and Human Services (HHS)
EXPIRED
INNOVATIVE TECHNOLOGIES FOR MOLECULAR ANALYSIS OF CANCER
RELEASE DATE: December 17, 2003
RFA Number: RFA-CA-05-002 (This RFA has been reissued, see RFA-CA-06-002)
(see NOT-CA-04-013)
Department of Health and Human Services (DHHS)
PARTICIPATING ORGANIZATION:
National Institutes of Health (NIH)
(http://www.nih.gov)
COMPONENT OF PARTICIPATING ORGANIZATION:
National Cancer Institute (NCI)
(http://www.nci.nih.gov)
CATALOG OF FEDERAL DOMESTIC ASSISTANCE NUMBER(S): 93.392, 93.393, 93.394,
93.395, 93.396
LETTER OF INTENT RECEIPT DATES: January 16, 2004; May 17, 2004; September 17,
2004
APPLICATION RECEIPT DATES: February 17, 2004; June 17, 2004; October 18, 2004
THIS RFA CONTAINS THE FOLLOWING INFORMATION
o Purpose of this RFA
o Research Objectives
o Mechanisms of Support
o Funds Available
o Eligible Institutions
o Individuals Eligible to Become Principal Investigators
o Special Requirements
o Where to Send Inquiries
o Letter of Intent
o Submitting an Application
o Supplementary Instructions
o Peer Review Process
o Review Criteria
o Receipt and Review Schedule
o Award Criteria
o Required Federal Citations
PURPOSE OF THIS RFA
The National Cancer Institute (NCI) invites applications for research
projects proposing the development of highly innovative cancer relevant
technologies. Technology encompasses methods and tools that enable research,
including, but not limited to, instrumentation, techniques, and devices.
Technology is distinct from resources such as databases, reagents, and tissue
repositories. Applications for support of such resources will not be
considered responsive to this RFA. Technologies solicited include, but are
not necessary limited to, those that are suitable for the detection of
alterations and instabilities of genomic DNA; measurement of the expression
of genes and gene products, including proteins; analysis and detection of
gene and/or cellular products, including post-translational modification and
function of proteins; identification and characterization of exogenous
infectious agents in cancer; and assaying the function of major signal
transduction networks involved in cancer. Developing technologies would
include those that will support molecular analysis in vitro, in situ, or in
vivo in discovery processes as well as in pre-clinical models and clinical
research.
This initiative is part of a broader technology development program within
the NCI to harness technology in the fight against cancer. The NCI
technology program underscores the desire of NCI to develop and integrate
novel and emerging technologies in the support of cancer research, diagnosis,
and treatment. In the research continuum of discovery, development, and
delivery, this program accelerates development and delivery. This specific
initiative will serve as the discovery tool of the larger program by
soliciting and funding highly innovative, high risk and cancer-relevant
technology development projects associated with the molecular analysis of
cancer.
This initiative capitalizes on both the success and intent of the original
NCI sponsored Innovative Molecular Analysis Technologies (IMAT) program in
bringing together a multi-disciplinary group of scientists and engineers to
work on cancer and the expansion of interest in technology development across
the NCI and other NIH institutes. This continuation of the IMAT program
consists of the following three initiatives: Innovative Technologies for the
Molecular Analysis of Cancer; Innovations in Cancer Sample Preparation; and
Application of Emerging Technologies for Cancer Research. This RFA is
designed to support technology development projects. Technologies developed
or adapted for sample preparation methodology may be most suitable for
RFA CA-05-004, Innovations in Cancer Sample Preparation
(http://grants.nih.gov/grants/guide/rfa-files/RFA-CA-05-004.html). Research
projects to evaluate emerging technologies that are ready for initial
clinical or biological application in cancer research may be most suitable
for RFA CA-05-003, Application of Emerging Technologies for Cancer Research
(http://grants.nih.gov/grants/guide/rfa-files/RFA-CA-05-003.html).
Applicants from small businesses are encouraged to submit applications to the
parallel RFAs for each IMAT initiative, which utilize the SBIR and STTR grant
mechanisms (see MECHANISM OF SUPPORT). Researchers who emphasize the
assessment of in vivo imaging technologies as the primary focus of their
grant applications should contact the Cancer Imaging Program
(http://www3.cancer.gov/bip/) for information on appropriate funding
opportunities. Researchers focusing on applying new bioinformatics or
statistical techniques as the primary focus of their applications should
consider one of the BISTI initiatives
(http://www.bisti.nih.gov/bistic_funding.cfm).
RESEARCH OBJECTIVES
Background
In order to meet the goal of eliminating death and suffering due to cancer,
the NCI will continue to support the development of creative methods to
understand, prevent, diagnose, and treat cancer. In the past several
decades, basic discovery research has revealed that cancer is a complex
disease involving myriad molecular and cellular processes, and that cancers
arise as the result of the gradual accumulation of genetic changes in
specific cells. Identifying which subset of the genes encoded within the
human genome can contribute to the development of cancer remains a challenge.
Even more challenging is the subsequent understanding of the proteins and
other functional products encoded by these genes. The identification and
characterization of these cancer genes and their associated gene products
remains a high priority in cancer research. New technologies and approaches
not only address specific questions in basic research and clinical practice
but are also beneficial in uncovering and developing new directions and
paradigms in cancer research. Taken together, these points highlight the
leading and critical role technological advances play throughout the NCI’s
mission.
The Innovative Molecular Analysis Technologies (IMAT) program was originally
designed in 1999 with three objectives: to focus technology development on
cancer, to solicit highly innovative technology development projects, and to
accelerate the rate of maturation of meritorious technologies from
feasibility through development of the technology. Through solicitation,
outreach, and communication with the investigator community, the IMAT program
has been successful in focusing a diverse spectrum of new and emerging
technologies onto cancer applications. The program has focused on both the
inception and development of cancer-related technologies. Some of the
technologies originally generated with IMAT funding have gone on to support
the acquisition of basic knowledge about cancer, which feeds the discovery
pipeline. Other IMAT supported technologies have been applied to questions
of clinical importance. Through the R21/33 Phased Innovation Award,
originally invented and piloted by this program, IMAT has also been
successful in accelerating meritorious technology development projects by
minimizing the funding gap between feasibility and development phases. While
the overall NCI technology program maintains these general goals, this
initiative will be more focused on the R21 or high-risk portion of an
investigator’s scientific effort, with emphasis on the extent to which the
idea is novel and innovative. Therefore, this RFA will not support the
Phased Innovation Award (combined R21/R33), but only R21 alone and R33 alone
applications, as outlined in the Mechanisms of Support section.
This solicitation is intended to support the development of molecular
analysis tools that will not only allow for the more careful examination of
the molecular basis and profiles of cancer but will also provide the ability
to identify the molecular characteristics of individuals that influence
cancer development and prognosis. These tools will allow for an examination
of genetic factors that influence individuals risk of developing cancer or
their ability to respond to damaging external agents such as radiation,
carcinogens, and therapeutic regimes.
In order to fully understand cancer and define the molecular responses of the
host to cancer, it will be critical not only to have knowledge at the DNA
level but also to have a complete understanding of the processing of genetic
information in cellular function. Current discoveries indicate that
alterations in many of the cellular processes, pathways, or networks may
contribute to the genesis of cancer and that these alterations could be
exploited for therapeutic or prevention intervention. Therefore, it is
important to invoke technologies that can detect molecular changes in the
cell without preconceived ideas about what changes would be the most valuable
to monitor. In the discovery phase, the emphasis will be on technologies
that can effectively scan, through highly multiplexed analysis, structural
variations or functional changes in many or all members of the populations of
DNA, RNA, or proteins present in cells. Current technologies for the
multiplexed analysis of molecular species are at a stage where the greatest
utility exists for the analysis of large numbers of relatively homogeneous
cell populations that can be assayed in vitro. While many of the existing
technologies have relatively sophisticated multiplexing capabilities in the
assay format, none are comprehensive for any particular molecular species
(DNA, RNA, or protein). Therefore, opportunities exist for further
development to insure that the resulting technologies provide enhanced assay
potential, adequate sensitivity and discrimination, robust data analysis
tools, and easy adaptation to the basic, preclinical, and clinical research
settings.
Objectives and Scope
The purpose of this RFA is to encourage applications from individuals and
groups interested in developing novel technologies suitable for the molecular
analysis of cancers and their host environment in support of basic, clinical,
and epidemiological research. Technologies to support research in the
following areas are considered to be appropriate. Examples given below are
not intended to be all-inclusive but are illustrative of the types of
capabilities that are of interest.
New tools that allow development of more complete molecular profiles of
normal, precancerous, and cancerous cells, as well as the process of
carcinogenesis, are needed to support the basic discovery process. The same
sort of technological approaches will also be needed to examine the tumor
micro-environment, including stromal and vascular interaction. These tools
will also allow more thorough examination of the variations that influence
predisposition to cancer and individual variability in response to
therapeutic and prevention agents. Of interest are technologies and data
analysis tools for:
o In vitro scanning for and identification of the sites of chromosomal
aberrations that reflect inherited aberrations or somatic alterations
resulting from aging, oxidation, or exposure to radiation or carcinogens,
including those that are suitable for scaling for use across whole genomes,
detecting DNA adducts, or detecting rare variants in mixed populations;
o In vitro scanning for and identification of sites of mutations and
polymorphisms that reflect inherited aberrations or variations, or somatic
alterations resulting from aging, oxidation, or exposure to radiation or
carcinogens, including those that are suitable for scaling for screening
whole genomes, detecting DNA adducts, or identifying infrequently represented
mutations in mixed populations of DNA molecules;
o Technologies for detection and characterization of nucleic acid sequences
of novel exogenous infectious agents that may be present in human cancer;
o Highly specific and sensitive detection of specific mutations;
o Detecting mismatch and recombinational DNA repair related to cancer
susceptibility and drug sensitivity;
o In vitro multiplexed analysis of the expression of genes;
o In vitro detection of expression of proteins and their modified forms,
including technologies suitable for expansion to profiling of all proteins
expressed in cells, detecting rare variants in mixed populations, and
detecting protein adducts involved in chemical mutation;
o Monitoring the function of proteins and genetic pathways, including
measurement of ligand-protein complexes and technologies for monitoring
protein function of all members of a class of proteins or a complete genetic
pathway;
o Delineating molecular expression, function, and analysis at the cellular
level in the context of both the whole body and in situ, including molecular
imaging technologies suitable at this scale, contrast agents, gene
amplification techniques, and related data analysis tools;
o Detection technologies and sensors, including signal to noise optimization
and rare cell/molecule detection, of cancer and the structures and molecules
important in its development and diagnosis;
o Technologies to elucidate molecular modifications of macromolecules that
may be indicative of and critical to the transformation process;
o Delivery technologies and approaches to enable faster and more accurate
delivery of molecular and cellular labels and drugs to and within cells for
research and treatment, the overall goals being speed, accuracy, and
biocompatibility; and/or
o Development of high-throughput, quantitative assays for epigenetic
alternations, e.g., acetylation and methylation, in promoter region of genes
and histone proteins isolated from biological fluids and tissues.
For all technologies proposed, it will be important to substantiate the
ultimate value of and role for the technology in deciphering the molecular
anatomy of cancer cells or analyzing the molecular profile of the individual.
It is also important for applicants to discuss the ultimate potential for the
transfer of ensuing technology to other laboratories or the clinic and, for
more mature technologies, plans to ensure dissemination of the technology.
In the case of technologies intended for use on clinical specimens or in
patients, applications from or collaborations with investigators involved in
the clinical research of cancer are encouraged.
MECHANISM OF SUPPORT
Support for this program will be through the National Institutes of Health
(NIH) Exploratory/Developmental Research Grant (R21) and the
Exploratory/Developmental Research Grant Phase 2 (R33). The R33 mechanism
provides a second phase for the support of innovative exploratory and
developmental research that may or may not have been initiated under the R21
mechanism. Except as otherwise stated in this RFA, awards will be
administered under NIH grants policy as stated in the NIH Grants Policy
Statement, March 2001, available at:
http://grants.nih.gov/grants/policy/nihgps_2001/. Hard copies are not
available. Responsibility for the planning, direction, and execution of the
proposed project will be solely that of the applicant.
This initiative will employ separate discovery (R21) and development (R33)
awarding mechanisms. The R21 application will emphasize the high risk, high
innovation feasibility phase and potential impact. The development (R33)
phase application will have to contain proof of the feasibility of the
proposed technology. In addition, the R33 application will contain an
outline of a plan for further development of the technology towards its
ultimate use and application.
Unlike the previous IMAT announcements of 1999 and 2002 (PAR-01-104) and the
other two RFA solicitations of the current program, this RFA does not solicit
and will not accept combined R21/R33 applications. Under this RFA,
applicants must submit either an R21 application or a fully developed R33
application, according the guidelines below.
The R21 application will emphasize the innovative and high-risk nature of the
proposed research and be conceptual in nature, with no preliminary data
required. In addition to the concept and discussion of the proposed
technology that is common to all R21 applications, the application must also
include a brief section describing the potential use and impact of the
proposed technology. The specifics of the R21 application are described in
the SUPPLEMENTARY INSTRUCTIONS section of this RFA. The R21 may not exceed
$100,000 direct costs per year. R21 budgets can exceed this cap to
accommodate indirect costs to subcontracts to the project. The proposed R21
project period may be up to a maximum of 2 years funding.
Under this RFA, applicants may also submit an R33 application if feasibility
can be documented, as described in the SUPPLEMENTARY INSTRUCTIONS section of
this RFA. R33 applicants must present detailed preliminary data in support
of the feasibility of the proposed technology or approach that is proposed
for development. These applications will also have the added burden of
demonstrating the innovation of the particular technology or approach. The
proposed R33 project period may be up to a maximum of 3 years.
It is strongly recommended that applicants contact NCI staff at an early
stage of application development to convey critical information, such as
potentially large budget requests, or to discuss programmatic adherence of
the proposed project to the RFA guidelines. Early contact with NCI staff is
particularly critical relative to this RFA because of the kinds of funding
mechanisms permitted, i.e., either R21 or R33, with R21/R33 applications not
accepted. Refer to the INQUIRIES sections of this program announcement for
NCI staff contacts.
This program will run in parallel with a program of identical scientific
scope CA-05-006 that will utilize the Small Business Innovation Research
(SBIR) and Small Business Technology Transfer (STTR) mechanisms.
This RFA uses just-in-time concepts. It also uses the modular as well as
non-modular budgeting format. (See
http://grants.nih.gov/grants/funding/modular/modular.htm). Specifically, if
you are submitting an application with direct costs in each year of $250,000
or less, use the modular format. This program does not require cost sharing
as defined in the current NIH Grants Policy Statement at
http://grants.nih.gov/grants/policy/nihgps_2001/part_i_1.htm.
FUNDS AVAILABLE
NCI intends to commit approximately $3,000,000 in FY 2005 to fund 10 to 15
new and/or competitive continuation grants in response to this RFA. An
applicant may request a project period of up to 2 years and a budget for
direct costs of up to $100,000 per year, in keeping with standard R21
mechanism guidelines, or 3 years for an R33. Because the nature and scope of
the proposed research will vary from application to application, it is
anticipated that the size and duration of each award, especially in the case
of R33 awards, will also vary. Budgets for R33 applications should be
appropriate for the science proposed. Although the financial plans of the
NCI provide support for this program, awards pursuant to this RFA are
contingent upon the availability of funds and the receipt of a sufficient
number of meritorious applications.
ELIGIBLE INSTITUTIONS
You may submit (an) application(s) if your institution has any of the
following characteristics:
o For-profit or non-profit organizations
o Public or private institutions, such as universities, colleges, hospitals,
and laboratories
o Units of State and local governments
o Eligible agencies of the Federal government
o Domestic or foreign institutions/organizations
INDIVIDUALS ELIGIBLE TO BECOME PRINCIPAL INVESTIGATORS
Any individual with the skills, knowledge, and resources necessary to carry
out the proposed research is invited to work with their institution to
develop an application for support. Individuals from underrepresented racial
and ethnic groups as well as individuals with disabilities are always
encouraged to apply for NIH programs.
SPECIAL REQUIREMENTS
An annual meeting of all investigators funded through this program will be
held to share progress and research insights that may lead to further progress
in the program. Applicants should request travel funds in their budgets for
the principal investigator and one additional senior investigator to attend
this annual meeting.
WHERE TO SEND INQUIRIES
We encourage inquiries concerning this RFA and welcome the opportunity to
answer questions from potential applicants. Inquiries may fall into four
areas: scientific/research, intellectual property, peer review, and
financial or grants management issues:
o Direct your questions about scientific/research issues to:
Gregory J. Downing, D.O., Ph.D.
Office of Technology and Industrial Relations
National Cancer Institute
Building 31, Room 10A52
Bethesda, MD 20892
Telephone: (301) 496-1550
FAX: (301) 496-7807
Email: downingg@mail.nih.gov
o Questions regarding intellectual property management plans should be
directed to:
Wendy Patterson, J.D.
National Cancer Institute
Technology Transfer Branch
6120 Executive Boulevard, EPS Room 450
Bethesda, MD 20892-8329
Rockville, MD 20852 (for express/courier service)
Telephone: (301) 496-0477
Email: pattersw@mail.nih.gov
o Direct your questions about peer review issues to:
Referral Officer
National Cancer Institute
Division of Extramural Activities
6116 Executive Boulevard, Room 8041, MSC 8329
Bethesda, MD 20892-8329
Rockville, MD 20852 (for express/courier service)
Telephone: (301) 496-3428
FAX: (301) 402-0275
Email: ncirefof@dea.nci.nih.gov
o Direct your questions about financial or grants management matters to:
Shane Woodward
Grants Administration Branch
National Cancer Institute
6120 Executive Boulevard, EPS Room 243
Bethesda, MD 20892-7150
Rockville, MD 20852 (for express/courier service)
Telephone: 301-846-1017
Fax: 301-496-8601
Email: woodwars@mail.nih.gov
LETTER OF INTENT
Prospective applicants are asked to submit a letter of intent that includes
the following information:
o Descriptive title of the proposed research
o Name, address, and telephone number of the Principal Investigator
o Names of other key personnel
o Participating institutions
o 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 a subsequent application, the information that it
contains allows NCI staff to estimate the potential review workload and plan
the review.
The letter of intent is to be sent at least one month prior to the targeted
receipt date. The receipt dates and respective letter of intent dates are
listed at the beginning of this document. The letter of intent should be
sent to:
Gregory J. Downing, D.O., Ph.D.
Office of Technology and Industrial Relations
National Cancer Institute
Building 31, Room 10A52
Bethesda, MD 20892
Telephone: (301) 496-1550
FAX: (301) 496-7807
Email: downingg@mail.nih.gov
SUBMITTING AN APPLICATION
Applications must be prepared using the PHS 398 research grant application
instructions and forms (rev. 5/2001). Applications must have a DUN and
Bradstreet (D&B) Data Universal Numbering System (DUNS) number as the
Universal Identifier when applying for Federal grants or cooperative
agreements. The DUNS number can be obtained by calling (866) 705-5711 or
through the web site at http://www.dunandbradstreet.com/. The DUNS number
should be entered on line 11 of the face page of the PHS 398 form. The PHS 398
document is available at
http://grants.nih.gov/grants/funding/phs398/phs398.html in an interactive
format. For further assistance contact GrantsInfo, Telephone (301) 710-0267,
Email: GrantsInfo@nih.gov.
SUPPLEMENTARY INSTRUCTIONS
SPECIFIC INSTRUCTIONS FOR PREPARING THE ENHANCED R21 AND R33 APPLICATIONS
Applications for R21 or R33 grants (no combined R21/R33 applications will be
accepted under this RFA) are to be submitted on the grant application form PHS
398 and prepared according to the instructions provided unless specified
otherwise within this section.
1. Face Page of the application:
Item 2. Check the box marked YES and type the number and title of this RFA.
Also indicate if the application is an R21 or R33.
3. Budget:
The application should contain a modular budget for the Initial Budget Period
(form page 4), for each of the initial years of the R21 or R33 phases (or a
detailed budget for R33 years that exceed $250,000 direct costs), as well as a
budget for the entire proposed period of support (form page 5). All budgets
should include a written justification.
Item b: Background and Significance
Elaborate on the innovative nature of the proposed research. Clarify how the
technology development proposed in this project is a significant improvement
over existing approaches. Explain the potential of the proposed technology
for having a broad impact on cancer research. Clearly identify how the
project, if successful, would result in new capabilities for research, the
immediacy of the opportunity and how these proposed technologies would differ
from existing technologies.
SPECIFIC INSTRUCTIONS FOR PREPARATION OF AN R21 APPLICATION
The instructions in the PHS 398 booklet for this section of research grant
applications suggest that the applicant state the hypotheses to be tested.
Since the goal of this RFA is to develop innovative technologies, hypothesis
testing per se may not be the driving force in developing such a proposal and,
therefore, may not be applicable. Furthermore, preliminary data are not
required, although they should be included when available.
Item d: Research Design and Methods
Follow the instructions in the PHS 398 booklet. Along with sections a-d, a
one page section entitled Technical Vision should be included describing the
potential application of the proposed technology.
The R21 application must also include quantitative feasibility milestones
that, when accomplished, would justify a future continuation to an R33 phase.
The milestones and Technical Vision sections must be contained within the
standard 25 page limit for sections a-d text for an R21 application.
An application lacking these sections, as determined by the NCI program staff,
will be returned to the applicant without review.
SPECIFIC INSTRUCTIONS FOR PREPARATION OF AN R33 APPLICATION
Applications for R33 grants are to be submitted on the grant application form
PHS 398 and prepared according to the instructions provided unless specified
otherwise within the items below.
1. Face Page of the application:
Item 2. Check the box marked a YES and type the number and title of this
program announcement and indicate R33.
2. Research Plan:
Item c: Preliminary Studies/Progress report
This section must document that feasibility studies have been completed, and
progress achieved, equivalent to that expected through the support of an R21
project. The applicant must clearly describe how the
exploratory/developmental study is ready to be scaled up to an expanded
application stage. In the event that an applicant feels that the technology
is too proprietary to disclose, the applicant must at a minimum provide a
demonstration (results) of the capabilities of the proposed technology.
Preliminary data relevant to both the technology evaluations and the pilot
biological study should be presented.
INTELLECTUAL PROPERTY MANAGEMENT PLAN: Certain research plans will require
collaboration and coordination between investigators at different
institutions, some of whom may not be NIH funding recipients and who may have
pre-existing intellectual property obligations to third parties. It is
anticipated that commercial embodiments of the results of such research may
incorporate single inventions shared by several institutions, or multiple
inventions each from a separate institution. Therefore, prior to funding,
R33 grant applicants must address how they will coordinate patent prosecution
and licensing activities, if necessary to enable a licensee to access the
bundle of intellectual property needed to take a product to market on
commercially viable terms. Suggested strategies include: (1) assigning
intellectual property rights to related inventions to an invention management
firm; (2) designating one organization to take the lead on patenting and
licensing related inventions; and (3) agreeing in advance that if multiple
parties are to independently license related inventions, the total of stacked
royalties will not exceed a predetermined percentage rate.
The technology transfer/intellectual property management/licensing officer or
equivalent of the principal investigator’s institution is to submit an
intellectual property management plan including at least those elements
above. Alternatives to the suggested strategies that accomplish the same
goals will be considered. Intellectual property management plans are a just-
in-time requirement; it is not necessary to include the plan in the grant
application but plans will be required before an R33 grant can be awarded.
The applicant’s institution should avoid exclusively licensing those
inventions that are research tools, unless either: (1) the field of use of
the exclusive license is restricted to commercial use, or (2) the exclusive
licensee will make the research tool available on reasonable terms. The
applicant’s attention is directed to the NIH policy on the dissemination of
biological research resources ( research tools ) which can be found at
http://www.ott.nih.gov/policy/rt_guide_final.html.
SPECIFIC INSTRUCTIONS FOR MODULAR GRANT APPLICATIONS: Applications
requesting up to $250,000 per year in direct costs must be submitted in a
modular grant format. The modular grant format simplifies the preparation of
the budget in these applications by limiting the level of budgetary detail.
Applicants request direct costs in $25,000 modules. Section C of the
research grant application instructions for the PHS 398 (rev. 5/2001) at
http://grants.nih.gov/grants/funding/phs398/phs398.html includes step-by-step
guidance for preparing modular grants. Additional information on modular
grants is available at
http://grants.nih.gov/grants/funding/modular/modular.htm.
USING THE RFA LABEL: The RFA label available in the PHS 398 (rev. 5/2001)
application form must be affixed to the bottom of the face page of the
application. Type the RFA number on the label. 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, the RFA title
and number must be typed on line 2 of the face page of the application form
and the YES box must be marked. The RFA label is also available at:
http://grants.nih.gov/grants/funding/phs398/label-bk.pdf.
SENDING AN APPLICATION TO THE NIH: Submit a signed, typewritten original of
the application, including the Checklist, and three signed, photocopies, in
one package to:
Center for Scientific Review
National Institutes of Health
6701 Rockledge Drive, Room 1040, MSC 7710
Bethesda, MD 20892-7710
Bethesda, MD 20817 (for express/courier service)
At the time of submission, two additional copies of the application must be
sent to:
Referral Officer
National Cancer Institute
Division of Extramural Activities
6116 Executive Boulevard, Room 8041, MSC 8329
Bethesda, MD 20892-8329
Rockville, MD 20852 (for express/courier service)
Appendices should be comprised of single-sided, unbound materials, with
separators between documents.
APPLICATIONS HAND-DELIVERED BY INDIVIDUALS TO THE NATIONAL CANCER INSTITUTE
WILL NO LONGER BE ACCEPTED. This policy does not apply to courier deliveries
(i.e., FEDEX, UPS, DHL, etc.)
(http://grants.nih.gov/grants/guide/notice-files/NOT-CA-02-002.html).
This policy is similar to and consistent with the
policy for applications addressed to Centers for Scientific Review as
published in the NIH Guide Notice
http://grants.nih.gov/grants/guide/notice-files/NOT-OD-02-012.html.
APPLICATION PROCESSING: Applications must be received on or before the
application receipt date listed in the heading of this RFA. If an
application is received after that date, it will be returned to the applicant
without review.
Although there is no immediate acknowledgement of the receipt of an
application, applicants are generally notified of the review and funding
assignment within 8 weeks.
The Center for Scientific Review (CSR) will not accept any application in
response to this RFA that is essentially the same as one currently pending
initial review, unless the applicant withdraws the pending application. This
does not preclude the submission of a substantial revision of an unfunded
version of an application already reviewed, but such an application must
include an Introduction addressing the previous critique. An application
submitted through this RFA that is unsuccessful may be resubmitted as amended
at the next subsequent receipt date.
PEER REVIEW PROCESS
Upon receipt, applications will be reviewed for completeness by the CSR and
responsiveness by the NCI. Incomplete and/or non-responsive applications
will not be reviewed.
Applications that are complete and responsive to the RFA will be evaluated
for scientific and technical merit by an appropriate peer review group
convened by the Division of Extramural Activities of the NCI in accordance
with the review criteria stated below. As part of the initial merit review,
all applications will:
o Undergo a process in which only those applications deemed to have the
highest scientific merit, generally the top half of the applications under
review, will be discussed and assigned a priority score;
o Receive a written critique; and
o Receive a second level review by the National Cancer Advisory Board.
REVIEW CRITERIA
The goals of NIH-supported research are to advance our understanding of
biological systems, improve the control of disease, and enhance health. In
the written comments, reviewers will be asked to evaluate the application in
order to judge the likelihood that the proposed research will have a
substantial impact on the pursuit of these goals. The scientific review
group will address and consider each of these criteria in assigning the
application’s overall score, weighting them as appropriate for each
application.
o Significance
o Approach
o Innovation
o Investigator
o Environment
The application does not need to be strong in all categories to be judged
likely to have 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.
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?
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?
INNOVATION: Does the project employ novel concepts, approaches or methods?
Are the aims original and innovative? Does the project challenge existing
paradigms or develop new methodologies or technologies?
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)?
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?
ADDITIONAL REVIEW CRITERIA:
In addition to the above criteria, the following items will be considered in
the determination of scientific merit and the priority score:
R21 applications: the adequacy of the proposed quantitative feasibility
milestones and the Technical Vision statement.
R33 applications: R33 applicants must present detailed preliminary data in
support of the feasibility of the proposed technology or approach that is
proposed for development. They will also have the added burden of
demonstrating the innovation of the particular technology or approach.
Feasibility means that some preliminary experiments have been performed and
that there is sufficient technical data to support proof of principle of the
technology/hypothesis.
PROTECTION OF HUMAN SUBJECTS FROM RESEARCH RISK: The involvement of human
subjects and protections from research risk relating to their participation
in the proposed research will be assessed. (See criteria included in the
section on Federal Citations, below).
INCLUSION OF WOMEN, MINORITIES AND CHILDREN IN RESEARCH: The adequacy of
plans to include subjects from both genders, all racial and ethnic groups
(and subgroups), and children as appropriate for the scientific goals of the
research will be assessed. Plans for the recruitment and retention of
subjects will also be evaluated. (See Inclusion Criteria in the sections on
Federal Citations, below).
CARE AND USE OF VERTEBRATE ANIMALS IN RESEARCH: If vertebrate animals are to
be used in the project, the five items described under Section f of the PHS
398 research grant application instructions (rev. 5/2001) will be assessed.
ADDITIONAL CONSIDERATIONS
DATA SHARING: The adequacy of the proposed plan to share data. Applicants
requesting more than $500,000 in direct costs in any year of the proposed
research must include a data sharing plan in their application. The
reasonableness of the data sharing plan or the rationale for not sharing
research data will be assessed by the reviewers. However, reviewers will not
factor the proposed data sharing plan into the determination of scientific
merit or priority score.
BUDGET: The reasonableness of the proposed budget and the requested period
of support in relation to the proposed research will be assessed after the
determination of the priority score.
RECEIPT AND REVIEW SCHEDULE
Letter of Intent Receipt Dates: January 16, 2004; May 17, 2004; September 17,
2004
Application Receipt Dates: February 17, 2004; June 17, 2004; October 18,
2004
Peer Review Dates: June 2004; November 2004; March 2005;
Council Reviews: September 2004; February 2005; June 2005
Earliest Anticipated Start Dates: December 2004; April 2005; July 2005.
AWARD CRITERIA
Award criteria that will be used to make award decisions include:
o Scientific merit (as determined by peer review);
o Availability of funds; and
o Programmatic priorities.
REQUIRED FEDERAL CITATIONS
HUMAN SUBJECTS PROTECTION: Federal regulations (45CFR46) require that
applications and proposals involving human subjects must be evaluated with
reference to the risks to the subjects, the adequacy of protection against
these risks, the potential benefits of the research to the subjects and
others, and the importance of the knowledge gained or to be gained.
http://www.hhs.gov/ohrp/humansubjects/guidance/45cfr46.htm
DATA AND SAFETY MONITORING PLAN: Data and safety monitoring is required for
all types of clinical trials, including physiologic, toxicity, and dose-
finding studies (phase I); efficacy studies (phase II); efficacy,
effectiveness and comparative trials (phase III). The establishment of data
and safety monitoring boards (DSMBs) is required for multi-site clinical
trials involving interventions that entail potential risk to the
participants. (NIH Policy for Data and Safety Monitoring, NIH Guide for
Grants and Contracts, June 12, 1998:
http://grants.nih.gov/grants/guide/notice-files/not98-084.html.)
Clinical trials supported or performed by NCI require special considerations.
The method and degree of monitoring should be commensurate with the degree of
risk involved in participation and the size and complexity of the clinical
trial. Monitoring exists on a continuum from monitoring by the principal
investigator/project manager or NCI program staff or a Data and Safety
Monitoring Board (DSMB). These monitoring activities are distinct from the
requirement for study review and approval by an Institutional review Board
(IRB). For details about the Policy for the NCI for Data and Safety
Monitoring of Clinical trials see:
http://deainfo.nci.nih.gov/grantspolicies/datasafety.htm. For Phase I and II
clinical trials, investigators must submit a general description of the data
and safety monitoring plan as part of the research application. See NIH
Guide Notice on Further Guidance on a Data and Safety Monitoring for Phase I
and II Trials for additional information:
http://grants.nih.gov/grants/guide/notice-files/NOT-OD-00-038.html.
Information concerning essential elements of data safety monitoring plans for
clinical trials funded by the NCI is available:
http://www.cancer.gov/clinical_trials/.
SHARING RESEARCH DATA: Starting with the October 1, 2003, receipt date,
investigators submitting an NIH application seeking more than $500,000 or
more in direct costs in any single year are expected to include a plan for
data sharing or state why this is not possible.
http://grants.nih.gov/grants/policy/data_sharing Investigators should seek
guidance from their institutions, on issues related to institutional
policies, local IRB rules, as well as local, state, and Federal laws and
regulations, including the Privacy Rule. Reviewers will consider the data
sharing plan but will not factor the plan into the determination of the
scientific merit or the priority score.
INCLUSION OF WOMEN AND MINORITIES IN CLINICAL RESEARCH: It is the policy of
the NIH that women and members of minority groups and their sub-populations
must be included in all NIH-supported clinical research projects unless a
clear and compelling justification is provided indicating that inclusion is
inappropriate with respect to the health of the subjects or the purpose of
the research. This policy results from the NIH Revitalization Act of 1993
(Section 492B of Public Law 103-43).
All investigators proposing clinical research should read the "NIH Guidelines
for Inclusion of Women and Minorities as Subjects in Clinical Research -
Amended, October, 2001," published in the NIH Guide for Grants and Contracts
on October 9, 2001
(http://grants.nih.gov/grants/guide/notice-files/NOT-OD-02-001.html);
a complete copy of the updated Guidelines are available at
http://grants.nih.gov/grants/funding/women_min/guidelines_amended_10_2001.htm.
The amended policy incorporates: the use of an NIH definition of clinical
research; updated racial and ethnic categories in compliance with the new OMB
standards; clarification of language governing NIH-defined Phase III clinical
trials consistent with the new PHS Form 398; and updated roles and
responsibilities of NIH staff and the extramural community. The policy
continues to require for all NIH-defined Phase III clinical trials that: a)
all applications or proposals and/or protocols must provide a description of
plans to conduct analyses, as appropriate, to address differences by
sex/gender and/or racial/ethnic groups, including subgroups if applicable;
and b) investigators must report annual accrual and progress in conducting
analyses, as appropriate, by sex/gender and/or racial/ethnic group
differences.
INCLUSION OF CHILDREN AS PARTICIPANTS IN RESEARCH INVOLVING HUMAN SUBJECTS:
The NIH maintains a policy that children (i.e., individuals under the age of
21) must be included in all human subjects research, conducted or supported
by the NIH, unless there are scientific and ethical reasons not to include
them. This policy applies to all initial (Type 1) applications submitted for
receipt dates after October 1, 1998.
All investigators proposing research involving human subjects should read the
"NIH Policy and Guidelines" on the inclusion of children as participants in
research involving human subjects that is available at
http://grants.nih.gov/grants/funding/children/children.htm.
REQUIRED EDUCATION ON THE PROTECTION OF HUMAN SUBJECT PARTICIPANTS: (if
applicable) NIH policy requires education on the protection of human subject
participants for all investigators submitting NIH proposals for research
involving human subjects. You will find this policy announcement in the NIH
Guide for Grants and Contracts Announcement, dated June 5, 2000, at
http://grants.nih.gov/grants/guide/notice-files/NOT-OD-00-039.html. A
continuing education program in the protection of human participants in
research is available online at: http://cme.nci.nih.gov/.
HUMAN EMBRYONIC STEM CELLS (hESC): Criteria for federal funding of research
on hESCs can be found at http://stemcells.nih.gov/index.asp and at
http://grants.nih.gov/grants/guide/notice-files/NOT-OD-02-005.html. Only
research using hESC lines that are registered in the NIH Human Embryonic Stem
Cell Registry will be eligible for Federal funding (see http://escr.nih.gov).
It is the responsibility of the applicant to provide, in the project
description and elsewhere in the application as appropriate, the official NIH
identifier(s) for the hESC line(s)to be used in the proposed research.
Applications that do not provide this information will be returned without
review.
PUBLIC ACCESS TO RESEARCH DATA THROUGH THE FREEDOM OF INFORMATION ACT: The
Office of Management and Budget (OMB) Circular A-110 has been revised to
provide public access to research data through the Freedom of Information Act
(FOIA) under some circumstances. Data that are (1) first produced in a
project that is supported in whole or in part with Federal funds and (2)
cited publicly and officially by a Federal agency in support of an action
that has the force and effect of law (i.e., a regulation) may be accessed
through FOIA. It is important for applicants to understand the basic scope
of this amendment. NIH has provided guidance at
http://grants.nih.gov/grants/policy/a110/a110_guidance_dec1999.htm.
Applicants may wish to place data collected under this RFA in a public
archive, which can provide protections for the data and manage the
distribution for an indefinite period of time. If so, the application should
include a description of the archiving plan in the study design and include
information about this in the budget justification section of the
application. In addition, applicants should think about how to structure
informed consent statements and other human subjects procedures given the
potential for wider use of data collected under this award.
STANDARDS FOR PRIVACY OF INDIVIDUALLY IDENTIFIABLE HEALTH INFORMATION: (if
applicable) The Department of Health and Human Services (DHHS) issued final
modification to the Standards for Privacy of Individually Identifiable
Health Information , the Privacy Rule, on August 14, 2002. The Privacy
Rule is a federal regulation under the Health Insurance Portability and
Accountability Act (HIPAA) of 1996 that governs the protection of
individually identifiable health information, and is administered and
enforced by the DHHS Office for Civil Rights (OCR). Those who must comply
with the Privacy Rule (classified under the Rule as covered entities ) must
do so by April 14, 2003 (with the exception of small health plans which have
an extra year to comply).
Decisions about applicability and implementation of the Privacy Rule reside
with the researcher and his/her institution. The OCR website
(http://www.hhs.gov/ocr/) provides information on the Privacy Rule, including
a complete Regulation Text and a set of decision tools on Am I a covered
entity? Information on the impact of the HIPAA Privacy Rule on NIH
processes involving the review, funding, and progress monitoring of grants,
cooperative agreements, and research contracts can be found at
http://grants.nih.gov/grants/guide/notice-files/NOT-OD-03-025.html.
URLs IN NIH GRANT APPLICATIONS OR APPENDICES: All applications and proposals
for NIH funding must be self-contained within specified page limitations.
Unless otherwise specified in an NIH solicitation, Internet addresses (URLs)
should not be used to provide information necessary to the review because
reviewers are under no obligation to view the Internet sites. Furthermore,
we caution reviewers that their anonymity may be compromised when they
directly access an Internet site.
HEALTHY PEOPLE 2010: The Public Health Service (PHS) is committed to
achieving the health promotion and disease prevention objectives of "Healthy
People 2010," a PHS-led national activity for setting priority areas. This
RFA is related to one or more of the priority areas. Potential applicants may
obtain a copy of "Healthy People 2010" at http://www.healthypeople.gov.
AUTHORITY AND REGULATIONS: This program is described in the Catalog of
Federal Domestic Assistance at http://www.cfda.gov/ and is not subject to the
intergovernmental review requirements of Executive Order 12372 or Health
Systems Agency review. Awards are made under the authorization of Sections
301 and 405 of the Public Health Service Act as amended (42 USC 241 and 284)
and under Federal Regulations 42 CFR 52 and 45 CFR Parts 74 and 92. All
awards are subject to the terms and conditions, cost principles, and other
considerations described in the NIH Grants Policy Statement. The NIH Grants
Policy Statement can be found at
http://grants.nih.gov/grants/policy/policy.htm.
The PHS strongly encourages all grant recipients to provide a smoke-free
workplace and discourage the 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 routine 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.
Weekly TOC for this Announcement
NIH Funding Opportunities and Notices
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