Full Text AI-97-002 HUMAN IMMUNE RESISTANCE TO MALARIA IN ENDEMIC AREAS NIH Guide, Volume 26, Number 27, August 15, 1997 RFA: AI-97-002 P.T. Keywords: National Institute of Allergy and Infectious Diseases Letter of Intent Receipt Date: August 20, 1997 Application Receipt Date: October 28, 1997 APPLICATIONS IN RESPONSE TO THIS RFA MUST BE PREPARED USING A MODIFIED (ABBREVIATED) GRANT APPLICATION FORMAT; SPECIFIC INSTRUCTIONS FOR COMPLETING THE APPLICATION ARE IN "APPLICATION PROCEDURES" BELOW. PURPOSE This initiative seeks to expand, through clinical studies conducted under the cooperative agreement mechanism (U01), the understanding of immunity to Plasmodium falciparum or P. vivax in humans. Naturally acquired or vaccine-elicited protective immunity may involve multiple mechanisms, including cellular and humoral components, that target different antigens from different parasite lifecycle stages, and that may act in concert. A number of immunologic assays exist for such mechanisms. Rapid, simple assays (e.g., ELISA, IFA, etc.) may indicate prevalence, level and specificity of a particular immune response, but to date have not proven predictive of immune protection. Functional assays (e.g., in vitro reduction in parasite numbers or growth) provide an indication of biological activity; none of these, however, has been rigorously evaluated as a surrogate marker of protective immunity in defined, clinical populations (e.g., in longitudinal or case-control studies). The availability of reliable immunologic correlates of protection would facilitate preclinical and clinical evaluation of candidate vaccine antigens and substantially accelerate the vaccine development process. 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, "Human Immune Resistance to Malaria in Endemic Areas" is related to the priority areas of immunization and infectious diseases. Potential applicants may obtain a copy of "Healthy People 2000" (Full Report: Stock No. 017-001-00474-0 or Summary Report: Stock No. 017-001-00473-1) through the Superintendent of Documents, Government Printing Office, Washington, DC 20402-0325 (telephone 202-512-1800). ELIGIBILITY REQUIREMENTS Applications may be submitted by domestic for-profit and non-profit organizations; public and private institutions, such as universities, colleges, hospitals, laboratories, units of State and local governments; and eligible agencies of the Federal government. Because of the scope of research to be performed, it is expected that foreign institutions will be active participants in the conduct of research supported through awards made under this RFA; foreign institutions, however, are not eligible to submit independent applications directly. Racial/ethnic minority individuals, women, and persons with disabilities are encouraged to apply as Principal Investigators. MECHANISM OF SUPPORT The administrative and funding mechanism to be used to undertake this program will be the Cooperative Agreement (U01), an "assistance" mechanism, rather than an "acquisition" mechanism, in which substantial NIH scientific and/or programmatic involvement with the awardee is anticipated during the performance of the activity. Under the cooperative agreement, the NIH purpose is to support and/or stimulate the recipient's activity by involvement in and otherwise working jointly with the award recipient in a partner role, but it is not to assume direction, prime responsibility, or a dominant role in the activity. Details of the responsibilities, relationships, and governance of a study funded under cooperative agreement(s) are discussed later in this document under the section Terms and Conditions of Award. The total requested project period for applications submitted in response to this RFA may not exceed five years. At this time, the NIAID has not determined whether and how this solicitation will be continued beyond the present RFA. FUNDS AVAILABLE The estimated total funds (direct and indirect costs) available for the first year of support for all awards made under this RFA will be $ 2 million. In Fiscal Year 1998 the NIAID plans to fund approximately 3 awards. The usual PHS policies governing grants administration and management will apply. 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 and the receipt of a sufficient number of applications of high scientific merit. Funding beyond the first and subsequent years of the grant will be contingent upon satisfactory progress during the preceding years and availability of funds. RESEARCH OBJECTIVES Background The World Health Organization has estimated that malaria claims the lives of as many as 3 million people annually, most of these being children living in sub-Saharan Africa. There is no question that vaccines against malaria are desperately needed, especially in light of the current spread of drug resistant strains of the parasite. Effective immunity to malaria has been observed in humans. Many infected individuals who have resided continuously for extended periods of time in endemic areas eventually exhibit few or no episodes of clinical malaria. Moreover, although it is not logistically feasible for widespread use, vaccination with radiation-attenuated, infective sporozoite stage parasites has been repeatedly shown to protect humans from subsequent experimental challenge infection. Over the past decade, however, many candidate malaria subunit vaccines that have proven effective in animal models have failed to reproducibly elicit substantial protection in human trials. As recommended in the Institute of Medicine Report, Malaria: Obstacles and Opportunities (1991), further vaccine research would benefit from identification of the underlying mechanisms of human antimalarial immunity. According to Dr. J.H.L. Playfair in Malaria - Waiting for the Vaccine (1991), "It is unfortunately as true today as ten years ago that we do not fully understand the mechanism(s) by which immunity leads to protection against any stage of malaria. One consequence of this is that there is no reliable in vitro test that would predict a successful outcome in any vaccine trial." In a follow up report from the Institute of Medicine, Vaccines Against Malaria: Hope in a Gathering Storm (1996), it was noted there are still no reliable, validated in vitro correlates of protection, and as described by Miller and colleagues ("The Need for Assays Predictive of Protection in Development of Malaria Bloodstage Vaccines," Parasitology Today, 1997), the need for such predictors is just as great today. This initiative therefore takes as its underlying premise the idea that correlates of protective immunity in malaria should be sought in humans, and that controlled clinical studies are warranted to establish such correlates. Historically, approaches that have defined mechanisms of acquired resistance in humans have contributed substantively to the development of synthetic vaccines for hepatitis B and a variety of encapsulated bacteria (e.g, Streptococcus pneumoniae, Neisseria meningitidis, and Haemophilus influenzae type B). Because of the geographic diversity and heterogeneous epidemiology of malaria, however, it will be necessary to validate correlates observed in one site as being relevant in other malaria endemic sites. As correlates are identified, NIAID Program Staff will work with investigators to facilitate such multisite collaborations. Although studies in animal models are not within the purview of and will not be funded under this RFA, NIAID Program Staff will work with investigators to set up collaborations and access to capabilities that will facilitate development of in vitro or animal models to allow screening for induction of these protective responses. Establishment of such models should ease subsequent assessment of the protective potential of malaria vaccine formulations. Thus, this approach should not only contribute to characterization of the mechanism(s) of protective immunity, but also facilitate selection and prioritization of recombinant candidate vaccines for malaria and lay important foundations for future field testing of such vaccines. Research Objectives and Scope The objective of this initiative is to establish a core understanding of the protective immune response to Plasmodium falciparum and Plasmodium vivax in humans in endemic areas. Protective immunity may be acquired either as a result of naturally occurring exposure to P. falciparum or P. vivax or as a demonstrated result in future clinical trials of candidate malaria vaccines. In addition, it may be possible to obtain insights into immune-mediated protection through studies of patient populations participating in trials of other interventions in malaria (e.g., bed net studies, nutritional supplementation, drug efficacy studies). Applicants are encouraged either to undertake new clinical studies or enter into collaborations with other investigators already involved in ongoing interventional trials or clinical studies. It is anticipated that these studies will be carried out largely through collaborative arrangements or subcontracts with one or more foreign investigators, institutions and government agencies located in endemic areas. Relevant research includes, but is not limited to, the following: o Identification and correlation of humoral and cellular immune responses associated with demonstrable resistance in human subjects in endemic areas; such resistance may be reflected in reduced infection, disease, or transmission o Identification and correlation of humoral and cellular immune responses associated with demonstrated differences in resistance of trial participants in endemic areas to reinfection following chemotherapy or other non-immunologic intervention; such resistance may be reflected in reduced infection, disease, or transmission o Identification, correlation and demonstration (validation) of immunologic parameters associated with naturally acquired or vaccine-elicited resistance in human subjects in endemic areas: such parameters might include recognition of specific antigen, immunoregulatory genetic factors, production of certain cytokines, elicitation of specific lymphocyte subpopulations or non-specific immunologic effector mechanisms (e.g., iron binding proteins, nitric oxide) o Development of rapid, field applicable assays for such correlates o Validation of demonstrated correlates of immunologic acquired resistance in more than one endemic site through collaboration and replicate studies The areas outlined above are not intended to be all-inclusive. TERMS AND CONDITIONS OF AWARD The following terms and conditions will be incorporated into the award statement and provided to the Principal Investigator as well as the institutional official at the time of award. These special Terms of Award are in addition to, and not in lieu of, otherwise applicable OMB administrative guidelines, HHS Grant Administration Regulations at 45 CFR part 74 and 92, and other HAS, PHS, and NIH Grant Administration policy statements. The administrative and funding instrument used for this program is the cooperative agreement (U01), an "assistance" mechanism rather than an "acquisition" mechanism, in which substantial NIH scientific and/or programmatic involvement with the awardee is anticipated during the performance of the activity. Under the cooperative agreement, the NIH purpose is to support and/or stimulate the recipient's activity by involvement in and otherwise working jointly with the award recipient in a partner role, but it is not to assume direction, prime responsibility, or a dominant role in the activity. Consistent with this concept, the dominant role and prime responsibility for the activity resides with the awardees for the project as a whole, although specific tasks and activities in carrying out the research will be shared among the awardees and the NIAID Scientific Coordinator. A. Awardee Rights and Responsibilities Awardees will have primary responsibility for defining the research objectives, approaches and details of the studies within the guidelines of the RFA and for performing the scientific activity. Specifically, awardees have primary responsibility as described below: 1. Research design and protocol development, including definition of objectives and approaches, planning, implementation, participant recruitment and follow-up, data collection, quality control, interim data and safety monitoring, final data analysis and interpretation, and publication of results. 2. Establishing a mandatory Steering Committee composed of the Principal Investigator, Project Directors for subcontracts, and the NIAID Scientific Coordinator to coordinate and manage prospective studies. Following notification of award, awardee(s) will name in a timely manner investigators to serve as members of the Steering Committee which will meet periodically. 3. Designating Study Protocol Chairs. The Principal Investigator shall designate a single Protocol Chairperson (if the P.I. does not assume this role) for each proposed study protocol within the research plan. The Protocol Chairperson shall function as the scientific coordinator for the proposed protocol and shall assume responsibility for developing the proposed protocol and monitoring study performance for the final, implemented protocol. All proposed protocols and modifications will be submitted by the Protocol Chairperson to the Steering Committee for approval. 4. Implementing the core data collection strategy and methods collectively decided upon by the Steering Committee. For each study involving multiple institutions, it is the responsibility of each awardee/site to ensure that data will be collected and submitted in a timely way following such procedures as established by the Steering Committee. Additionally, individual investigators/sites must demonstrate the ability to implement the strategy specifically designed for their individual study population. 5. Establishing mechanisms for quality control and monitoring. Awardees are responsible for ensuring the accurate and timely assessment of the progress of the study, including development of procedures to ensure that data collection and management are: (a) adequate for quality control and analysis; (b) for clinical trials, as simple as appropriate in order to encourage maximum participation of clinicians and other providers and study subjects and to avoid unnecessary expense; and (c) sufficiently staffed across the participating institutions. For studies involving multiple sites (subcontractors), strategies for the analyses of pooled data will be developed by the Steering Committee. 6. Preparing and submitting interim progress reports, when requested, to the NIAID Program Officer including, as a minimum, summary data on protocol performance. For a multi-site award, the Steering Committee may require additional information from the individual awardees/sites. Such reports are in addition to the annual awardee noncompeting continuation progress reports. 7. Establishing procedures, where applicable, for all participating institutions to comply with FDA regulations for studies involving investigational agents or devices and to comply with the requirements of 45 CFR Part 46 for the protection of human subjects. 8. Cooperating in the reporting of the study findings. The NIAID will have access to and may periodically review all data generated under an award. Where warranted by appropriate participation, plans for joint publication with NIAID of pooled data and conclusions, are to be developed by the Principal Investigator or Steering Committee, as applicable. NIH policies governing possible co-authorship of publications with NIAID staff will apply in all cases. In general, to warrant co-authorship, NIAID staff must have contributed to each of following areas: (a) design of the experiments or concepts being tested; (b) performance of significant portions of the activity; and (c) preparation and authorship of pertinent manuscripts. The awardee will retain custody of and have primary rights to the data developed under these awards, subject to Government right of access consistent with current HHS, PHS, and NIH policies. B. NIAID Staff Responsibilities NIAID staff assistance will be provided by the Host Immunity Program Officer, Parasitology and International Programs Branch, DMID/NIAID, who will serve as NIAID's Scientific Coordinator. The NIAID Scientific Coordinator will have substantial scientific/programmatic involvement during the conduct of this activity through technical assistance, advice and coordination above and beyond normal program stewardship for grants, as described below. It is expected that the dominant role and prime responsibility for the activity will reside with the awardee(s) for the project as a whole. However, specific tasks and activities will be shared among the awardee(s) and the NIAID Program Officer. The NIAID Program Officer will be the contact for all facets of the scientific interaction with the awardee(s). As required for the coordination of activities and to expedite progress, the NIAID Program Officer may designate additional NIAID staff to provide advice or assistance to the awardee on specific scientific, technical, or management issues. The NIAID Program Officer shall retain overall programmatic responsibility for the award(s) and will clearly specify to the awardee(s) the name(s) and role(s) of any such additional individuals and the lines of reporting authority. NIAID Extramural Program staff responsibilities will include: 1. NIAID Scientific Coordinator will provide access to and use of, when appropriate, reagents and assays, and other resources available through NIAID contractors and awardees. NIAID staff may provide assistance by suggesting and/or facilitating the selection of sources or resources, including provision of biological supplies (e.g., DNA primers, genetically engineered or recombinant proteins). 2. NIAID Scientific coordinator will provide assistance and guidance, when appropriate, in complying with regulatory guidelines. For example, NIAID currently offers, through the Clinical and Regulatory Affairs Branch, DMID, guidance on Good Clinical Practice and development of Investigational New Drug Applications for clinical trials. 3. The NIAID Scientific Coordinator will participate in Steering Committee meetings. 4. The NIAID Scientific Coordinator will participate in clinical study design, management and technical performance so as to ensure comparability of data obtained with similar efforts being supported by NIAID and non-NIH partner agencies participating in the Multilateral Initiative Against Malaria (MIM). 5. The NIAID Scientific Coordinator will serve as a liaison with research efforts being undertaken by non-NIH partner agencies participating in the MIM. 6. For multi-institutional protocols, through participation on the Steering Committee and with the agreements of the Principal Investigator(s), the NIAID Scientific Coordinator may coordinate activities among awardees by assisting in the design, development, and coordination of a common research or clinical protocol and statistical evaluations of data; in the preparation of questionnaires and other data recording forms; and in the publication of results. 7. The NIAID Scientific Coordinator will provide information on opportunities for collaborations, such as: a. Principal Investigators may not have immediate access to the discoveries stemming from malaria projects supported by other Government agencies, or from NIAID-supported projects that are not directly related to malaria but are germane to the overall goals of the RFA. For example, NIAID, USAID and the United States Army Medical Research and Development Command (USAMRDC) have a Memorandum of Agreement to cooperate in malaria vaccine development. NIAID staff will facilitate the development of cooperation between Principal Investigators and other Institute, USAID or USAMRDC supported researchers and contractors in order to develop promising new leads more rapidly. NIAID's Scientific Coordinator will facilitate such access by suggesting and encouraging collaboration with appropriate Principal Investigators. b. NIAID Scientific Coordinator may facilitate access to other populations and population-based information available through NIAID-supported researchers in the International Collaborations in Infectious Disease Research Program (ICIDR) and the Tropical Medicine Research Centers (TMRC). These populations and data may prove a valuable resource to allow investigators to extend studies beyond or outside those originally proposed. NIAID staff will suggest and encourage further collaborations which may profit from access to ICIDR and TMRC facilities and populations. Similarly, NIAID staff will suggest and encourage further collaborations with other special programs within NIAID, including domestic facilities and investigators in the Tropical Disease Research Units, the university-based Cooperating Groups of the International Centers for Tropical Disease Research, and the Vaccine and Treatment Evaluation Units. c. Through a number of new international initiatives, including the Multilateral Initiative in Malaria (MIM), and the US-European Union (EU) Transatlantic Agenda, and international task forces , e.g., the US-EU task forces on biotechnology and emerging diseases, NIAID staff are frequently aware of relevant programs supported by other agencies, and will transmit this information to Principal Investigators to enable them to take advantage of these opportunities to strengthen their programs. NIAID staff currently maintain close interactions with international agencies such as the World Health Organization (WHO), the Pan-American Health Organization, the World Bank, and the United Nations Development Program, and agencies of other governments, such as International Cooperation with Developing Countries (INCO-DC) Program of the Commission of the European Communities (CEC). C. Collaborative Responsibilities In addition to the interactions defined above, awardees and NIAID Scientific Coordinator shall share responsibility for the following activities: Steering Committee. A Steering Committee organized by the Principal Investigator, Project Directors for Subcontracts, and the NIAID Scientific Coordinator will be the main oversight body of the study. The Steering Committee has primary responsibility to design research activities, establish priorities, develop common protocols and manuals, questionnaires and other data recording forms, establish and maintain quality control among awardees, review progress, monitor patient/subject accrual, coordinate and standardize data management, and cooperate on the publication of results. Major scientific decisions regarding the core data will be determined by the Steering Committee. The Steering Committee will document progress in written reports to the NIAID Program Officer and will provide periodic supplementary reports upon NIAID request. The Steering Committee usually will meet at least twice yearly. A Chairperson, other than the NIAID Scientific Coordinator, will be selected by vote of the members. The Chairperson is responsible for coordinating the Committee activities, for preparing meeting agendas, and for scheduling and chairing meetings. D. Arbitration Any disagreement that may arise on scientific/programmatic matters (within the scope of the award) between award recipients and the NIAID may be brought to arbitration. An arbitration panel will be composed of three members -- one selected by the Steering Committee (with the NIAID member not voting) or by the individual awardee in the event of an individual disagreement, a second member selected by the NIAID, and the third member with expertise in the relevant area and selected by the two prior members will be formed to review any scientific or programmatic issue that is significantly restricting progress. While the decisions of the Arbitration Panel are binding, these special arbitration procedures will 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 HAS regulations at 45 CFR Part 16. Cooperative agreements are subject to the administrative requirements outlined in OMB circulars A-102 and A-110. All pertinent HAS, PHS, and NIH grant regulations, policies and procedures, with particular emphasis on PHS regulations at 42 CFR Part 52 and HAS regulations at 45 CFR Part 74, are applicable. These special terms and conditions pertaining to the scope and nature of the interaction between the NIAID and the investigators will be incorporated in the Notice of Grant Award. However, these terms will be in addition to, not in lieu of, the customary programmatic and financial negotiations that occur in the administration of cooperative agreements. STUDY POPULATIONS Populations participating in research supported through awards made under this RFA must be located in geographic areas with documented, substantial malaria. INCLUSION OF WOMEN AND MINORITIES IN RESEARCH INVOLVING HUMAN SUBJECTS It is the policy of the NIH that women and members of minority groups and their subpopulations must be included in all NIH supported biomedical and behavioral research projects involving human subjects, unless a clear and compelling rationale and justification are provided that inclusion is inappropriate with respect to the health of the subjects of the purpose of the research. This policy results from the NIH Revitalization Act of 1993 (Section 492B of Public Law 103-43). All investigators proposing research involving human subjects should read the "NIH Guidelines for Inclusion of Women and Minorities as Subjects in Clinical Research", which have been published in the Federal Register of March 28, 1994 (FR 59 14508-14513) and the NIH Guide for Grants and Contracts, Vol. 23, No. 11, March 18, 1994. For studies involving foreign populations, the NIH policy on inclusion of women in research conducted outside the U.S. is the same as that for research conducted in the U.S. With regard to population of the foreign country, the definition of minority groups may be different than in the U.S. If these is a scientific rationale for examining subpopulation group differences within the foreign population, investigators should coniser designing their studies to accommodate these differences. Investigators may obtain copies from these sources or from Dr. B.F. Hall (listed in INQUIRIES below) who may also provide additional relevant information concerning the policy. LETTER OF INTENT Prospective applicants are asked to submit, by August 20, 1997, a letter of intent that includes a descriptive title of the overall proposed research; the name, address and telephone number of the Principal Investigator; and the number and title of this RFA. Although the letter of intent is not required, is not binding, does not commit the sender to submit an application, and does not enter into the review of subsequent applications, the information that it contains allows NIAID staff to estimate the potential review workload and to avoid conflict of interest in the review. The letter of intent is to be sent to Dr. Madelon Halula at the address listed under INQUIRIES. APPLICATION PROCEDURES APPLICATIONS IN RESPONSE TO THIS RFA MUST BE PREPARED USING A MODIFIED (ABBREVIATED) GRANT APPLICATION FORMAT; SPECIFIC INSTRUCTIONS ARE PRESENTED BELOW. Applications are to be submitted on the grant application form PHS 398 (rev. 5/95). Applications submitted in response to this RFA may present their research plan in up to 25 pages. Application kits are available at most institutional offices of sponsored research and may be obtained from the Office of Extramural Outreach and Information, National Institutes of Health, 6701 Rockledge Drive, MSC 7910, Bethesda, MD 20892-7910, telephone (301)710-0267, email: asknih@odrockm1.od.nih.gov. For purposes of identification and processing, item 2a on the face page of the application must be marked "YES" and the RFA number "(enter number)" and the words "HUMAN IMMUNE RESISTANCE TO MALARIA IN ENDEMIC AREAS" must be entered on the face page. Applications must be received by October 28, 1997. Applications that are not received as a single package on the receipt date or that do not conform to the instructions contained in PHS 398 (rev. 5/95) Application Kit (as modified in, and superseded by, the special instructions below, for the purposes of this RFA), will be judged non-responsive and will be returned to the applicant. The RFA label available in the application form PHS 398 must be affixed to the bottom of the face page. 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. If the application submitted in response to this RFA is substantially similar to a grant application already submitted to the NIH for review, but that has not yet been reviewed, 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 that is essentially identical to one that has already been reviewed cannot be submitted in response to this RFA . This does not preclude the submission of substantial revisions of applications already reviewed, but such applications must include an introduction addressing the previous critique. It is highly recommended that the NIAID program contact be consulted before submitting the letter of intent and during the early stages of preparation of the application. (See program contacts under INQUIRIES). Submit a signed, typewritten original of the application, including the checklist, and three signed, exact, single-sided photocopies, in one package to: Division of Research Grants National Institutes of Health 6701 Rockledge Drive, Room 1040 - MSC 7710 Bethesda, MD 20892-7710 Bethesda, MD 20817 (for express mail or courier service) At the time of submission, two additional exact copies of the grant application and all five sets of any appendix material must be sent to Dr. Madelon Halula at the address listed under INQUIRIES. 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 should be included with the application. SPECIAL INSTRUCTIONS FOR COMPLETION OF APPLICATIONS IN RESPONSE TO THIS RFA A status report on NIH reinvention activities was provided in the NIH GUIDE (Volume 24, Number 40) of November 24, 1995. Two of these activities are: (1) the use of "Just-in-Time" grant applications; and (2) modular budget requests and funding. Both "Just-in-Time" and "Modular Budgeting" are to be used for applications in response to this RFA. JUST-IN-TIME GRANT APPLICATIONS. The basic principle of "Just-in-Time" is to simplify and reduce the administrative and paperwork burdens of preparing an NIH grant application without compromising the initial review group determination of scientific merit or reasonableness of the proposed budget. To that end, the quantity of information and the amount of detail required is reduced in "Just-in-Time" applications. MODULAR GRANTS. Applications are submitted and/or awards made with direct costs in modules (multiples) of a given amount ($25,000 for this RFA), with work proposed within these incremental categories. The model involves using pre-established funding levels for awards and acknowledging that grantees can and do rebudget post-award. This process eliminates the need for many budget details, thereby reducing administrative burden on both NIH staff and grantee organizations and simplifying cost management by NIH program staff. RESEARCH PLAN CONTENT AND PAGE LIMIT. Sections a - d of the Research Plan may not exceed 25 pages for each proposed research study. It is anticipated that each applicant will propose one or two multi-site studies. Additionally, each applicant shall describe procedures for identifying future collaborative studies. SPECIFIC INSTRUCTIONS The following are specific instructions for sections of the PHS 398 (rev. 5/95) application form, which are to be completed differently than usual (that is, in the "Just-in-Time" and "Modular Grant" format). Some sections in the application are modified and should not be completed. If the application receives a score in the fundable range, additional information will be requested. For all other items in the application, follow the usual instructions on pages 5-20 of the PHS 398 booklet. Form DD, Page 4. Do NOT complete this page. Form EE, Page 5. Budget for Entire Proposed Project Period and Justification: General: Budget - Only summary budget information is to be provided; initial budget period (first year) direct costs must be requested as a multiple of $25,000. Justification - only minimal information on personnel (name, role on project, percentage effort, and brief justification) is requested; only unusual research resources need to be briefly justified. Budget (top half of page 5): o Complete the TOTAL DIRECT COST line entries for all requested budget periods (years) and the TOTAL DIRECT COST FOR ENTIRE PERIOD OF SUPPORT entry. Except for Direct and Indirect Consortium/Contractual Costs, do not provide separate budgets for the individual budget categories. o Requested TOTAL DIRECT COSTS for the INITIAL BUDGET PERIOD must be a multiple of $25,000. Generally, first year costs should be increased by four percent annually thereafter. Justification (bottom of page 5 with continuation sheets as necessary): o Personnel - list the name, role on project, and percent effort for all project personnel and provide a brief narrative justification for each person. o Research Resources - provide a brief narrative justification for any unusual significant resources included in the budget requested for this project. o Additional (future) Year Budgets - for each ADDITIONAL YEARS OF SUPPORT REQUESTED, briefly justify annual changes that are more than or less than four percent increases from the preceding year. Form FF - Page 6 - Biographical Sketch: For all key personnel provide biographical sketches that do not exceed TWO PAGES and include the following information: o Name, Position Title, Education/Training. Complete these sections as instructed in the PHS 398 booklet. o list previous positions directly relevant to this application. o list selected peer-reviewed publications (with full citation) directly relevant to this application. o provide information on ongoing research grants and completed research projects relevant to this application; list title, principal investigator, funding source, and role for each project cited. Form GG - Page 7 - Other Support: Do not complete. (Any required information will be requested from successful applicants prior to grant award.) Form HH - Page 8 - Resources and Environment: Complete selected item(s) only if proposed research requires specialized unique resources for which availability must be documented. Research Plan (Booklet Pages 15-19): Note: Items a - d MAY NOT EXCEED TWENTY FIVE (25) PAGES. Applications with research plans that exceed 25 pages will be returned without review. o Item a - Specific Aims (typically less than one page): List in priority order the broad, long range objectives of the proposed project and describe concisely and realistically the hypothesis to be tested and what the specific research described in this application is intended to accomplish. o Item b - Background and Significance (typically one page): The background and significance has been established by the NIAID in setting aside funds for the release of this RFA. Use this section to describe how the proposed research will contribute to meeting the goals and objectives of the RFA and explain the rationale for the selection of the general methods and approaches proposed to accomplish the specific aims. o Items c - d: Complete as instructed on pages 15-17 of the PHS 398 booklet, noting the reduced page limit stated above. The following is general guidance for information to be presented in this section: - preliminary studies pertinent to the application. - rationale for each particular set of experiments. - general methods that will be utilized. Provide specific details ONLY for those techniques that are unique, or where a significant departure from a generally accepted technique is important for the reviewers to know. - outcome measures that will be used to assess the success or failure of each set of experiments. - potential pitfalls in the experimental design and alternative studies that will be done if the proposed experiment(s) fail. o Items e - f: Complete as described on pages 17-18 of PHS 398 booklet. o Item h - Consortium, Contractual Arrangements (one page only): Provide brief explanation (not to exceed one page) of the scientific, fiscal, and administrative arrangements made with collaborating organizations. o Item I - Consultants/Collaborators: Biographical sketches should conform to the brief format described for Form FF (page 6), above. Appendix (PHS 398 Booklet - Page 24) Complete as instructed. Forms II and JJ - Checklist: Do not complete. Information will be requested by NIAID only from applicants being considered for funding. If you or your business office has any questions regarding these special instructions, E-mail, call, FAX, or write the NIAID staff at the addresses listed under INQUIRIES. REVIEW CONSIDERATIONS Upon receipt, applications will be reviewed for completeness and adherence to the Special Instructions above by the NIH DRG and for responsiveness by NIAID staff; those judged to be incomplete will be returned to the applicant without review. Those considered to be non-responsive 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 other applications received in response to this RFA. The NIAID will withdraw from competition those applications judged to be non-competitive for award and will notify the applicant and institutional business officials. Those applications judged by the reviewers to be competitive for award will be reviewed for scientific and technical merit by a review committee convened by the Division of Extramural Activities, NIAID. The second level of review will be provided by the National Advisory Allergy and Infectious Diseases Council. Review Criteria The five criteria to be used in the evaluation of grant applications are listed below. To put those criteria in context, the following information is contained in instructions to the peer reviewers. The goals of NIH-supported research are to advance our understanding of biological systems, improve the control of disease, and enhance health. The reviewers will comment on the following aspects of the application in their written critiques in order to judge the likelihood that the proposed research will have a substantial impact on the pursuit of these goals. Each of these criteria will be addressed and considered by the reviewers in assigning the overall score weighting them as appropriate for each application. Note that the application does not need to be strong in all categories to be judged likely to have a major scientific impact and thus deserve a high priority score. For example, an investigator may propose to carry out important work that by its nature is not innovative but is essential to move a field forward. 1. Significance. Does this study address an important problem? If the aims of the application are achieved, how will scientific knowledge be advanced? What will be the effect of these studies on the concepts or methods that drive this field? 2. Approach. Are the conceptual framework, design, methods, and analyses adequately developed, well-integrated, and appropriate to the aims of the project? Does the applicant acknowledge potential problem areas and consider alternative tactics? 3. Innovation. Does the project employ novel concepts, approaches or method? Are the aims original and innovative? Does the project challenge existing paradigms or develop new methodologies or technologies? 4. Investigator. Is the investigator appropriately trained and well suited to carry out this work? Is the work proposed appropriate to the experience level of the principal investigator and other researchers (if any)? 5. Environment. Does the scientific environment in which the work will be done contribute to the probability of success? Do the proposed experiments take advantage of unique features of the scientific environment or employ useful collaborative arrangements? Is there evidence of institutional support? The initial review group will also examine: the appropriateness of proposed project budget and duration; the adequacy of plans to include both genders and minorities and their subgroups as appropriate for the scientific goals of the research and plans for the recruitment and retention of subjects; the provisions for the protection of human and animal subjects; and the safety of the research environment. AWARD CRITERIA Funding decisions will be made on the basis of scientific and technical merit as determined by peer review, program balance, and the availability of funds. In addition, consideration will be given to geographic distribution. The earliest anticipated date of award is August 1998. INQUIRIES Written and telephone inquiries concerning this RFA are encouraged. The opportunity to clarify any issues or questions from potential applicants is welcome. Direct inquiries regarding programmatic (eligibility and responsiveness) issues to: Dr. B. F. Hall Division of Microbiology and Infectious Diseases National Institute of Allergy and Infectious Diseases Solar Building, Room 3A09 6003 Executive Boulevard Bethesda, MD 20892-7630 Telephone: (301) 496-2544 FAX: (301) 402-0659 E-Mail: BH24Q@NIH.GOV Direct inquiries regarding review issues and special instructions for application preparation; address the letter of intent to; and mail two copies of the application and all five sets of appendices to: Madelon Halula, Ph.D. Division of Extramural Activities National Institute of Allergy and Infectious Diseases Solar Building, Room 4C16 6003 Executive Boulevard Bethesda, MD 20892 Telephone: (301) 402-2636 FAX: (301) 402-2638 E-Mail: mh30x@nih.gov Direct inquiries regarding fiscal matters to: Todd Ball Division of Extramural Activities National Institute of Allergy and Infectious Diseases Solar Building, Room 4B35 6003 Executive Boulevard Bethesda, MD 20892 Telephone: (301) 496-7075 Fax: (301) 480-3870 E-mail: tb22j@nih.gov Schedule Letter of intent receipt date: August 20, 1997 Application receipt date: October 28, 1997 Scientific review date: February, 1998 Advisory Council date: June, 1998 Earliest award date: August, 1998 AUTHORITY AND REGULATIONS This program is supported under authorization of the Public Health Service Act, Sec. 301 (c), Public Law 78-410, as amended. The Catalogue of Federal Domestic Assistance Citation is (Sec. 93.856, Microbiology and Infectious Diseases Research, or No. 93.855 - Immunology, Allergy, and Transplantation Research, or both, as appropriate). Awards will be administered under PHS grants policies and Federal Regulations 42 CFR Part 52 and 45 CFR Part 74. This program is not subject to the intergovernmental review requirements of Executive Order 12372 or Health Systems review. The PHS strongly encourages all grant and contract recipients to provide a smoke-free workplace and promote the non-use of all tobacco products. In addition, Public Law 103-227, the Pro-Children Act of 1994, prohibits smoking in certain facilities (or in some cases, any portion of a facility) in which regular or routing education, library, day care, health care or early childhood development services are provided to children. This is consistent with the PHS mission to protect and advance the physical and mental health of the American people. .
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Office of Extramural Research (OER) |
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Department of Health and Human Services (HHS) |
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