and Human Services (HHS)
EXPIRED
Department of Health and Human
Services
Participating Organizations
National
Institutes of Health (NIH) ( http://www.nih.gov)
Components of
Participating Organizations
National
Cancer Institute (NCI) ( http://www.cancer.gov)
Title: Innovative
Technology Solutions to Cancer Sample Preparation (STTR [R41/R42])
Announcement Type
This is
a reissue of RFA-CA-07-044 (STTR) that expired September 29, 2007.
NOTICE: Applications submitted in response to this Funding Opportunity Announcement (FOA) for Federal assistance must be submitted electronically through Grants.gov (http://www.grants.gov) using the SF424 Research and Related (R&R) forms and the SF424 (R&R) SBIR/STTR Application Guide.
APPLICATIONS MAY NOT BE SUBMITTED IN PAPER FORMAT.
This FOA must be read in conjunction with the application guidelines included with this announcement in Grants.gov/Apply for Grants (hereafter called Grants.gov/Apply).
A registration process is necessary before submission and applicants are highly encouraged to start the process at least four weeks prior to the grant submission date. See Section IV.
Request For Applications (RFA) Number: RFA-CA-08-014
Catalog of Federal Domestic Assistance
Number(s)
93.392, 93.393,
93.394, 93.395, 93.396
Key Dates
Release/Posted Date: January 9, 2008
Opening Date: February 11,
2008 (Earliest date an application may be submitted to Grants.gov)
Letters of Intent Receipt Date(s): February 11, 2008; April 29, 2008; August 24, 2008
NOTE:
On time submission requires that applications be successfully submitted to
Grants.gov no later than 5:00 p.m. local time (of the applicant
institution/organization).
Application Submission/Receipt Date(s): March 11, 2008; May 29, 2008;
September 24, 2008
Peer Review Date(s): May/June
2008; August/September 2008; January/February 2009.
Council Review Date(s): August
2008; January 2009; May 2009.
Earliest Anticipated Start Date(s): September 2008;
April 2009; August 2009.
Additional Information To Be Available Date
(Activation Date): Not Applicable
Expiration Date: September 25, 2008.
Due Dates
for E.O. 12372
Not Applicable
Additional Overview
Content
Executive Summary
Purpose. This Funding Opportunity Announcement (FOA) issued by
the National Cancer Institute (NCI) solicits grant applications from small
business concerns (SBCs) that propose
research projects focused on the development and/or application of innovative
technologies addressing various aspects of the preparation, purification,
processing, and handling of cancer-relevant samples. The overall goal is to
develop technologies that maximize the quality and utility of biospecimens for
molecular analyses of cancer cells and their host environments without compromising
donor/patient health. This FOA will also support the development of methods and
tools to assess sample quality, preserve/protect sample integrity, and
establish verification criteria for quality assessment/quality control under
diverse conditions. Responsive technologies encompass relevant methods, techniques, tools,
instrumentation, and devices (but not software or informatics solutions). The proposed development of cancer sample-preparation
technologies must reflect the intent to ultimately commercialize these
technologies. This FOA is part of a broader NCI-sponsored Innovative Molecular
Analysis Technologies (IMAT) Program. Several
IMAT FOAs of identical or closely related scientific scope using various
funding mechanisms are available. To facilitate selection, a separate Notice in
the NIH Guide for Grants and Contracts provides brief cross-comparison
and links to all the IMAT FOAs. See NOT-CA-08-003.
Table of Contents
Part I Overview Information
Part II Full Text of Announcement
Section I. Funding Opportunity
Description
1. Research Objectives
Section II. Award Information
1. Mechanism of Support
2. Funds Available
Section III. Eligibility
Information
1. Eligible Applicants
A. Eligible Institutions
B. Eligible Individuals
2. Cost Sharing or Matching
3. Other - Special Eligibility Criteria
Section IV. Application and
Submission Information
1. Request Application Information
2. Content and Form of Application Submission
3. Submission Dates and Times
A. Submission, Review, and
Anticipated Start Dates
1. Letter of Intent
B. Submitting an Application
Electronically to the NIH
C. Application Processing
4. Intergovernmental Review
5. Funding Restrictions
6. Other Submission Requirements
Section V. Application Review
Information
1. Criteria
2. Review and Selection Process
A. Additional Review Criteria
B. Additional Review
Considerations
C. Sharing Research Data
D. Sharing Research Resources
3. Anticipated Announcement and Award Dates
Section VI. Award Administration
Information
1. Award Notices
2. Administrative and National Policy
Requirements
3. Reporting
Section VII. Agency Contact(s)
1. Scientific/Research Contact(s)
2. Peer Review Contact(s)
3. Financial/ Grants Management Contact(s)
Section VIII. Other Information
- Required Federal Citations
Part II
- Full Text of Announcement
Section I. Funding Opportunity Description
This Funding Opportunity Announcement (FOA) solicits grant applications from small business concerns (SBCs) proposing research projects focused on the development and/or application of innovative technologies addressing various aspects of the preparation, purification, processing, and handling of cancer-relevant samples. The overall goal is to develop technologies that maximize the quality and utility of biospecimens for molecular analyses of cancer cells and their host environments without compromising donor/patient health. This FOA will also support the development of methods and tools to assess sample quality, preserve/protect sample integrity, and establish verification criteria for quality assessment/quality control under diverse conditions. The emphasis of this FOA is on technologies that are intended to ultimately reach the stage of commercially available products/services to the cancer research and clinical communities.
To be responsive to this FOA, proposed projects must be directly relevant to the overarching goal of ensuring appropriate, consistent, and well-controlled sample quality necessary for various types of analysis of cancer-related biospecimens at both the molecular and cellular levels. Proposed projects may focus on samples originating from residual material not necessary for patient care and/or from cell lines, model organisms, or other sources relevant to cancer research. Responsive technologies encompass methods, techniques, tools, instrumentation, and devices (but not software or any informatics solutions).
This FOA is designed to support applicant SBC projects through the use of STTR grant mechanisms for Phase I, Phase II, and Fast-Track applications. This FOA runs in parallel with another FOA of identical scientific scope, RFA-CA-08-013 that uses the SBIR (R43/R44) award mechanism. Both FOAs are part of a broader NCI-sponsored Innovative Molecular Analysis Technologies (IMAT) Program.
IMAT Program
The IMAT Program (http://imat.cancer.gov/) is aimed at the development and integration of novel and emerging technologies in the support of cancer research, diagnosis, and treatment. Since 1998, the IMAT Program facilitates the accelerated development of various tools and methods benefiting cancer research and, ultimately, clinical oncological practice.
The IMAT Program consists of the following three related themes:
The IMAT program supports projects from the stage of technology inception through the feasibility/optimizations studies to the ultimate developmental and application phases. Through the use of appropriate funding mechanisms, the individual IMAT Program FOAs are focused either on: (1) the Phase I or high-risk exploratory portion of an investigator's scientific effort, with an emphasis on innovation; or (2) the developmental Phase II projects; or (3) combined phased innovation mechanism (Fast-Track for SBIR/STTR).
NOTE: Whereas the scientific scopes within the main IMAT themes remain constant, FOAs with the focus on exploratory pilot phases and on developmental phases have distinct submission requirements. The complete matrix of multiple IMAT FOAs, including their scopes and basic requirements, is outlined in NOT-CA-08-003. Potential applicants interested in IMAT initiatives are strongly advised to use that NIH Guide Notice as a switchboard to verify which of the closely related active FOAs might be most appropriate for them to apply to.
Background
As increasingly evident from the discoveries made by basic research, cancer is a complex disease involving a gradual accumulation of genetic and epigenetic changes in the cell and alterations in a very large number of molecular and cellular processes. Comprehensive Identification of subsets of genes and other factors at the molecular and cellular level that can contribute to the development and progression of cancer remains a challenge. The ability to identify and characterize such cancer genes, their associated gene products, and other cancer-related molecular changes remains a high priority in cancer research. Therefore, further vigorous efforts are urgently needed to develop novel technologies for the molecular analysis of cancer and cancer microenvironment. Technological advances in these areas are increasingly often instrumental in uncovering new paradigms and developing new directions in cancer research. Novel technologies are expected to facilitate and accelerate the identification and characterization of factors that can influence cancer risk, cancer emergence and progression, effects of external/environmental factors, as well as outcomes of therapeutic interventions.
The quality of data in the biological studies and, ultimately, the interpretation of the results, strongly depend on the quality of sample preparations used for analyses. In the advent of bioinformatics integrating massive volumes of data from diverse measurements of various bio-molecules and biological responses, there is an increasingly urgent need to better understand how different methods of sample preparation (and/or handling) may affect study results. There is a need for optimization and standardization of sample preparation/handling methods as well as a need to assess the quality of samples prepared using different methodologies.
Specific Objectives and Scope of this FOA
Projects proposed in response to this FOA must be pertinent to its overarching objective, i.e., must address the development of technologies and methodologies that maximize the quality and utility of biospecimens for cancer research without compromising donor/patient health. Applicants may propose the development of highly innovative technologies and approaches to ensure sample properties required by a variety of molecular analysis tools. To be responsive, however, proposed projects must be directly relevant to sample preparation/sample quality. Thus, proposed projects must develop and/or utilize novel sample preparation methodologies/technologies to ensure appropriate, consistent, and well-controlled sample quality that is necessary in cancer research as well as in clinical analysis of cancer-related biospecimens at both the molecular and cellular levels. Methods to assess sample quality and studies that elucidate the criteria needed to judge sample quality under different conditions are also appropriate. Development of tools and methodologies to make these assessments may be a component of the proposed projects (e.g., sample reference materials or other means to validate the suitability of a sample technology for ultimate analyses).
Responsive technologies encompass methods, techniques, tools, instrumentation, and/or devices (but not software or bio-informatics-based solutions). Proposed research directions are expected to address an important and unmet need that is relevant to cancer sample preparation, but also provide a significant commercial opportunity in this context.
Specific areas in which new technological capabilities are of particular interest include (but are not limited to) the following:
For all technology applications/implementations proposed for development, applicants are expected to substantiate the ultimate value of and role for the technology in elucidating the molecular characteristics of cancer cells or the neoplastic process in laboratory and/or in the clinic. Applicants should also consider (and address in the application) the potential for ultimately transferring knowledge gained, technology and/or methodology to other laboratories or the clinic. In the case of technologies intended for use on clinical specimens or in patients, appropriate collaborations with clinical investigators are encouraged.
It is expected that all applications proposing to develop new technologies for cancer sample preparations adhere to the guidelines outlined in the NCI Best Practices for Biospecimen Resources at http://biospecimens.cancer.gov/global/pdfs/NCI_Best_Practices_060507.pdf.
TECHNOLOGIES THAT ARE GENERALLY NOT APPROPRIATE FOR THIS FOA AND OTHER IMAT FOAs. Types of projects that are outside of the IMAT scope (i.e., are non-responsive to any IMAT FOAs) include:
(i) Projects proposing software/informatics solutions, database development, data mining, statistical tools, and computational/mathematical modeling (including those applicable to drug and/or patient responses);
(ii) Projects centered on technology that has already led to the development of analytical or diagnostic product and its commercial release;
(iii) Projects proposing whole-body or in vivo imaging methods;
(iv) Projects in which the main thrust of effort is on exploring biological or clinical hypotheses (i.e., traditional hypothesis-driven projects) rather than on technology development;
(v) Projects centered on development of specific drugs or therapies ; and
(vi) Any projects involving clinical and/or diagnostic trials.
Researchers focusing on new bioinformatics or statistical techniques/tools/software solutions should consider one of the Biomedical Information Science and Technology Initiative (BISTI) opportunities.
Researchers who emphasize the assessment of whole body or in vivo imaging technologies as the primary focus of their projects should contact the Cancer Imaging Program for information on appropriate funding opportunities.
Attributes of the SBIR/STTR Mechanisms in the IMAT Context. Whereas several IMAT FOAs have similar scientific scopes (reflecting the three IMAT themes, see above), the SBIR and STTR IMAT FOAs complement the overall programmatic goals by focusing on efforts aimed at the transition of technological conceptual advances toward the broadly available products/tools/services. The SBIR (R43/R44) and STTR (R41/R42) mechanisms are intended to support the following types of projects:
Projects in Phase I should address initial application of the technology in a relevant setting to demonstrate that the technology functions reproducibly and effectively in the intended context. A successful completion of a Phase I project means accomplishing the pre-set quantitative milestones and generating sufficient experimental data to establish the proof-of-concept for the technology/application under development.
These data may then be used by the same investigators (or by others) to propose further research and development activities through a Phase II project. The Phase II activities should advance the technology toward the development of a commercial product or service. Detailed preliminary data in support of the feasibility of the technology or approach that is proposed for development are required for Phase II applications. Such data may reflect successful completion of Phase I (including achieving the associated milestones). For SBIR/STTR FOAs, feasibility data need to be largely obtained through a NIH-sponsored Phase I project.
Note: SBC completing Phase 1 SBIR/STTR projects (funded by the IMAT program or by other programs) may seek continued funding for further steps in technology development (and its application to relevant cancer problem) through the IMAT program or through other routes (e.g., other existing SBIR/STTR FOAs or investigator-initiated applications to the parent SBIR/STTR announcements http://sbir.cancer.gov/funding/omnibus/).
It is anticipated and encouraged that the outcomes of the IMAT SBIR and STTR projects are used to attract a strategic partner(s) or private sector investor(s) to ultimately achieve commercialization of the technology under development as a final product or service. Research partnerships are also encouraged to share the new technological advances/tools with laboratory and/or clinical cancer researchers.
See Section
VIII, Other Information - Required Federal Citations, for policies related
to this announcement.
Section II. Award Information
1. Mechanism(s) of Support
This funding opportunity will use the Small Business Technology Transfer (STTR [R41/R42] grant mechanisms. Applications may be submitted for support as Phase I, Phase II, or Fast-Track grants as described in the SF424 (R&R) SBIR/STTR Application Guide.
Small business concerns that have
received a Phase I STTR grant may apply for Phase II funding of that project.
The Phase II must be a logical extension of the Phase I research but not
necessarily as a Phase I project supported in response to this funding
opportunity. Phase II applications will compete with all STTR applications and
will be reviewed according to the customary peer review procedures
The applicant small business concern (SBC) will be solely responsible for
planning, directing, and executing the proposed project.
This funding opportunity uses
Just-in-Time information concepts. The modular budget format is not accepted
for STTR grant applications. Applicants must complete and submit budget
requests using the SF424 Research and Related (R&R) Budget component found
in the application package attached to this FOA in Grants.gov/Apply.
2. Funds Available
The SF424 (R&R) SBIR/STTR Application Guide indicates
the statutory guidelines of funding support and project duration periods for
Phase I and Phase II STTR awards. For this funding opportunity, budgets up to $100,000 total costs per year and time periods up to 2 years for Phase I may be requested. Budgets
up to $750,000 total costs per year and up to 3 years may be requested for Phase II. Total costs include
direct costs, Facilities & Administrative (F&A)/indirect costs, and fee.
The NCI intends to
commit approximately $1,250,000 dollars in FY 09 to fund 3 to 5 Phase I, Phase II, or Fast Track applications under the STTR
set-aside funding mechanism. Although the financial plans of the participating
organizations provide support for this program, awards pursuant to this FOA are
contingent upon the availability of funds and the submission of a sufficient
number of meritorious applications.
Section III. Eligibility Information
1. Eligible Applicants
1.A. Eligible Institutions
Only United States small business concerns (SBCs) are
eligible to submit STTR applications. A
small business concern is one that, at the time of award of Phase I and Phase
II, meets all of the following
criteria:
1. Organized for profit, with a place of business located in the United States, which operates primarily within the United States or which makes a significant contribution to the United States economy through payment of taxes or use of American products, materials or labor;
2. In the legal form of an individual proprietorship, partnership, limited liability company, corporation, joint venture, association, trust or cooperative, except that where the form is a joint venture, there can be no more than 49 percent participation by business entities in the joint venture;
3. At least 51 percent owned and controlled by one or more individuals who are citizens of, or permanent resident aliens in, the United States.
4. Has, including its affiliates, not more than 500 employees and meets the other regulatory requirements found in 13 C.F.R. Part 121. Business concerns, other than investment companies licensed, or state development companies qualifying under the Small Business Investment Act of 1958, 15 U.S.C. 661, et seq., are affiliates of one another when either directly or indirectly, (a) one concern controls or has the power to control the other; or (b) a third-party/parties controls or has the power to control both.
Control can be exercised through common ownership, common management, and contractual relationships. The term "affiliates" is defined in greater detail in 13 C.F.R. 121.3-2(a). The term "number of employees" is defined in 13 C.F.R. 121.3-2(t).
Business concerns include, but are not limited to, any individual (sole proprietorship), partnership, corporation, joint venture, association, or cooperative. Further information may be obtained by contacting the Small Business Administration Size District Office at http://sba.gov/size.
One of the circumstances that would lead to a finding that an organization is controlling or has the power to control another organization involves sharing common office space and/or employees and/or other facilities (e.g., laboratory space). Access to special facilities or equipment in another organization is permitted (as in cases where the awardee organization has entered into a subcontractual agreement with another organization for a specific, limited portion of the research project). However, research space occupied by an STTR awardee organization must be space that is available to and under the control of the STTR awardee for the conduct of its portion of the proposed project.
Title 13 CFR 121.3 also states that control or the power to control exists when key employees of one concern organize a new concern ... and serve as its officers, directors, principal stockholders, and/or key employees, and one concern is furnishing or will furnish the other concern with subcontracts, financial or technical assistance, and/or other facilities, whether for a fee or otherwise. Where there is indication of sharing of common employees, a determination will be made on a case-by-case basis of whether such sharing constitutes control or the power to control.
For purposes of the STTR program, personnel obtained through a Professional Employer Organization or other similar personnel leasing company may be considered employees of the awardee. This is consistent with SBA’s size regulations, 13 CFR 121.106 Small Business Size Regulations.
All STTR grant applications will be examined with the above eligibility considerations in mind. If it appears that an applicant organization does not meet the eligibility requirements, NIH will request a size determination by the SBA. If eligibility is unclear, NIH will not make an STTR award until the SBA provides a determination.
Note: An applicant organization that has been determined previously by SBA to be other than small for a size standard of not more than 500 employees or for purposes of the SBIR/STTR program, the organization must be recertified by the SBA prior to any future SBIR/STTR awards.
1.B. Eligible Individuals
Any individual with the skills,
knowledge, and resources necessary to carry out the proposed research is
invited to work with his/her organization to develop an application for
support. Individuals from underrepresented racial and ethnic groups as well as
individuals with disabilities are always encouraged to apply for NIH support.
More than one PD/PI, or multiple PDs/PIs, may be designated on the application
for projects that require a team science approach that clearly does not fit
the single-PD/PI model. Additional information on the implementation plans and
policies and procedures to formally allow more than one PD/PI on individual
research projects is available at http://grants.nih.gov/grants/multi_pi . All PDs/PIs must be registered in the NIH eRA Commons prior to the submission
of the application (see http://era.nih.gov/ElectronicReceipt/preparing.htm for instructions).
The decision of whether to apply for a single PD/PI or multiple PD/PI grant is the responsibility of the investigators and applicant organizations and should be determined by the scientific goals of the project. Applications for multiple PD/PI grants will require additional information, as outlined in the instructions below. The NIH review criteria for approach, investigators, and environment have been modified to accommodate applications involving either a single PD/PI or multiple PDs/PIs. When considering multiple PDs/PIs, please be aware that the structure and governance of the PD/PI leadership team as well as the knowledge, skills and experience of the individual PD/PIs will be factored into the assessment of the overall scientific merit of the application. Multiple PDs/PIs on a project share the authority and responsibility for leading and directing the project, intellectually and logistically. Each PD/PI is responsible and accountable to the grantee organization, or, as appropriate, to a collaborating organization, for the proper conduct of the project or program, including the submission of required reports. For further information on multiple PDs/PIs, please see http://grants.nih.gov/grants/multi_pi.
For a STTR application, the Project Director/Principal Investigators (PD/PIs) may be employed with the SBC or the participating non-profit research institution as long as s/he has a formal appointment with or commitment to the applicant SBC, which is characterized by an official relationship between the SBC and that individual.
When the proposed PD/PI clearly does not have sufficient qualifications to assume this role, the application is not likely to receive a favorable evaluation.
Each PD/PI must commit a minimum of 10% effort to the project and the PD/PI must have a formal appointment with or commitment to the applicant small business concern, which is characterized by an official relationship between the small business concern and that individual. Such a relationship does not necessarily involve a salary or other form of remuneration. In all cases, however, the PD/PI’s official relationship with the grantee must entail sufficient opportunity for the PD/PI to carry out his or her responsibilities for the overall scientific and technical direction of the project. Documentation (e.g., consultant, consortium and contractual arrangements) describing the official relationship of the PD/PI with the applicant small business concern should NOT be submitted with the grant application, but a copy must be furnished upon the request of the NIH awarding component.
The following are examples of situations describing the official relationship of the PD/PI with the applicant small business organization:
2. Cost Sharing or Matching
This program does not require cost sharing as defined
in the current NIH
Grants Policy Statement.
3. Other-Special Eligibility Criteria
In STTR Phase I and Phase II, at
least 40% of the work must be performed by the small business concern and at
least 30% of the work must be performed by the single, partnering research
institution. The basis for determining the percentage of work to be performed
by each of the cooperative parties will be the total of direct and
F&A/indirect costs attributable to each party, unless otherwise described
and justified in Item 12, Consortium/Contractual Arrangements, of the PHS398
Research Plan component of the SF424 (R&R) application forms.
Applicants may not simultaneously submit identical/essentially identical applications under both this STTR funding opportunity and any other HHS FOA, including the current SBIR and STTR Parent FOAs. The NIH will accept as many "different" applications as the applicant organization chooses. However, the NIH will not accept similar grant applications with essentially the same research focus from the same applicant organization. This includes derivative or multiple applications that propose to develop a single product, process or service that, with non-substantive modifications, can be applied to a variety of purposes. Likewise, identical or essentially identical grant applications submitted by different organizations will not be accepted. Applicant organizations should ascertain and assure that the materials they are submitting on behalf of the principal investigator are the original work of the principal investigator and have not been used elsewhere in the preparation and submission of a similar grant application. Applications to the NIH are grouped by scientific discipline for review by individual Scientific Review Groups and not by disease or disease state. The reviewers can thus easily identify multiple grant applications for essentially the same project. In these cases, application processing may be delayed or the application(s) may be returned to the applicant without review.
It is unlawful to enter into contracts or grants requiring essentially equivalent work or effort. Essentially equivalent work or effort occurs when (1) substantially the same research is proposed for funding in more than one contract proposal or grant application submitted to the same Federal agency; (2) substantially the same research is submitted to two or more different Federal agencies for review and funding consideration; or (3) a specific research objective and the research design for accomplishing an objective are the same or closely related in two or more proposals or awards, regardless of the funding source. If there is any question concerning essentially equivalent work or effort, it must be disclosed to the soliciting agency or agencies before award.
Only one Phase II award may be made for a single SBIR/STTR project.
You may submit a Phase II application either before or after expiration of the Phase I budget period, unless you elect to submit a Phase I and Phase II application concurrently under the Fast-Track procedure. To maintain eligibility to seek Phase II support, a Phase I grantee organization should submit a Phase II application within the first six receipt dates following the expiration of the Phase I budget period.
Section IV. Application and Submission Information
To
download a SF424 (R&R) Application Package and SF424 (R&R) SBIR/STTR
Application Guide for completing the SF424 (R&R) forms for this FOA, use
the Apply for Grant Electronically button in this FOA or link to http://www.grants.gov/Apply/ and follow
the directions provided on that Web site.
A one-time registration is required for institutions/organizations at both:
PDs/PIs should work with their institutions/organizations to make sure they are registered in the NIH eRA Commons.
Several additional separate actions are required before an applicant SBC can submit an electronic application, as follows:
1) Organizational/Institutional Registration in Grants.gov/Get Started
2) Organizational/Institutional Registration in the eRA Commons
3) Project Director/Principal Investigator (PD/PI) Registration in the NIH eRA Commons: Refer to the NIH eRA Commons System (COM) Users Guide.
To affiliate the PD/PI with the applicant small business concern:
Both the PD/PI(s) and AOR/SO need separate accounts in the NIH eRA Commons since both are authorized to view the application image.
Note that if a PD/PI is also an NIH peer-reviewer with an Individual DUNS and CCR registration, that particular DUNS number and CCR registration are for the individual reviewer only. These are different than any DUNS number and CCR registration used by an applicant organization. Individual DUNS and CCR registration should be used only for the purposes of personal reimbursement and should not be used on any grant applications submitted to the Federal Government.
Several of the steps of the registration process could take four weeks or more. Therefore, applicants should immediately check with their business official to determine whether their institution is already registered in both Grants.gov and the Commons. The NIH will accept electronic applications only from organizations that have completed all necessary registrations.
1. Request Application Information
Applicants must download the SF424 (R&R)
application forms and SF424 (R&R) SBIR/STTR Application Guide for this FOA
using the Apply for Grant Electronically button in this FOA or through Grants.gov/Apply.
Note:
Only the forms package directly attached to a specific FOA can be used. You
will not be able to use any other SF424 (R&R) forms (e.g., sample forms,
forms from another FOA), although some of the "Attachment" files may
be useable for more than one FOA.
For further assistance contact GrantsInfo: Telephone
301-710-0267, Email: [email protected].
Telecommunications for the hearing impaired: TTY
301-451-5936.
2. Content and Form of Application Submission
Prepare all STTR applications using the SF424 (R&R) application forms and in accordance with the SF424 (R&R) SBIR/STTR Application Guide.
The SF424 (R&R) SBIR/STTR Application Guide is critical to submitting a complete and accurate application to NIH. There are fields within the SF424 (R&R) application components that, although not marked as mandatory, are required by NIH (e.g., the Credential log-in field of the Research & Related Senior/Key Person Profile component must contain the PD/PI’s assigned eRA Commons User ID). Failure to include this data field will cause the application to be rejected.
Agency-specific instructions for such fields are clearly identified in the Application Guide. For additional information, see Frequently Asked Questions Application Guide, Electronic Submission of Grant Applications.
The SF424 (R&R) application is comprised of data arranged in separate components. Some components are required, others are optional. The forms package associated with this FOA in Grants.gov/ APPLY will include all applicable components, required and optional. A completed application in response to this FOA will include the following components:
Required
Components:
SF424 (R&R) (Cover component)
Research & Related Project/Performance Site Locations
Research & Related Other
Project Information
Research & Related Senior/Key
Person
Research & Related Budget
Research & Related Subaward
Budget Attachment(s) Form
PHS398 Cover Page Supplement
PHS398 Research Plan
PHS398 Checklist
SBIR/STTR Information
Optional
Components:
PHS398 Cover Letter File
SPECIAL
INSTRUCTIONS
Applications with Multiple PDs/PIs
When multiple PDs/PIs are proposed, NIH requires one PD/PI to be designated as the "Contact PI, who will be responsible for all communication between the PDs/PIs and the NIH, for assembling the application materials outlined below, and for coordinating progress reports for the project. The contact PD/PI must meet all eligibility requirements for PD/PI status in the same way as other PDs/PIs, but has no other special roles or responsibilities within the project team beyond those mentioned above. All funding for STTR projects goes to the small business awardee, so funding for PD/PIs from other organizations must be requested via a subcontract with the small business using the Research & Related Subaward Budget Attachment(s) Form.
Information for the Contact PD/PI should be entered in item 15 of the SF424 (R&R) Cover component. All other PDs/PIs should be listed in the Research & Related Senior/Key Person component and assigned the project role of PD/PI. Please remember that all PDs/PIs must be registered in the eRA Commons prior to application submission. The Commons ID of each PD/PI must be included in the Credential field of the Research & Related Senior/Key Person component. Failure to include this data field will cause the application to be rejected.
All projects proposing Multiple PDs/PIs will be required to include a new section describing the leadership of the project.
Multiple PD/PI Leadership Plan: For applications designating multiple PDs/PIs, a new section of the research plan, entitled Multiple PD/PI Leadership Plan (Section 14 of the Research Plan Component in the SF424 (R&R)), must be included. A rationale for choosing a multiple PD/PI approach should be described. The governance and organizational structure of the leadership team and the research project should be described, including communication plans, process for making decisions on scientific direction, and procedures for resolving conflicts. The roles and administrative, technical, and scientific responsibilities for the project or program should be delineated for the PDs/PIs and other collaborators.
If budget allocation is planned, the distribution of resources to specific components of the project or the individual PDs/PIs should be delineated in the Leadership Plan. In the event of an award, the requested allocations may be reflected in a footnote on the Notice of Award.
3. Submission
Dates and Times
See Section IV.3.A. for
details.
3.A.
Submission, Review, and Anticipated Start Dates
Opening Date: February 11, 2008 (Earliest
date an application may be submitted to Grants.gov)
Letters of Intent Receipt Date(s): February 11, 2008; April 29, 2008; August 24, 2008
Application Submission/Receipt Date(s): March 11, 2008; May 29, 2008;
September 24, 2008
Peer Review Date(s): May/June
2008; August/September 2008; January/February 2009.
Council Review Date(s): August
2008; January 2009; May 2009.
Earliest Anticipated Start Date(s): September 2008;
April 2009; August 2009.
Additional Information To Be Available Date
(Activation Date): Not Applicable
Expiration Date: September 25, 2008.
3.A.1.
Letter of Intent
Prospective applicants are asked to submit a letter of
intent that includes the following information:
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 Institute and Center (IC)
staff to estimate the potential review workload and plan the review.
The letter of intent is to be sent by the date listed
in Section IV.3.A.
The letter of intent should be sent to:
Richard Aragon, Ph.D.
Office
of Technology and Industrial Relations
National
Cancer Institute
Building
31, Room 10A52, MSC 2580
Bethesda, MD 20892-2580
Telephone:
(301) 496-1550
FAX:
(301) 496-7807
Email: [email protected]
3.B. Submitting an
Application Electronically to the NIH
To submit an application in response to this
FOA, applicants may use the Apply for Grant
Electronically button in this FOA or link to http://www.grants.gov/applicants/apply_for_grants.jsp
and follow steps 1-4. Note: Applications must only be submitted electronically. PAPER APPLICATIONS WILL NOT BE ACCEPTED.
3.C.
Application Processing
Applications may be submitted on or
after the opening date and must be successfully received by Grants.gov
no later than 5:00 p.m. local time (of the applicant institution/organization)
on the application submission/receipt date(s). (See
Section IV.3.A. for all dates.) If an application is not submitted by the
receipt date(s) and time, the application may be delayed in the review process
or not reviewed.
Once an application package has been successfully submitted through Grants.gov, any errors have been addressed, and the assembled application has been created in the eRA Commons, the PD/PI and the Authorized Organization Representative/Signing Official (AOR/SO) have two business days to view the application image to determine if any further action is necessary.
Upon receipt, applications will be
evaluated for completeness by the Center for Scientific Review (CSR) and
responsiveness by the NCI. Incomplete and non-responsive applications will not be
reviewed.
There will be an acknowledgement of receipt
of applications from Grants.gov and the Commons. The submitting AOR receives
the Grants.gov acknowledgments. The AOR and the PD/PI receive Commons
acknowledgments. Information related to the assignment of an application to a
Scientific Review Group is also in the Commons.
Note: Since email can be unreliable, it is the responsibility of the applicant to check periodically on their application status in the Commons.
The NIH will not accept any application in response to this FOA that is essentially the same as one currently pending initial merit review unless the applicant withdraws the pending application. The NIH will not accept any application that is essentially the same as one already reviewed. This does not preclude the submission of an application already reviewed with substantial changes, but such application must include an Introduction addressing the previous critique. Note such an application is considered a "resubmission" for the SF424 (R&R).
4. Intergovernmental Review
This initiative is not subject to intergovernmental
review.
5. Funding Restrictions
All NIH awards are subject to the terms and
conditions, cost principles, and other considerations described in the NIH
Grants Policy Statement.
Pre-award costs are allowable. A
grantee may, at its own risk and without NIH prior approval, incur obligations
and expenditures to cover costs up to 90 days before the beginning date of the
initial budget period of a new or competing renewal award if such costs: are
necessary to conduct the project, and would be allowable under the grant, if awarded,
without NIH prior approval. If specific expenditures would otherwise require
prior approval, the grantee must obtain NIH approval before incurring the cost.
NIH prior approval is required for any costs to be incurred more than 90 days
before the beginning date of the initial budget period of a new or competing
renewal award.
The incurrence of pre-award costs in anticipation of a
competing or non-competing award imposes no obligation on NIH either to make
the award or to increase the amount of the approved budget if an award is made
for less than the amount anticipated and is inadequate to cover the pre-award
costs incurred. NIH expects the grantee to be fully aware that pre-award costs
result in borrowing against future support and that such borrowing must not
impair the grantee's ability to accomplish the project objectives in the
approved time frame or in any way adversely affect the conduct of the project.
See the NIH Grants
Policy Statement.
6. Other Submission 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 PD/PI
and one additional senior investigator to attend this annual meeting.
PD/PI Credential (e.g., Agency Login)
The NIH requires each PD/PI to fill in his/her Commons User ID in the PROFILE Project Director/Principal Investigator section, Credential log-in field of the Research & Related Senior/Key Person Profile component.
Organizational DUNS
The applicant organization must include its DUNS number in its Organization Profile in the eRA Commons. This DUNS number must match the DUNS number provided at CCR registration with Grants.gov. For additional information, see Frequently Asked Questions Application Guide, Electronic Submission of Grant Applications.
PHS398 Research Plan Component Sections
While each section of the Research Plan component needs to be uploaded separately as a PDF attachment, applicants are encouraged to construct the Research Plan component as a single document, separating sections into distinct PDF attachments just before uploading the files. This approach will enable applicants to better monitor formatting requirements such as page limits. All attachments must be provided to NIH in PDF format, filenames must be included with no spaces or special characters, and a .pdf extension must be used.
All application instructions outlined in the SF424 (R&R) SBIR/STTR Application Guide are to be followed, with the following requirements.
STTR Phase I applications:
STTR Phase II applications:
STTR Fast-Track applications:
Resubmissions:
Warning: Please be sure that you observe the total cost, project period, and page number limitations specified above for this FOA. Application processing may be delayed or the application may be rejected if it does not comply with these requirements.
Appendix Materials
NIH has published new limitations on grant application appendix materials to encourage applications to be as concise as possible while containing the information needed for expert scientific review. (See http://grants.nih.gov/grants/guide/notice-files/NOT-OD-07-018.html.)
Applicants must follow the specific instructions on Appendix materials as described in the SF424 (R&R) Application Guide (See http://grants.nih.gov/grants/funding/424/index.htm).
Do not use the Appendix to circumvent the page limitations of the Research Plan component. An application that does not observe the required page limitations may be delayed in the review process. Phase I SBIR/STTR Appendix materials are not permitted unless specifically requested by NIH.
Plan for Sharing Research Data
All
applicants must include a plan for sharing research data in their application.
The data sharing policy is available at http://grants.nih.gov/grants/policy/data_sharing.
All investigators responding to this funding opportunity should include a
description of how final research data will be shared, or explain why data
sharing is not possible.
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 the priority score. For more information on data sharing see http://grants.nih.gov/grants/policy/data_sharing.
and http://grants.nih.gov/grants/policy/data_sharing/data_sharing_faqs.htm.
Sharing
Research Resources
NIH
policy expects that grant recipients make unique research resources readily
available for research purposes to qualified individuals within the scientific
community after publication (see the NIH Grants Policy Statement at http://grants.nih.gov/grants/policy/nihgps_2003/NIHGPS_Part7.htm#_Toc54600131).
Investigators responding to this funding opportunity should include a sharing
research resources plan addressing how unique research resources will be shared
or explain why sharing is not possible.
The adequacy of the resources sharing plan and
any related data sharing plans will be considered by Program staff of the
funding organization when making recommendations about funding applications.
The effectiveness of the resource sharing will be evaluated as part of the
administrative review of each Non-Competing Grant
Progress Report (PHS 2590). See Section VI.3.,
Reporting.
Section V. Application Review Information
1.
Criteria
Only the review
criteria described below will be considered in the review process.
2. Review and
Selection Process
Applications that
are complete and responsive to this funding opportunity will be evaluated for
scientific and technical merit by an appropriate peer review group convened by
the NCI in accordance with the review criteria stated below.
As part of the
initial merit review, all applications will:
Applications submitted in response to this funding opportunity will compete for available funds with all other recommended STTR applications. The following will be considered in making funding decisions:
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 discuss the following aspects of 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.
Note that an 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.
Applicants
should include information in relevant sections of the grant application that
addresses the questions for each review criterion below.
All STTR Applications
Significance: Does the proposed project have commercial potential to lead to a marketable
product, process or service? Does this study address an important problem? What
may be the anticipated commercial and societal benefits that may be derived
from the proposed research? If the aims of the application are achieved, how
will scientific knowledge or clinical practice be advanced? What will be the
effect of these studies on the concepts, methods, technologies, treatments,
services, or preventative interventions that drive this field? Does the
application lead to enabling technologies (e.g., instrumentation, software) for
further discoveries? Will the technology have a competitive advantage over
existing/alternate technologies that can meet the market needs?
Approach: Are
the conceptual or clinical framework, design, methods, and analyses adequately
developed, well-integrated, and appropriate to the aims of the project? Is the
proposed plan a sound approach for establishing technical and commercial
feasibility? Are the milestones and evaluation procedures appropriate? Does the
applicant acknowledge potential problem areas and consider alternative
tactics? For applications designating multiple PD/PIs, is the leadership
approach, including he designated roles and responsibilities governance, and
organizational structure, consistent with and justified by the aims of the
project and the expertise of each of the PD/PIs?
Innovation: Is
the project original and innovative? For example: Does the project challenge
existing paradigms or clinical practice; address an innovative hypothesis or
critical barrier to progress in the field? Does the project develop or employ
novel concepts, approaches, methodologies, tools, or technologies for this
area?
Investigator(s): Are the PD/PI(s) and other key personnel appropriately trained and well suited to carry out this work? Is the work proposed appropriate to the experience level of the PD/PI(s) and other researchers, including consultants and subcontractors (if any)? Do the PD/PIs and investigative team bring complementary and integrated expertise to the project (if applicable)? Are the relationships of the key personnel to the small business and to other institutions appropriate for the work proposed?
Environment: Do(es) the scientific and technological environment in which the work will be done contribute to the probability of success? Do the proposed studies benefit from unique features of the scientific environment, or subject populations, or employ useful collaborative arrangements? Is there evidence of institutional support? Is there sufficient access to resources (e.g., equipment, facilities)?
Phase II Applications
In addition to the above review criteria:
1. How well did the applicant demonstrate progress
toward meeting the Phase I objectives, demonstrating feasibility, and providing
a solid foundation for the proposed Phase II activity?
2. Did the applicant submit a concise
Commercialization Plan that adequately addresses the specific areas described
in the SF424 (R&R) SBIR/STTR Application Guide and the SBIR/STTR
Information component?
3. Does the project carry a high degree of
commercial potential, as described in the Commercialization Plan?
Phase I/Phase II Fast-Track
Application Review Criteria
For Phase I/Phase II Fast Track
applications, the following criteria also will be applied:
1. Does the Phase I application specify clear,
appropriate, measurable goals (milestones) that should be achieved prior to
initiating Phase II?
2. Did the applicant submit a concise
Commercialization Plan that adequately addresses the specific areas described
in the SF424 (R&R) SBIR/STTR Application Guide and the SBIR/STTR
Information component?
3. To what extent was the applicant
able to obtain letters of interest, additional funding commitments, and/or
resources from the private sector or non-SBIR/STTR funding sources that would
enhance the likelihood for commercialization?
4. Does the project carry a high degree of
commercial potential, as described in the Commercialization Plan?
Phase I and Phase II Fast-Track applications that
satisfy all of the review criteria will receive a single rating.
For Fast-Track applications, the Phase II portion
may not be funded until a Phase I final report and other documents necessary
for continuation have been received and assessed by program staff that the
Phase I milestones have been successfully achieved. Items 2-5 of the Research
Plan may not exceed 25 pages. That is, the combined Phase I and Phase II plans
for a Fast-Track application (for Items 2-5) must be contained within the
25-page limitation.
2.A.
Additional Review Criteria:
In addition to the above criteria, the following
items will continue to be considered in the determination of scientific merit
and the priority score:
Resubmission Applications (formerly
revised/amended applications): Are
the responses to comments from the previous scientific review group adequate?
Are the improvements in the resubmission application appropriate?
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 item 6 of the Research Plan component of the SF424 (R&R).
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 item 7 of the Research Plan component of
the SF424 (R&R).
Care and Use of Vertebrate Animals in
Research: If vertebrate animals are to
be used in the project, the five items described under item 11 of the Research
Plan component of the SF424 (R&R) will be assessed.
Biohazards: If materials or procedures are proposed that are
potentially hazardous to research personnel and/or the environment, determine
if the proposed protection is adequate.
2.B. Additional Review
Considerations
Budget and Period of Support: The reasonableness of the proposed budget and the appropriateness
of the requested period of support in relation to the proposed research may be
assessed by the reviewers. The priority score should
not be affected by the evaluation of the budget.
2.C. Sharing Research Data
Data Sharing Plan: The reasonableness of the data sharing plan or the rationale for not sharing research data may be assessed by the reviewers. However, reviewers will not factor the proposed data sharing plan into the determination of scientific merit or the priority score. The funding organization will be responsible for monitoring the data sharing policy. http://grants.nih.gov/grants/policy/data_sharing.
2.D. Sharing
Research Resources
NIH policy
expects that grant recipients make unique research resources readily available
for research purposes to qualified individuals within the scientific community
after publication (see the NIH Grants Policy Statement at http://grants.nih.gov/grants/policy/nihgps_2003/NIHGPS_Part7.htm#_Toc54600131).
Investigators responding to this funding opportunity should include a sharing
research resources plan addressing how unique research resources will be shared
or explain why sharing is not possible.
Program staff will be responsible for the
administrative review of the plan for sharing research resources.
The adequacy of the resources sharing plan and any related data sharing plans will be considered by Program staff of the funding organization when making recommendations about funding applications. The effectiveness of the resource sharing will be evaluated as part of the administrative review of each Non-Competing Grant Progress Report (PHS 2590). See Section VI.3., Reporting.
3. Anticipated Announcement and Award
Dates
Not Applicable.
Section VI. Award Administration Information
1. Award Notices
After the peer review of the application is
completed, the PD/PI will be able to access his/her Summary Statement (written
critique) via the eRA Commons.
If the application is under
consideration for funding, NIH will request "just-in-time"
information from the applicant. For details, applicants may refer to the NIH Grants Policy Statement Part II: Terms and
Conditions of NIH Grant Awards, Subpart A: General.
A formal notification in the form of a Notice of Award
(NoA) will be provided to the applicant organization. The NoA signed by the
grants management officer is the authorizing document. Once all administrative
and programmatic issues have been resolved, the NoA will be generated via email
notification from the awarding component to the grantee business official.
Selection of an application for award is not an
authorization to begin performance. Any costs incurred before receipt of the
NoA are at the recipient's risk. These costs may be reimbursed only to the
extent considered allowable pre-award costs. See also Section
IV.5., Funding Restrictions.
2. Administrative and National Policy Requirements
All NIH grant and cooperative agreement awards
include the NIH Grants
Policy Statement as part of the NoA. For
these terms of award, see the NIH Grants Policy Statement Part II: Terms and
Conditions of NIH Grant Awards, Subpart A: General and Part
II: Terms and Conditions of NIH Grant Awards, Subpart B: Terms and Conditions
for Specific Types of Grants, Grantees, and Activities.
3. Reporting
NIH requires that SBIR/STTR grantees submit the following reports within 90 days of the
end of the grant budget period unless the grantee is under an
extension.
Financial Status Report (OMB 269, http://www.whitehouse.gov/omb/grants/grants_forms.html)
Final Progress Report
Final Invention Statement and Certification (HHS 568)
Annual Invention Utilization Reports
Final Cash Transaction Report (PSC 272, http://www.dpm.psc.gov/Reports.aspx)
Phase II Data Collection Requirement for Government Tech-Net Database (http://technet.sba.gov)
Failure to submit timely final reports may affect future funding to the organization or awards with the same principal investigator.
For details about each specific required report, see the section on Award Guidelines, Reporting Requirements, and Other Considerations, in the SF 424 (R&R) SBIR/STTR Application Guide.We encourage your inquiries
concerning this funding opportunity and welcome the opportunity to answer
questions from potential applicants. Inquiries may fall into three areas:
scientific/research, peer review, and financial or grants management issues:
1. Scientific/Research Contacts:
Richard Aragon,
Ph.D.
Office
of Technology and Industrial Relations
National
Cancer Institute
Building
31, Room 10A52, MSC 2580
Bethesda, MD 20892-2580
Telephone:
(301) 496-1550
FAX:
(301) 496-7807
Email: [email protected]
2. Peer Review Contacts:
Referral
Officer
National Cancer Institute
Division of Extramural Activities
6116 Executive Boulevard, Room 8041, MSC 8329
Bethesda, MD 20892-8329 (for U.S. Postal
Service express or regular delivery)
Rockville, MD 20852 (for
express/courier service)
Telephone: (301) 496-3428
Fax: (301) 402-0275
Email: [email protected]
Section VIII. Other Information
Required Federal Citations
Use of Animals in Research:
Recipients of PHS support for activities involving
live, vertebrate animals must comply with PHS Policy on Humane Care and Use of
Laboratory Animals (http://grants.nih.gov/grants/olaw/references/PHSPolicyLabAnimals.pdf)
as mandated by the Health Research Extension Act of 1985 (http://grants.nih.gov/grants/olaw/references/hrea1985.htm),
and the USDA Animal Welfare Regulations (http://www.nal.usda.gov/awic/legislat/usdaleg1.htm)
as applicable.
Human Subjects Protection:
Federal regulations (45 CFR 46) 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). Monitoring should be commensurate with risk. The
establishment of data and safety monitoring boards (DSMBs) is required for
multi-site clinical trials involving interventions that entail potential risks
to the participants ( NIH Policy for Data and Safety Monitoring, NIH Guide
for Grants and Contracts, http://grants.nih.gov/grants/guide/notice-files/not98-084.html).
Sharing Research Data:
Investigators submitting an NIH application seeking
$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 and 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 scientific merit or the priority score.
Access to Research Data through the Freedom of
Information Act:
The OMB Circular A-110 has been revised to provide
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 the 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 funding opportunity 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.
Sharing of Model Organisms:
NIH is committed to support efforts that encourage
sharing of important research resources including the sharing of model
organisms for biomedical research (see http://grants.nih.gov/grants/policy/model_organism/index.htm).
At the same time, the NIH recognizes the rights of grantees and contractors to
elect and retain title to subject inventions developed with Federal funding
pursuant to the Bayh Dole Act (see the NIH
Grants Policy Statement). Beginning October 1, 2004, all investigators
submitting an NIH application or contract proposal are expected to include in
the application/proposal a description of a specific plan for sharing and
distributing unique model organism research resources generated using NIH
funding or state why such sharing is restricted or not possible. This will
permit other researchers to benefit from the resources developed with public
funding. The inclusion of a model organism sharing plan is not subject to a
cost threshold in any year and is expected to be included in all applications
where the development of model organisms is anticipated.
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 (http://grants.nih.gov/grants/guide/notice-files/NOT-OD-02-001.html);
a complete copy of the updated Guidelines is 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 SF424 (R&R); 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 Clinical Research:
The NIH maintains a policy that children (i.e.,
individuals under the age of 21) must be included in all clinical research,
conducted or supported by the NIH, unless there are scientific and ethical
reasons not to include them.
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 (http://grants.nih.gov/grants/funding/children/children.htm).
Required Education on the Protection of Human
Subject Participants:
NIH policy requires education on the protection of
human subject participants for all investigators submitting NIH applications
for research involving human subjects and individuals designated as key
personnel. The policy is available at http://grants.nih.gov/grants/guide/notice-files/NOT-OD-00-039.html.
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 (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.
NIH Public Access Policy:
NIH-funded investigators are requested to submit to
the NIH Manuscript Submission (NIHMS) system (http://www.nihms.nih.gov)
at PubMed Central (PMC) an electronic version of the author's final manuscript
upon acceptance for publication, resulting from research supported in whole or
in part with direct costs from NIH. The author's final manuscript is defined as
the final version accepted for journal publication, and includes all
modifications from the publishing peer review process.
NIH is requesting that authors submit manuscripts
resulting from 1) currently funded NIH research projects or 2) previously
supported NIH research projects if they are accepted for publication on or
after May 2, 2005. The NIH Public Access Policy applies to all research grant
and career development award mechanisms, cooperative agreements, contracts,
Institutional and Individual Ruth L. Kirschstein National Research Service
Awards, as well as NIH intramural research studies. The Policy applies to
peer-reviewed, original research publications that have been supported in whole
or in part with direct costs from NIH, but it does not apply to book chapters,
editorials, reviews, or conference proceedings. Publications resulting from
non-NIH-supported research projects should not be submitted.
For more information about the Policy or the
submission process, please visit the NIH Public Access Policy Web site at http://publicaccess.nih.gov/ and view
the Policy or other Resources and Tools including the Authors' Manual.
Standards for Privacy of Individually Identifiable
Health Information:
The Department of Health and Human Services (HHS)
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 HHS Office for Civil Rights (OCR).
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. For publications listed in the appendix and/or
Progress report, Internet addresses (URLs) or PubMed Central (PMC) submission
identification numbers must be used for publicly accessible on-line journal
articles. Publicly accessible on-line journal articles or PMC
articles/manuscripts accepted for publication that are directly relevant to the
project may be included only as URLs or PMC submission
identification numbers accompanying the full reference in either the
Bibliography & References Cited section, the Progress Report Publication
List section, or the Biographical Sketch section of the NIH grant application.
A URL or PMC submission identification number citation may be repeated in each
of these sections as appropriate. There is no limit to the number of URLs or
PMC submission identification numbers that can be cited.
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 FOA is related to one or more of the priority areas.
Potential applicants may obtain a copy of "Healthy People 2010" at http://www.health.gov/healthypeople.
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 Part 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 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.
Loan Repayment Programs:
NIH encourages applications for educational loan
repayment from qualified health professionals who have made a commitment to
pursue a research career involving clinical, pediatric, contraception, infertility,
and health disparities related areas. The LRP is an important component of
NIH's efforts to recruit and retain the next generation of researchers by
providing the means for developing a research career unfettered by the burden
of student loan debt. Note that an NIH grant is not required for eligibility
and concurrent career award and LRP applications are encouraged. The periods of
career award and LRP award may overlap providing the LRP recipient with the
required commitment of time and effort, as LRP awardees must commit at least
50% of their time (at least 20 hours per week based on a 40 hour week) for two
years to the research. For further information, please see: http://www.lrp.nih.gov.
Weekly TOC for this Announcement
NIH Funding Opportunities and Notices
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