National Heart, Lung, and Blood Institute (NHLBI)
March 10, 2020 - Reminder: FORMS-F Grant Application Forms & Instructions Must be Used for Due Dates On or After May 25, 2020- New Grant Application Instructions Now Available. See Notice NOT-OD-20-077.September 9, 2019 - Notice of Pre-Application Webinar for FOAs related to the NHLBI CATALYZE Program: RFA-HL-20-022, RFA-HL-20-023, RFA-HL-20-024, RFA-HL-20-027 and RFA-HL-20-028. See Notice NOT-HL-19-709.
93.837, 93.838, 93.839, 93.840, 93.233
This Funding Opportunity Announcement (FOA) will provide the early stage translational support needed to identify a lead compound series toward development of potential therapeutic agents to treat heart, lung, blood, and sleep diseases and disorders. This FOA is part of a suite of Catalyze innovation grants to advance projects to the point where they can meet the entry criteria for the NHLBI Catalyze Preclinical program or attract independent development support from other federal or private partners for preclinical optimization and development of therapeutic agents.
September 9, 2019
30 days prior to the application due date
November 8, 2019, March 9, 2020, July 9, 2020, March 9, 2021, July 9, 2021, by 5:00 PM local time of applicant organization. All types of non-AIDS applications allowed for this funding opportunity announcement are due on these dates.
All applications are due by 5:00 PM local time of applicant organization. All types of non-AIDS applications allowed for this funding opportunity announcement are due on the listed date(s).
Applicants are encouraged to apply early to allow adequate time to make any corrections to errors found in the application during the submission process by the due date.
December 10, 2019, May 11, 2020, August 11, 2020, May 11, 2021, August 11, 2021, by 5:00 PM local time of applicant organization. All types of AIDS and AIDS-related applications allowed for this funding opportunity announcement are due on these dates.
Applicants are encouraged to apply early to allow adequate time to make any corrections to errors found in the application during the submission process by the due date.
March 2020, July 2020, November 2020, July 2021, November 2021
May 2020, October 2020, January 2021, October 2021, January 2022
July 2020, December 2020, April 2021, December 2021, April 2022
Conformance to all requirements (both in the Application Guide and the FOA) is required and strictly enforced. Applicants must read and follow all application instructions in the Application Guide as well as any program-specific instructions noted in Section IV. When the program-specific instructions deviate from those in the Application Guide, follow the program-specific instructions.
Applications that do not comply with these instructions may be delayed or not accepted for review.
There are several options available to submit your application through Grants.gov to NIH and Department of Health and Human Services partners. You must use one of these submission options to access the application forms for this opportunity.
The NHLBI Catalyze innovation program is designed to provide a suite of comprehensive support and services to facilitate the transition of basic science discoveries into new treatments for diseases and disorders that fall under the NHLBI mission. The Catalyze Program initiatives support product development (supporting product definition studies and pre-clinical research and development) and enabling technologies and transformative platforms. Catalyze is coordinated by the Catalyze Coordinating Center, which provides program administration and evaluation, milestone-driven project management, communications and outreach, as well as development guidance for projects in the Catalyze portfolio. The Catalyze program aims to create cultural and systemic changes to more rapidly move breakthrough innovations to products that will have health, economic, and societal impact. Information on the Catalyze programs can be found on the Catalyze website.
This specific Catalyze Product Definition initiative will provide the early stage translational support needed for the activities required to develop a lead compound series to identify potential therapeutics to treat HLBS diseases and disorders. Following successful completion of the program, it is expected that the lead compound series will be poised to move forward for preclinical testing (optimization, safety, efficacy) with additional support from NIH and/or other federal and private programs. For projects that are at an earlier stage (target identification and validation), a companion initiative is available (RFA-HL-20-023). Through Catalyze, the small molecule and biologics initiatives have companion initiatives that support development of devices, diagnostics and tools (RFA-HL-20-024 and RFA-HL-20-028). See website for additional information.
Overview - Catalyze Product Definition: Small Molecules and Biologics
Applicants will be expected meet the following:
This FOA is intended to support projects that propose to identify a lead compound series for pre-clinical testing and development.
Examples of activities include but are not limited to:
Examples of activities that are not appropriate for and would be considered nonresponsive to this FOA include, but are not limited to:
Special Requirements for this FOA
The NHLBI recognizes that early stage therapeutics development requires access to unique expertise, including regulatory, reimbursement, business, legal, partner engagement, and project management. The NHLBI will work with awardees to provide guidance and support in these unique areas of expertise, if needed, to enable advancement of therapeutic agents towards preclinical testing and development.
Each project is expected to use project management processes that enable continuous assessment of the progress of the studies relative to established milestones. Project management may be at the local level, or in some instances provided through NIH support.
Cost matching is required for applicants responding to this FOA. The awardee is required to provide a minimum of a 0.25:1 non-Federal cash match of the Federal direct costs requested. Institutions must be able to document their actual contributions to the project and provide assurances that the organization(s) are committed to providing the funds and resources for their share of the project. Federal funds may not be used as a source of matching funds. To be considered responsive to this FOA, applicants are expected to include a description in the Budget Justification of how the matching funds will be used.Generally, cost matching requirements may not be met from the following sources:
The application must include a letter of support from the non-Federal source(s) of cost matching. Applications that do not include the letter of support from the non-Federal source(s) of cost matching are incomplete for this FOA and will not be peer reviewed.
At least one accelerator partner is required for this award. Developing therapeutics requires a multidisciplinary approach, and applicants should consider how they will identify and foster relationships with potential licensing and commercialization partners early in the therapy development process once an award is made. Collaborative relationships with ecosystem partners knowledgeable in the therapeutic development process (such as those from biotechnology and pharmaceutical companies) as well as those familiar with what the desired end product should look like (such as clinicians and biostatisticians) result in vested shared interests and access to complementary development expertise and resources for successful development.
Evidence of an Accelerator Partner is required and applicants must include a letter of support from the Accelerator Partner in their application. Applications that do not include the letter of support from the Accelerator Partner are incomplete for this FOA and will not be peer reviewed. The Accelerator Partner should help advance the project to a stage suitable to continue product development in the private sector or apply for support through the NHLBI Catalyze Preclinical or other translational programs. The Accelerator partner should catalyze professional development by providing innovators with skills and mentoring to enable them to assess the medical and commercial potential of their research by bringing together experienced entrepreneurs and scientists and by providing connections between the businesses, industries, sources of private capital, and research performing institutions. Accelerator Partners are encouraged to provide access to expertise and mentoring related to all aspects of product development. Career development through Accelerator Partners is highly encouraged to achieve the goal of exposing awardees to the myriad processes required to translate discoveries into therapies.
It is acceptable for an Accelerator Partner to provide the required matching funds, but not required.
This Catalyze Product Definition Small Molecules and Biologics initiative is an R33 innovation award. This program will allow investigators to perform the product definition studies required to identify lead compounds for future preclinical testing and development. To be responsive to this FOA, applicants are expected to meet the entry criteria for the award, and propose activities and milestones, with an associated timeline, to be completed during the proposed duration of award.These milestones will ensure that projects are sufficiently progressing to be in a position to enter preclinical programs following completion of the award.
Milestones are goals that are clear and quantifiable for measuring success that can be used for go/no-go decision making and should have timelines and quantitative criteria associated with them. All milestones should be useful as a measure of progress toward the overall goal of the project. Specific Aims or a list of activities planned for each year are not considered milestones because they do not provide decision-making goals. Milestones must be identified in the application, and these may be negotiated by the NHLBI team pre-award, based on comments of the peer review panel. NHLBI staff will meet annually to monitor program progress against proposed milestones and make non-competing award decisions. NHLBI emphasizes the importance of the robustness and reproducibility of experimental results in evaluating progress. This award should result in identification of lead compounds, and may include lead optimization activities.
Intellectual Property and Regulatory Considerations
Projects at the stage of development supported through this FOA are expected to be developed to the point where IP and regulatory strategies are under consideration. This FOA requires that applicants submit their preliminary IP and regulatory strategies in their applications, even if the plans are not yet fully developed. See Section IV, Application and Submission Information, SF424(R&R) Other Project Information for details.
Applicants are strongly encouraged to contact Scientific/Research Staff listed in Section VII to discuss potential research projects prior to submitting an application.
Prior to funding an application, NHLBI Program staff may contact the applicant to discuss the proposed milestones and any changes suggested by the NHLBI review panel or Program staff. A final set of approved milestones will be specified in the Notice of Award.
Grant: A support mechanism providing money, property, or both to an eligible entity to carry out an approved project or activity.
The OER Glossary and the SF424 (R&R) Application Guide provide details on these application types. Only those application types listed here are allowed for this FOA.
NHLBI intends to commit total costs of up to $3,800,000 per year in FY2020, FY2021, and FY2022. These funds are anticipated to fund up to 13 new awards per year in fiscal years 2020 through FY2022 for projects submitted to this FOA and three Companion Funding Opportunity Announcements (RFA-HL-20-024, RFA-HL-20-027, RFA-HL-20-028).
The number of awards is contingent upon NIH appropriations and the submission of a sufficient number of meritorious applications.
Application budgets must not exceed direct costs of $350,000 per year.
The total budget (Federal award and non-Federal matching contributions) should reflect the actual needs of the overall proposed project. Annual project budgets should reflect the actual costs anticipated in each year.
Matching Fund Requirement: The recipient is required to provide at least a 0.25:1 non-Federal match of the Federal direct costs requested.
The maximum project period is up to two years. The scope of the proposed project should determine the requested project award period.
Higher Education Institutions
The following types of Higher Education Institutions are always encouraged to apply for NIH support as Public or Private Institutions of Higher Education:
Nonprofits Other Than Institutions of Higher Education
Applicant organizations must complete and maintain the following registrations as described in the SF 424 (R&R) Application Guide to be eligible to apply for or receive an award. All registrations must be completed prior to the application being submitted. Registration can take 6 weeks or more, so applicants should begin the registration process as soon as possible. The NIH Policy on Late Submission of Grant Applications states that failure to complete registrations in advance of a due date is not a valid reason for a late submission.
Program Directors/Principal Investigators (PD(s)/PI(s))
All PD(s)/PI(s) must have an eRA Commons account. PD(s)/PI(s) should work with their organizational officials to either create a new account or to affiliate their existing account with the applicant organization in eRA Commons. If the PD/PI is also the organizational Signing Official, they must have two distinct eRA Commons accounts, one for each role. Obtaining an eRA Commons account can take up to 2 weeks.
For institutions/organizations proposing multiple PDs/PIs, visit the Multiple Program Director/Principal Investigator Policy and submission details in the Senior/Key Person Profile (Expanded) Component of the SF424 (R&R) Application Guide.
This FOA requires cost matching as defined in the NIH Grants Policy Statement. More information on the cost matching requirement is in Section IV.2 R&R or Modular Budget.
The NIH will not accept duplicate or highly overlapping applications under review at the same time. This means that the NIH will not accept:
The application forms package specific to this opportunity must be accessed through ASSIST, Grants.gov Workspace or an institutional system-to-system solution. Links to apply using ASSIST or Grants.gov Workspace are available in Part 1 of this FOA. See your administrative office for instructions if you plan to use an institutional system-to-system solution.
Although a letter of intent is not required, is not binding, and does not enter into the review of a subsequent application, the information that it contains allows IC staff to estimate the potential review workload and plan the review.
By the date listed in Part 1. Overview Information, prospective applicants are asked to submit a letter of intent that includes the following information:
The letter of intent should be sent to:
Director, Office of Scientific Review
National Heart, Lung, and Blood Institute
IP and Regulatory Strategies (Required)
The filename "IP and Regulatory Strategies.pdf" must be used and attached.
Describe preliminary IP and regulatory plans.
NHLBI recognizes that applications submitted in response to this FOA may detail projects at different stages of development. Applications should include a detailed description of Intellectual property (IP) and regulatory strategies for more advanced projects. If the project is too early for a well-defined strategy, the applicant should indicate so and provide a brief description of the current stage and potential IP and regulatory strategies. For more advanced projects, applicants should address their current understanding of regulatory and IP requirements for the proposed product, even if the plans are not fully complete.
For IP, describe any known constraints that could impede the therapeutic discovery and development (e.g., certain restrictions under transfer or sharing agreements, applicants' previous or present IP filings and publications, similar therapies that are under patent protection and/or on the market, etc.) and how these issues could be addressed with achieving the goals of this program. If any third-party IP is required, identify whether there are any limitations on its use and include a letter from the third-party appended as part of this attachment. If patents pertinent to the therapy being developed under this application have been filed, include the details of filing dates, what type of patents are filed, application status, and associated USPTO links, if applicable. Describe plans for working closely with institutional technology transfer officials to ensure that royalty agreements, patent filings, and all other necessary IP arrangements are completed in a timely manner and that commercialization plans are developed and updated over the course of the project. For IP, applicants are encouraged to prepare this section of the application in consultation with their institution's technology transfer officials.
For the regulatory path, describe the steps that will be taken to refine and align the proposed project with regulatory requirements either during the currently requested award period or in the future. If a drug or biologic is being developed – describe the data to be collected during the project period to support an Investigational New Drug filing. If the development team has already interacted with their local IRB or FDA regarding regulatory oversight of their proposed product, provide evidence of prior communications (letters/emails) appended as part of this attachment.. If the project involves re-purposing of a therapy currently marketed in the US, a letter of support for the new indication from a manufacturer of the therapy may be submitted as post-submission material. If the project involves re-purposing of a therapy currently under development in the US, a letter of support for the new indication from the manufacturer of the therapy – confirming access to sufficient quantity of the not-yet-marketed technology to perform the proposed research program – should be submitted as post-submissionmaterial. If possible, for this stage of the project, describe the expected regulatory pathway including any foreseeable regulatory risks or accelerated programs that could impact development.
Applicants are also strongly encouraged to contact the appropriate NIH Scientific/Research contact listed in Section VII or NHLBI’s Office of Translational Alliances and Coordination for questions regarding application expectations for IP and regulatory prior to submission.
All instructions in the SF424 (R&R) Application Guide must be followed.
Applicants must include budget support for the PD/PI to participate in a 1.5-day NHLBI-held innovation meeting or workshop once each budget year in the Washington, DC/Metropolitan area.
Applicants should budget for an appropriate amount of project management support.
The amount, type, and source of funding/contributions from sources other than NIH must be presented in detail in the budget justification. Third Party support of the proposed research activity (if approved) will be incorporated as a Term and Condition of Award. If the Third Party support ceases and the program is no longer tenable without the Third Party support, a close-out plan may be requested.
A total project budget justification (i.e., the requested budget plus the cost-matching budget) must be provided and must document the cost-matching (non-Federal) component and the Federal (non-cost matching) component. All costs and contributions used to satisfy the matching requirement must be documented by the recipient prior to release of the R33 award and are subject to audit.
Applications that do not in clude the letter of support from the Accelerator Partner are incomplete for this FOA and will not be peer reviewed.Specific Aims
State the specific objectives of the efforts and include the activities to be conducted to meet the goals of lead series identification.
Describe milestones to be completed during the award with an associated timeline. Include a background section that clearly outlines the biological and therapeutic rationale for the application, including: (1) a description of the relationship between the proposed therapeutic target and the disease of interest, (2) evidence for unmet medical need in the therapeutic disease area, (3) a brief description of any pertinent history for therapeutic development in the disease area, (4) evidence supporting the novelty of the therapeutic approach, and (5) a summary of the project status, including information regarding therapeutic agents to be tested in the current application. Provide a carefully developed rationale for the experimental design. Includea description of how data obtained through this grant will provide a path for optimization of preliminary therapeutic agents.
Milestones: Define milestones that are relevant, measurable, feasible, scientifically justified, results-focused and time-bound. The milestones should allow program staff to assess progress during the period of the award. Specific aims or a list of activities are not considered milestones.
Timeline: Provide a timeline that clearly delineates the specific milestones for the work proposed in each year of the award. Indicate when it is anticipated that essential components of the project will be completed.
Rigor and Reproducibility
High-quality and reproducible product definition studies are an essential cornerstone of the translational research enterprise. Attention to principles of study design and transparency is essential to enable stakeholders to assess the quality of the experimental design and scientific findings. In support of this important goal, investigators must follow instructions to address Rigor and Reproducibility (https://grants.nih.gov/policy/reproducibility/index.htm).
Letters of Support
The application must include a letter of support from the non-Federal source(s) of cost matching that documents their actual contributions to the project and demonstrates assurances that they are committed to providing the cost matching funds and/or resources for their share of the project. Applications that do not include the letter of support from the non-Federal source(s) of cost matching are incomplete for this FOA and will not be peer reviewed.
The application must include a letter of support from the Accelerator Partner. Applications that do not include the letter of support from the Accelerator Partner are considered incomplete for this FOA and will not be peer reviewed.
The following modifications also apply:
If you answered “Yes” to the question “Are Human Subjects Involved?” on the R&R Other Project Information form, you must include at least one human subjects study record using the Study Record: PHS Human Subjects and Clinical Trials Information form or Delayed Onset Study record.
Study Record: PHS Human Subjects and Clinical Trials Information
All instructions in the SF424 (R&R) Application Guide must be followed.
Note: Delayed onset does NOT apply to a study that can be described but will not start immediately (i.e., delayed start).All instructions in the SF424 (R&R) Application Guide must be followed.
See Part 1. Section III.1 for information regarding the requirement for obtaining a unique entity identifier and for completing and maintaining active registrations in System for Award Management (SAM), NATO Commercial and Government Entity (NCAGE) Code (if applicable), eRA Commons, and Grants.gov
Part I. Overview Information contains information about Key Dates and times. Applicants are encouraged to submit applications before the due date to ensure they have time to make any application corrections that might be necessary for successful submission. When a submission date falls on a weekend or Federal holiday , the application deadline is automatically extended to the next business day.
Organizations must submit applications to Grants.gov (the online portal to find and apply for grants across all Federal agencies). Applicants must then complete the submission process by tracking the status of the application in the eRA Commons, NIH’s electronic system for grants administration. NIH and Grants.gov systems check the application against many of the application instructions upon submission. Errors must be corrected and a changed/corrected application must be submitted to Grants.gov on or before the application due date and time. If a Changed/Corrected application is submitted after the deadline, the application will be considered late. Applications that miss the due date and time are subjected to the NIH Policy on Late Application Submission.
Applicants are responsible for viewing their application before the due date in the eRA Commons to ensure accurate and successful submission.
Information on the submission process and a definition of on-time submission are provided in the SF424 (R&R) Application Guide.
This initiative is not subject to intergovernmental review.
All NIH awards are subject to the terms and conditions, cost principles, and other considerations described in the NIH Grants Policy Statement .
Pre-award costs are allowable only as described in the NIH Grants Policy Statement.
Applications must be submitted electronically following the instructions described in the SF424 (R&R) Application Guide. Paper applications will not be accepted.
Applicants must complete all required registrations before the application due date. Section III. Eligibility Information contains information about registration.
For assistance with your electronic application or for more information on the electronic submission process, visit How to Apply – Application Guide. If you encounter a system issue beyond your control that threatens your ability to complete the submission process on-time, you must follow the Dealing with System Issues guidance. For assistance with application submission, contact the Application Submission Contacts in Section VII.
All PD(s)/PI(s) must include their eRA Commons ID in the Credential field of the Senior/Key Person Profile Component of the SF424(R&R) Application Package. Failure to register in the Commons and to include a valid PD/PI Commons ID in the credential field will prevent the successful submission of an electronic application to NIH. See Section III of this FOA for information on registration requirements.
The applicant organization must ensure that the DUNS number it provides on the application is the same number used in the organization’s profile in the eRA Commons and for the System for Award Management. Additional information may be found in the SF424 (R&R) Application Guide.
See more tips for avoiding common errors.
Upon receipt, applications will be evaluated for completeness and compliance with application instructions by the Center for Scientific Review and responsiveness by NHLBI. Applications that are incomplete, non-compliant and/or nonresponsive will not be reviewed.
If the project involves re-purposing of a therapy currently marketed in the US, a letter of support for the new indication from a manufacturer of the therapy may be submitted as post-submission material.
If the project involves re-purposing of a therapy currently under development in the US, a letter of support for the new indication from the manufacturer of the therapy – confirming access to sufficient quantity of the not-yet-marketed technology to perform the proposed research program – must be submitted as post-submission material.
Only the review criteria described below will be considered in the review process. Applications submitted to the NIH in support of the NIH mission are evaluated for scientific and technical merit through the NIH peer review system.
Does the project address an important problem or a critical barrier to progress in the field? Is the prior research that serves as the key support for the proposed project rigorous? If the aims of the project are achieved, how will scientific knowledge, technical capability, and/or clinical practice be improved? How will successful completion of the aims change the concepts, methods, technologies, treatments, services, or preventative interventions that drive this field?
Specific to this FOA:
To what extent is the project relevant for therapeutic development, and what is the strong rationale for the proposed activities? How will the project, if successful, bring the investigators closer to a therapeutic that will be a significant improvement over existing therapeutics to treat HLBS disorders? How well does the application describe how the project will provide significant improvement over the existing technology?
Are the PD(s)/PI(s), collaborators, and other researchers well suited to the project? If Early Stage Investigators or those in the early stages of independent careers, do they have appropriate experience and training? If established, have they demonstrated an ongoing record of accomplishments that have advanced their field(s)? If the project is collaborative or multi-PD/PI, do the investigators have complementary and integrated expertise; are their leadership approach, governance and organizational structure appropriate for the project?
Specific to this FOA:
How does the application demonstrate that the investigators are knowledgeable and experienced about the biological target area? To what extent does the researcher have experience with target identification and validation, and lead selection, or include collaborators with the appropriate expertise to support the proposed experimental design and implementation activities and overall project?
Does the application challenge and seek to shift current research or clinical practice paradigms by utilizing novel theoretical concepts, approaches or methodologies, instrumentation, or interventions? Are the concepts, approaches or methodologies, instrumentation, or interventions novel to one field of research or novel in a broad sense? Is a refinement, improvement, or new application of theoretical concepts, approaches or methodologies, instrumentation, or interventions proposed?
Specific to this FOA:
To what extent is the project novel and relevant for therapeutic development?
Are the overall strategy, methodology, and analyses well-reasoned and appropriate to accomplish the specific aims of the project? Have the investigators included plans to address weaknesses in the rigor of prior research that serves as the key support for the proposed project ? Have the investigators presented strategies to ensure a robust and unbiased approach, as appropriate for the work proposed? Are potential problems, alternative strategies, and benchmarks for success presented? If the project is in the early stages of development, will the strategy establish feasibility and will particularly risky aspects be managed? Have the investigators presented adequate plans to address relevant biological variables, such as sex, for studies in vertebrate animals or human subjects?
Specific to this FOA:
How sufficient, clearly-defined, and measurable are the goals to pursue lead series selection? To what extent is the project feasible? How will the project, if successful, produce a well-validated assay that can support future therapeutic development for HLBS diseases and disorders? What makes the timeline reasonable for the work proposed? What makes the process for characterizing and selecting compounds appropriate? To what extent is the plan for therapeutic candidate discovery reasonable? To what extent will the project produce therapeutic candidates that meet the entry criteria for Catalyze Pre-clinical or other federal or private further development mechanisms?
In what ways have the investigators considered the rigor of their experimental design? To what extent does the proposed project use sufficient experimental and statistical rigor? For key experiments, how well does the application explain assumptions for power analysis, describe statistical analysis methods and criteria for data inclusion or exclusion, and detail the procedures of how blinding and randomization will be conducted?
If the project involves human subjects and/or NIH-defined clinical research, are the plans to address 1) the protection of human subjects from research risks, and 2) inclusion (or exclusion) of individuals on the basis of sex/gender, race, and ethnicity, as well as the inclusion or exclusion of individuals of all ages (including children and older adults), justified in terms of the scientific goals and research strategy proposed?
Will the scientific environment in which the work will be done contribute to the probability of success? Are the institutional support, equipment and other physical resources available to the investigators adequate for the project proposed? Will the project benefit from unique features of the scientific environment, subject populations, or collaborative arrangements?
Review Criteria for Project Management
To what extent is the proposed project management structure likely to be efficient and effective in keeping the proposed activities on schedule according to the proposed timeline?
Review Criteria for Milestones and Timelines:
To what extent are milestones robust and associated with clear, quantitative criteria for successful completion of the project?
Are the timelines proposed for achieving the milestones realistic and inclusive of necessary steps, but also efficient without unnecessary steps? Are there additional key experiments that need to have milestones designated?
For research that involves human subjects but does not involve one of the categories of research that are exempt under 45 CFR Part 46, the committee will evaluate the justification for involvement of human subjects and the proposed protections from research risk relating to their participation according to the following five review criteria: 1) risk to subjects, 2) adequacy of protection against risks, 3) potential benefits to the subjects and others, 4) importance of the knowledge to be gained, and 5) data and safety monitoring for clinical trials.
For research that involves human subjects and meets the criteria for one or more of the categories of research that are exempt under 45 CFR Part 46, the committee will evaluate: 1) the justification for the exemption, 2) human subjects involvement and characteristics, and 3) sources of materials. For additional information on review of the Human Subjects section, please refer to the Guidelines for the Review of Human Subjects.
When the proposed project involves human subjects and/or NIH-defined clinical research, the committee will evaluate the proposed plans for the inclusion (or exclusion) of individuals on the basis of sex/gender, race, and ethnicity, as well as the inclusion (or exclusion) of individuals of all ages (including children and older adults) to determine if it is justified in terms of the scientific goals and research strategy proposed. For additional information on review of the Inclusion section, please refer to the Guidelines for the Review of Inclusion in Clinical Research.
The committee will evaluate the involvement of live vertebrate animals as part of the scientific assessment according to the following criteria: (1) description of proposed procedures involving animals, including species, strains, ages, sex, and total number to be used; (2) justifications for the use of animals versus alternative models and for the appropriateness of the species proposed; (3) interventions to minimize discomfort, distress, pain and injury; and (4) justification for euthanasia method if NOT consistent with the AVMA Guidelines for the Euthanasia of Animals. Reviewers will assess the use of chimpanzees as they would any other application proposing the use of vertebrate animals. For additional information on review of the Vertebrate Animals section, please refer to the Worksheet for Review of the Vertebrate Animal Section.
Reviewers will assess whether materials or procedures proposed are potentially hazardous to research personnel and/or the environment, and if needed, determine whether adequate protection is proposed.
For Resubmissions, the committee will evaluate the application as now presented, taking into consideration the responses to comments from the previous scientific review group and changes made to the project.
For Renewals, the committee will consider the progress made in the last funding period.
For Revisions, the committee will consider the appropriateness of the proposed expansion of the scope of the project. If the Revision application relates to a specific line of investigation presented in the original application that was not recommended for approval by the committee, then the committee will consider whether the responses to comments from the previous scientific review group are adequate and whether substantial changes are clearly evident.
Intellectual Property and Regulatory Strategy
To what extent are the proposed IP and regulatory strategies appropriate for the stage of development? For IP, what are the known constraints that could impede their therapeutic discovery and development and solutions to address these issues. If any third-party IP is required, did applicant describe whether there are any limitations that exist on its use and did the application a include letter from the third-party, if appropriate?
If appropriate for the stage of development, have the applicants included IP and regulatory considerations for gaining market access of their technology? How does the application demonstrate an understanding of which (if any) Food and Drug Administration (FDA) Center and Review Division of Panel will review their technology? Has the application proposed a reasonable market access pathway (IND leading to BLA, NDA, or 510(b)(2) application for drugs/biologics? If applicable, how has the application demonstrated relevant personal experience, discussion with a consultant, and/or interaction with the FDA?
Reviewers will assess the information provided in this section of the application, including 1) the Select Agent(s) to be used in the proposed research, 2) the registration status of all entities where Select Agent(s) will be used, 3) the procedures that will be used to monitor possession use and transfer of Select Agent(s), and 4) plans for appropriate biosafety, biocontainment, and security of the Select Agent(s).
Reviewers will comment on whether the following Resource Sharing Plans, or the rationale for not sharing the following types of resources, are reasonable: (1) Data Sharing Plan; (2) Sharing Model Organisms; and (3) Genomic Data Sharing Plan (GDS).
For projects involving key biological and/or chemical resources, reviewers will comment on the brief plans proposed for identifying and ensuring the validity of those resources.
Reviewers will consider whether the budget and the requested period of support are fully justified and reasonable in relation to the proposed research.
Applications will be evaluated for scientific and technical merit by a special emphasis panel convened by the National Heart Lung and Blood Institute in accordance with NIH peer review policy and procedures using the stated review criteria.
Information regarding the disposition of applications is available in the NIH Grants Policy Statement.
A formal notification in the form of a Notice of Award (NoA) will be provided to the applicant organization for successful applications. The NoA signed by the grants management officer is the authorizing document and will be sent via email to the grantee’s business official.
Awardees must comply with any funding restrictions described in Section IV.5. Funding Restrictions. Selection of an application for award is not an authorization to begin performance. Any costs incurred before receipt of the NoA are at the recipient's risk. These costs may be reimbursed only to the extent considered allowable pre-award costs.
Any application awarded in response to this FOA will be subject to terms and conditions found on the Award Conditions and Information for NIH Grants website. This includes any recent legislation and policy applicable to awards that is highlighted on this website.
Recipients of federal financial assistance (FFA) from HHS must administer their programs in compliance with federal civil rights law. This means that recipients of HHS funds must ensure equal access to their programs without regard to a person’s race, color, national origin, disability, age and, in some circumstances, sex and religion. This includes ensuring your programs are accessible to persons with limited English proficiency. HHS recognizes that research projects are often limited in scope for many reasons that are nondiscriminatory, such as the principal investigator’s scientific interest, funding limitations, recruitment requirements, and other considerations. Thus, criteria in research protocols that target or exclude certain populations are warranted where nondiscriminatory justifications establish that such criteria are appropriate with respect to the health or safety of the subjects, the scientific study design, or the purpose of the research.
In accordance with the statutory provisions contained in Section 872 of the Duncan Hunter National Defense Authorization Act of Fiscal Year 2009 (Public Law 110-417), NIH awards will be subject to the Federal Awardee Performance and Integrity Information System (FAPIIS) requirements. FAPIIS requires Federal award making officials to review and consider information about an applicant in the designated integrity and performance system (currently FAPIIS) prior to making an award. An applicant, at its option, may review information in the designated integrity and performance systems accessible through FAPIIS and comment on any information about itself that a Federal agency previously entered and is currently in FAPIIS. The Federal awarding agency will consider any comments by the applicant, in addition to other information in FAPIIS, in making a judgement about the applicant’s integrity, business ethics, and record of performance under Federal awards when completing the review of risk posed by applicants as described in 45 CFR Part 75.205 “Federal awarding agency review of risk posed by applicants.” This provision will apply to all NIH grants and cooperative agreements except fellowships.
For additional guidance regarding how the provisions apply to NIH grant programs, please contact the Scientific/Research Contact that is identified in Section VII under Agency Contacts of this FOA. HHS provides general guidance to recipients of FFA on meeting their legal obligation to take reasonable steps to provide meaningful access to their programs by persons with limited English proficiency. Please see https://www.hhs.gov/civil-rights/for-individuals/special-topics/limited-english-proficiency/index.html. The HHS Office for Civil Rights also provides guidance on complying with civil rights laws enforced by HHS. Please see https://www.hhs.gov/civil-rights/for-individuals/section-1557/index.htmlhttps://www.hhs.gov/civil-rights/for-providers/laws-regulations-guidance/index.html. Recipients of FFA also have specific legal obligations for serving qualified individuals with disabilities. Please see https://www.hhs.gov/civil-rights/for-individuals/disability/index.html. Please contact the HHS Office for Civil Rights for more information about obligations and prohibitions under federal civil rights laws at https://www.hhs.gov/ocr/about-us/contact-us/index.html or call 1-800-368-1019 or TDD 1-800-537-7697. Also note it is an HHS Departmental goal to ensure access to quality, culturally competent care, including long-term services and supports, for vulnerable populations. For further guidance on providing culturally and linguistically appropriate services, recipients should review the National Standards for Culturally and Linguistically Appropriate Services in Health and Health Care at http://minorityhealth.hhs.gov/omh/browse.aspx?lvl=2&lvlid=53.
The Federal Funding Accountability and Transparency Act of 2006 (Transparency Act), includes a requirement for awardees of Federal grants to report information about first-tier subawards and executive compensation under Federal assistance awards issued in FY2011 or later. All awardees of applicable NIH grants and cooperative agreements are required to report to the Federal Subaward Reporting System (FSRS) available at www.fsrs.gov on all subawards over $25,000. See the NIH Grants Policy Statement for additional information on this reporting requirement.
In accordance with the regulatory requirements provided at 45 CFR 75.113 and Appendix XII to 45 CFR Part 75, recipients that have currently active Federal grants, cooperative agreements, and procurement contracts from all Federal awarding agencies with a cumulative total value greater than $10,000,000 for any period of time during the period of performance of a Federal award, must report and maintain the currency of information reported in the System for Award Management (SAM) about civil, criminal, and administrative proceedings in connection with the award or performance of a Federal award that reached final disposition within the most recent five-year period. The recipient must also make semiannual disclosures regarding such proceedings. Proceedings information will be made publicly available in the designated integrity and performance system (currently FAPIIS). This is a statutory requirement under section 872 of Public Law 110-417, as amended (41 U.S.C. 2313). As required by section 3010 of Public Law 111-212, all information posted in the designated integrity and performance system on or after April 15, 2011, except past performance reviews required for Federal procurement contracts, will be publicly available. Full reporting requirements and procedures are found in Appendix XII to 45 CFR Part 75 – Award Term and Conditions for Recipient Integrity and Performance Matters.
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Kathleen Rousche, Ph.D.
Product Definition - Small molecules and Biologics
Narasimhan Danthi, Ph.D.
Product Definition - Small molecules and Biologics
Marc Charette, Ph.D.
Director, Office of Scientific Review
Heart, Lung, and Blood Institute (NHLBI)
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