successful conduct of the proposed research. It is useful to provide a clear, concise plan in narrative and diagrammatic form that depicts the interrelationships among the members of the NCVDG and the contribution of each to fulfillment of Group objectives; provide an organizational chart of the NCVDG showing the name, organization, and scientific discipline of the Principal Investigator and Project Leaders; provide an organizational chart for each laboratory project within the Group showing relationships among the key personnel. To assure the maintenance of close collaboration and effective communication among members of the Group include letters of commitment to this plan and also a letter accepting the participation of the NIAID Scientific Coordinator, defined under Terms and Conditions of Award. It also is appropriate in this section to indicate the prior collaborative arrangements between investigators in the Group. It is important to reveal the anticipated unique advantages to be expected from the Group operating within the proposed collaborative efforts; how the projects are mutually reinforcing; and how collectively they will further the stated goals of the proposed research. NOTE: The Principal Investigator should provide a narrative, supported by diagrammatic presentation(s) as needed, addressing the points raised under the above items. This description should clearly demonstrate the interactive, cooperative, integrated and interdependent nature of each proposed project and core to the Group activities as a whole. The narrative is to be included under the Administrative Core: it will serve as one of the criteria used by the peer review group to evaluate and rate the ability of the Principal Investigator to assemble a comprehensive, interactive Group. 2. Facilities: use page 8 of PHS 398, using continuation pages as necessary Demonstrate that each component laboratory project, Scientific Core facilities, and the NCVDG as a whole have available the facilities required for conduct of the proposed research; demonstrate that appropriate biohazard facilities and safety procedures are in place for activities involving HIV or SIV and other pathogens and pathogen-producing cell lines as outlined in The Federal Register, Volume 49, Number 201, Tuesday, October 16, 1984, p. 40556; include a description of the Institutional Safety Guidelines and approval procedures for each proposed laboratory project. This information should be conveyed on page HH of the PHS 398 under Resources and Environment. 3. Organizational and Administrative Structure of the NCVDG Describe in detail and by diagram the chain of responsibility for decision-making and administration beginning at the level of Principal Investigator and including the different research project leaders and core leaders. Indicate where in the chain of responsibility advisory groups (local or outside consultants) will be used. Describe their role in establishing quality control of the research efforts. o Consortium Arrangements. If an application includes research activity involving institutions other than the sponsoring organization, the program is considered a consortium effort. Such activity may be included in a multi-component (such as a U01) application, but it is imperative that care be taken in preparing any consortium application so that the programmatic, fiscal, and administrative considerations are fully explained. The policy governing consortia is described in the NIH Guide for Grants and Contracts (Vol. 14, No. 7, June 21, 1985), which should be available at your institution's business office, or use the Office of Grants Inquiries' publication entitled, "Guidelines for Establishing and Operating Consortium Grants," January 1989, which may be obtained by calling 301-496-7441. These guidelines should be read carefully before such an application is developed. If clarification of the guidelines is needed, the applicant is encouraged to contact grants management staff, Ms. Jane Unsworth, at 301-496-7075. o Patent Coverage Provide a description of the Group's plan for assuring adequate patent coverage of new inventions that may issue as a result of Government funding of this U01. NOTE: A formal statement of Patent Agreement among all Group members and their institutions as well as a detailed description of procedures to be followed for the resolution of legal problems which may develop, signed and dated by the organizational official authorized to enter into patent arrangements for each Group member and member institution, is to be submitted to Dr. Alan Schultz at the address listed under INQUIRIES. Core Units Since the cores are designated to provide resources for two or more of the component research projects, all pages on cores should be part of the "OVERALL Program". 1 Use letters to designate individual core units and give each a title. 2 Provide the name and academic title of the core leader and key participating investigators. 3. Administrative Core: The Administrative Core component should be at the awardee Institution and should provide BOTH travel funding for: (a) personnel to participate in two required annual intra-Group meetings, and any additional justified intra-Group meetings, (b) Principal Investigator and project leaders for a NIAID-specified annual U.S. meeting with NCVDG Principal Investigators and project leaders of other Groups; AND other funding including secretarial and/or administrative services, expenses for Group publications and communication expenses such as conference calls, facsimiles, and postage. 4. Description of Scientific Core(s): Describe the role and importance of the core as a resource to the NCVDG as a whole and indicate the specific projects it will serve, e.g., Production of monoclonal antibodies and distribution to research projects 1, 2, and 4. This section should present a clear picture of the facilities, techniques, and professional skills that the core will provide. The role of the core leader and each of the key participants should be described. Each core request should include a chart which apportions the dollars, or percentage of dollars, that will be required to support each component research project which will use the resource. (See Table IV in Appendix II of this RFA). For presentation of each Core budget request and justifications the following PHS Form 398 pages should be used: o Face Page. Enter a descriptive name of the requested core (e.g., Administrative Core, Monoclonal Antibody Production Core) in item 1, Title of Project. Complete data items 3a (Name of Core Leader), 4, 5, 6, 7, 8, and 9. o Pages 4 and 5: Budget for Core(s): Fill these pages for each core request, providing justifications with the same detail as in research projects. o The budget for each core unit should be presented according to the instructions indicated on pages 16-19 of the PHS 398 Instructions. A detailed budget is required for the first year (PHS 398, page 4) and a budget summary for all additional years (PHS 398, page 5). Explicit detailed budget justifications for all years should be included. Budget pages should be clearly labeled so that they can be accurately associated with the individual cores. o Other activities which are essential to maintaining or achieving the objectives of the stated research projects (e.g., large scale production of reagents, animal maintenance) should be included as subcontracts under the budget for the Scientific Core. Individual Research Projects 1. General Information. The strength of the multiproject application will be judged on the basis of the research it will support. Therefore, the reviewers will expect each project and core unit to be described in the same detail as for a regular research grant application to enable the scientific merit to be judged from the written application. 2. Format for Presentation of Individual Research Projects Each project leader should present his or her individual project using the Form 398, REV. 9/91 and following the application kit instructions, except as modified below. o Face Page of Form PHS 398. Complete items 1, 3a, 3d, 4, and 5 ONLY. In item 1, enter Project Number and a descriptive project title. In items 3a and 3d, enter the name and academic title of the project leader. Items 4 and 5 are self-explanatory. o Page 2 of Form PHS 398. Provide an abstract of the research proposed in the project. Prepare the abstract according to the instructions provided on page 2 of PHS 398. This abstract should be written in such a manner that it could be adapted by NIH staff to constitute the Description portion of the project in the Summary Statement. o Pages 4 and 5 of Form PHS 398. Detailed first year budget and budget for entire project period: follow instructions on pages 16-19 of the form PHS 398 instructions. The budget pages should have the project number and the project leader's name in the upper left hand of each budget page. o Page 7 of Form PHS 398: Other Support: FOLLOW INSTRUCTIONS CAREFULLY. If a duplicate R0l or R29 is submitted concurrently or is pending, it should be so stated in this section. Incomplete, inaccurate or ambiguous information about OTHER SUPPORT, whether active or pending, may lead to delays in the review of the application. 3. Research Plan: Follow the instructions indicated in IV. C., pages 19 through 22 of the PHS 398 Instructions, completing items 1 through 4 in detail. In addition, attention should be given to integration of the component project into the overall Group project. As with a regular research grant application, the overall research plan for each project should not exceed 25 pages (from Specific Aims through Research Design and Methods). The following points should be addressed in the appropriate sections. o Specific Aims: In addition to listing the specific objectives for the total period of requested support for the component, state the overall objective or long-term goal of the research and its relationship to the goals of the NCVDG and how it relates to other projects or cores in the Group. o Significance: In addition to the overall biological significance of the proposed research, this section should indicate the relevance of the project to the primary theme of the NCVDG. o Collaborative Arrangements: Describe the collaboration between investigators in this project and other investigators within the NCVDG. Describe in detail any other collaborative arrangements anticipated, either internal or external to the institution. Include letters from collaborating investigators indicating their agreement with the collaborative arrangements. STUDY POPULATIONS SPECIAL INSTRUCTIONS TO APPLICANTS REGARDING IMPLEMENTATION OF NIH POLICIES CONCERNING INCLUSION OF WOMEN AND MINORITIES IN CLINICAL RESEARCH STUDY POPULATIONS NIH policy is that applicants for NIH clinical research grants and cooperative agreements will be required to include minorities and women in study populations so that research findings can be of benefit to all persons at risk of the disease, disorder or condition under study; special emphasis should be placed on the need for inclusion of minorities and women in studies of diseases, disorders and conditions which disproportionately affect them. This policy is intended to apply to males and females of all ages. If women or minorities are excluded or inadequately represented in clinical research, particularly in proposed population-based studies, a clear compelling rationale should be provided. The composition of the proposed study population must be described in terms of gender and racial/ethnic group, together with a rationale for its choice. In addition, gender and racial/ethnic issues should be addressed in developing a research design and sample size appropriate for the scientific objectives of the study. This information must be included in the form PHS 398 (rev. 9/91) in Sections 1-4 of the Research Plan AND summarized in Section 5, Human Subjects. Applicants are urged to assess carefully the feasibility of including the broadest possible representation of minority groups. However, NIH recognizes that it may not be feasible or appropriate in all research projects to include representation of the full array of United States racial/ethnic minority populations (i.e., native Americans [including American Indians or Alaskan Natives], Asian/Pacific Islanders, Blacks, Hispanics). The rationale for studies on single minority population groups should be provided. For the purpose of this policy, clinical research is defined as human biomedical and behavioral studies of etiology, epidemiology, prevention (and preventive strategies), diagnosis, or treatment of diseases, disorders or conditions, including but limited to clinical studies. The usual NIH policies concerning research on human subjects also apply. Basic research or clinical studies in which human tissue cannot be identified or linked to individuals are excluded. However, every effort should be made to include human tissues from women and racial/ethnic minorities when it is important to apply the results of the study broadly, and this should be addressed by applicants. For foreign awards, the policy on inclusion of women applies fully; since the definition of minority differs in other countries, the applicant must discuss the relevance of research involving foreign population groups to the United States' populations, including minorities. If the required information is not contained within the application, the application will be returned. Peer reviewers will address specifically whether the research plan in the application conforms to these policies. If the representation of women or minorities in the study design is inadequate to answer the scientific question(s) addressed AND the justification for the selected study population is inadequate, it will be considered a scientific weakness or deficiency in the study design and will be reflected in assigning the priority score to the application. All applications for clinical research submitted to NIH are required to address these policies. NIH funding components will not award grants or cooperative agreements that do not comply with these policies. LETTER OF INTENT Prospective applicants are asked to submit, by February 26, 1993, a letter of intent that includes a descriptive title of the overall proposed research; the name, address, telephone number, and institution of the Principal Investigator; names of prospective project leaders and other key investigators and their respective institutions; title, project leader, and institution for each component research project, and the number and title of this RFA. Although a letter of intent is not required, is not binding, and does not enter into the review of applications, the information that it contains is helpful in planning for the review of applications. It allows NIAID staff to estimate the potential review workload and to take early steps to avoid conflict of interest in the review. The letter of intent is to be sent to Dr. Alan Schultz at the address listed under INQUIRIES. APPLICATION PROCEDURES The research grant application form PHS 398 (rev. 9/91) is to be used in applying for these cooperative agreements. These forms are available at most institutional offices of sponsored research and may be obtained from the Office of Grants Inquiries, Division of Research Grants, National Institutes of Health, 5333 Westbard Avenue, Room 449, Bethesda, MD 20892, telephone 301/496-7441. The RFA label available in the PHS 398 (rev. 9/91) application form must be affixed to the bottom of the face page of the application. Failure to use this label could result in delayed processing of the application such that it may not reach the review committee in time for review. In addition, to assure the identification of your application with this RFA the "Yes" box must be marked in item 2a of the face page of the application form and the title and number of this RFA typed. Applications that are not received as a single package from the Principal Investigator and that do not conform to the instructions contained in PHS 398 (rev. 9/91) application kit will be judged non-responsive and will be returned to the applicant. 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 GCRC as a resource for conducting the proposed research. If so, a letter of agreement from either the GCRC program director or principal investigator could be included with the application. Submit a signed, typewritten original of the application, including the Checklist, and three signed, photocopies, in one package to Division of Research Grants National Institutes of Health Westwood Building, Room 240 Bethesda, MD 20892** At the time of submission, also submit two exact copies of the application directly to Dr. Dianne Tingley at the address listed under INQUIRIES. Applications must be received by April 22, 1993. If an application is received after that date, it will be returned to the applicant without review. If the application submitted in response to this RFA is substantially similar to a grant application already submitted to the NIH for review, the applicant will be asked to withdraw either the pending application or the new one. Simultaneous submission of identical applications will not be allowed, nor will essentially identical applications be reviewed by different review committees. Therefore, an application cannot be submitted in response to this RFA that is essentially identical to one that has already been reviewed. This does not preclude the submission of substantial revisions of applications already reviewed, but such applications must include an introduction addressing the previous critique. This restriction is superseded by an NIH policy permitting concurrent submission of a duplicate R01 and a component of a multi-project application. The NIH policy however, further stipulates that should both the R01 and the multi-project application be considered for funding, the R01 will be relinquished in favor of the multi-project application. REVIEW CONSIDERATIONS Review Procedures Applications will be reviewed by DRG staff for completeness and by NIAID staff to determine administrative and programmatic responsiveness to this RFA; those judged to be incomplete or non-responsive will be returned to the applicant without review. Applications with budgets in excess of $1,000,000 total (direct and indirect) first year costs that do not have the written approval of the program contact (see INQUIRIES) will be returned without review. Those applications that are complete and responsive may be subjected to a triage by an NIAID peer review group to determine their scientific merit relative to the other applications received in response to this RFA. The NIAID will remove from further competition those applications judged to be noncompetitive for award and will notify the applicant and institutional business official. Those applications judged to be competitive for award will be further reviewed for scientific and technical merit by a Review Committee convened by the Scientific Review Branch, Division of Extramural Activities. A second level of review will be provided by the National Advisory Allergy and Infectious Diseases Council. In the event of multiple highly qualified applications, final funding recommendations will be based on highest Program priorities. Review date, Council meeting date, and earliest award date are listed under Schedule, below. Review Criteria The application must be directed towards the attainment of the stated programmatic goals (see Research Objectives). The following factors are the criteria used by peer review groups in the scientific and technical review of multicomponent applications: o The scientific merit of the program as a whole, as well as that of each individual project. Each project must be supportable on its own merit. o The significance of the overall program goals and the development of a well-defined central research focus. o The cohesiveness and multidisciplinary or multifaceted scope of the program and the coordination and interrelationships among the individual projects and core(s). o The justification and usefulness to the various research projects of the core facilities. The relationship of each core to the central focus of the overall program. Each core unit must provide essential facilities or service for two or more approved individual projects. o The leadership, scientific ability, and administrative competence of the Principal Investigator for the development, implementation, and management of a comprehensive research program; and the Principal Investigator's commitment to devote substantial time and effort to the program. o The qualifications, experience, and commitment of the investigators responsible for the individual research projects or core(s) (Project Leaders) and their contribution to the program, including their ability to devote adequate time and effort to the program. It is anticipated that, due to the complexity and time required to maintain a well-coordinated and productive research effort, a minimum 20 percent (time) effort by the Principal Investigator and each Project Leader should be devoted to the study, unless there is compelling evidence to the contrary. o Accomplishments of the program to date (for renewal applications), and research experiences and accomplishments of investigators in the Group in the research areas outlined in the RFA (for new applications). o The academic and physical environment in which the research will be conducted, including the adequacy of space, equipment, animal facilities, biohazard containment facilities; and the potential for interaction with active scientists in disciplines including infectious diseases, reproductive biology, virology, molecular biology and/or immunology from other departments and/or institutions. o A sound institutional administrative and organizational structure that facilitates attainment of the objective(s) of the program, including fiscal responsibility and management capability to assist the PI and staff in following PHS policy. o Arrangements for internal quality control of on-going research, allocation of funds, day-to-day management, internal communications and cooperation among the investigators involved in the program, contractual agreements, and replacement of the Principal Investigator, if required, on an interim or permanent basis. o The ethical and hazardous aspects of the project(s). In addition the following criteria which are more specific for this RFA also will be considered by the review group: o Documented commitment of Institutions represented by Group members; documented capability of Principal Investigator's Institution to serve as the Central Operations Office for the Group; o Likelihood that new strategies and vaccine approaches will be identified during the course of the proposed study; o Plans for effective intra-Group communication and for assuring cohesiveness within the Group as a whole; o Including a mechanism for selecting and replacing key professional or technical personnel using the framework of the RFA. AWARD CRITERIA Award criteria will be based on scientific merit as reflected in the priority score, program priorities, and the availability of funds. INQUIRIES The opportunity to clarify issues or questions about the RFA from potential applicants are welcome. Please send the letter of intent and direct inquiries regarding the RFA and programmatic issues to: Alan Schultz, Ph.D. Acting Chief, Preclinical Section, Vaccine Research and Development Branch National Institute of Allergy and Infectious Diseases Solar Building, Room 2B-01 Bethesda, MD 20892 Telephone: (301) 496-8200 FAX: (301) 402-1506 Direct inquiries regarding application preparation and review to: Dr. Dianne Tingley Chief, DAIDS Scientific Review Section Scientific Review Branch National Institute of Allergy and Infectious Diseases Solar Building, Room 4C-16 Bethesda, MD 20892 Telephone: (301) 496-0818 Direct inquiries regarding fiscal matters to: Ms. Jane Unsworth Chief, AIDS Grants Management Section Grants Management Branch National Institute of Allergy and Infectious Diseases Solar Building, Room 4B-22 Bethesda, MD 20892 Telephone: (301) 496-7075 Applicants who use express mail or courier services are advised to follow the carrier's requirements for showing a street address. The address of the Solar Building is: 6003 Executive Boulevard Rockville, MD 20852 Schedule Letter of Intent Receipt Date: February 26, 1993 Application Receipt Date: April 22, 1993 Scientific Review Date: June 1993 Council Meeting Date: September 1993 Earliest Award Date: December 1993 AUTHORITY AND REGULATIONS This program is described in the catalog of Federal Domestic Assistance, 93.856 - Microbiology and Infectious Diseases Research and 93.855 - Immunology, Allergy and Transplantation Research. Awards are made under the authority 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 Part 52 and 45 CFR Parts 74 and 92. This program is not subject to the intergovernmental review requirements of Executive Order 122372 or Health Systems Agency review. Appendix I List of Active NCVDGs Ronald C. Kennedy, Ph.D.* Southwest Foundation for Biomedical Research P.O. Box 28147 (W. Loop 410 at Military Drive) San Antonio, TX 78284 Telephone: (512) 674-1410 Richard Allen Young, Ph.D.* Whitehead Institute for Biomedical Research Nine Cambridge Center Cambridge, MA 02142 Telephone: (617) 258-5218 Murray B. Gardner, M.D.* Department of Medical Pathology School of Medicine University of California Davis, CA 95616 Telephone: (916) 752-2710 Lawrence Corey, M.D.* c/o Virology, D536 Children's Hospital and Medical Center 4800 Sand Point Way, NE Seattle, WA 98105 Telephone: (206) 526-2117 Dennis L. Panicali, Ph.D. Therion Biologics, Inc. 76 Rogers Street Cambridge, MA 02142 Telephone: (617) 876-7779 Arsene L. Burny, Ph.D. Department of Molecular Biology University of Brussels 67, Rue Des Chevauz 1640 Rhode-St-Genese BELGIUM Telephone: 32-2-650-9824 Richard W. Compans, Ph.D. University Alabama at Birmingham Department of Microbiology University Station Birmingham, AL 35294 Telephone: (205) 934-3049 James Young, Ph.D. Medimmune, Inc. 35 West Watkins Mill Road Gaithersburg, MD 20878 Telephone: (301) 417-0770 Michael A. Murphey-Corb, Ph.D. Tulane Regional Primate Research Center Three Rivers Road Covington, LA 70433 Telephone: (504) 892-2040, Ext. 275 Flossie Wong-Staal, Ph.D. Department of Medicine M-023-F University of California, San Diego La Jolla, CA 92093 Telephone: (619) 534-7957 Mark Newman, Ph.D. Cambridge Biotech Corporation 365 Plantation Street Worcester, MA 01605 Telephone: (508) 797-5777 * Award ends in 1993 For Sample Tables listed in Appendix II, please request a copy of this RFA. .
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