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NCI Initiatives
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A PAR specifies that applications will automatically be referred to the NCI Division of Extramural Activities (DEA). In issuing the PAR, members of the program staff may want to consider establishing a single receipt date and convening a special panel to review applications submitted in response to the RFA. As with other aspects of the initiative, these features must be approved by the relevant NCI official. |
Program announcements with set-aside funds (PAS).
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A PAS indicates that funds will be set aside to support research proposed in response to the announcement. The availability of a special fund to support the initiative signals NCI's interest in the research area to the scientific community. |
Soliciting Applications from Current Grantees
In most instances, NIH policy requires open competition for research funds. In certain circumstances, however, inviting applications from current grantees may be justified.
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Limited competition solicitations (Letter RFAs) may be permitted when:
- Additional investment is required to carry out current projects. For example, funds may be required to complete a clinical trial.
-Additional investment is justified by the uniqueness of particular research enterprises. For example, a researcher may have access to a familial cohort that provides a rare opportunity to examine the genetics of a particular form of cancer.
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Administrative supplements may be used to invite applications for funds to cover expenses that arise in the execution of research within the scope of an existing award.
Soliciting Applications for Technology Research (R21 and R33)
NCI developed the Phased Innovation Award and the Phased Technology Award to foster the translation of emerging technologies from pilot research to research development, speeding the adoption of near-term technological opportunities. Notices about the availability of these awards are published in the NIH Guide.
Both awards involve (a) support for early research regarding a specific technology under the R21 mechanism and (b) support for more advanced research about the technology under the R33 mechanism.
The Phased Innovation Award supports:
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Feasibility studies through the R21 mechanism.
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Full-scale technology development using the R33 mechanism.
The Phased Technology Application Award supports:
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Evaluations of the utility of new technologies through the R21 mechanism.
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Pilot studies of the application of new technologies in cancer research using the R33 mechanism
Special features of these awards include:
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Minimal or no funding gap between the feasibility and development phases based on the accomplishment of negotiated scientific milestones.
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Flexible timing of feasibility and development phases.
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Flexible budget structure.
Decisions as to whether to fund follow-on R33 applications depend on program priorities, the availability of funds, and the applicant's success in attaining the milestones specified in the R21 application.
NCI program staff coordinate the review of the progress made during the R21 phase. The type of review depends on the complexity of the milestones and the size of the proposed funding increase.The policy for approval of the transition from the R21 phase to the R33 phase and the letter to grantees is available at http://deaintranet.nci.nih.gov:80/ncipolicy.
Locating
Policies and Procedures
Both NIH and NCI specify policies and procedures for the development and approval of RFAs and PAs. Most of these information resources are available online.
Locating NIH Policies on Research Initiatives
To obtain information about NIH and NCI policies on research initiatives,
consult:
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NIH Manual Chapter 4110 - Program Announcements and Requests for Applications.
This chapter describes procedures for the initiation, development, clearance, publication, and dissemination of RFAs and PAs. For an online version of this chapter, see http://www3.od.nih.gov/oma/manualchapters/grants/4110.htm.
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NIH Manual Chapter 4815 - Implementation of Cooperative Agreements.
This chapter contains policy and procedures for the implementation of cooperative agreements. For an online version on this chapter, see http://www3.od.nih.gov/oma/manualchapters/management/1820.
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NIH Manual Chapter 1820 - Selection of Extramural Award Instrument: Grant, Cooperative Agreement, or Contract
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This chapter provides guidance on selecting the appropriate award instrument for conducting extramural research, development, and training, activities. For an online version of this chapter, see http://www3.od.nih.gov/oma/manualchapters/management/1820/. |
Locating Information Resources for the Development of NCI Initiatives
To obtain information relevant to the development of research initiatives,
consult:
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The RFA Evaluation Committee Report (December 12, 1997).
The RFA Evaluation Committee was charged with evaluating the RFA as a mechanism for advancing NCI's scientific goals. The Committee examined the strategic value of RFAs, and also addressed the preparation, approval and clearance of RFAs. For an online version of the Committee's report, see http://deaintranet.nci.nih.gov/dea/rfa/reports/evaluation.htm.
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The Early Notification System.
The Early Notification System (ENS) is designed to provide a "heads up" about RFAs and PAs from all ICs to all NIH staff before they are issued. To view the ENS database, see http://odoerdb2.od.nih.gov/cfdocs/ens/ens_main.cfm.
ENs relevant to NCI staff are sent to NCI divisional representatives by email, and are subsequently forwarded to PDs in program areas relevant to the topic of the RFA or PA discussed in the notice. Policies and procedures for NCI participation in initiatives generated by other ICs are posted at http://deaintranet.nci.nih.gov/rfaindex.htm.
To obtain information about NCI policies for expedited handling of initiatives generated by other ICs, see http://deaintranet.nci.nih.gov:80/ncipolicy/rfa-pa_clearance.htm.
Preparing
Research Initiatives
NCI provides several resources to assist PDs in the preparation of research initiatives. These resources include:
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A timeline specifying each of the steps required and the dates at which these steps must be carried out to ensure that the initiative is published on the desired date. This timeline is available at http://deaintranet.nci.nih.gov/rfaindex.htm.
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Templates that specify the structure and contents of the documents required in the approval process. PDs must use these templates to create the documents required to obtain approval for a research initiative. These templates are all available online.
-For the RFA Request for Concept Approval form, see http://deaintranet.nci.nih.gov:80/dea/rfa/concept_approval_form.htm.
- For instructions regarding the justification narrative required for RFAs, see http://deaintranet.nci.nih.gov:80/dea/rfa/narrative_justy_4_rfa-pa.htm.
- For RFA templates, including cooperative agreements, see http://deaintranet.nci.nih.gov:80/dea/rfa/rfalish.htm and http://www3.od.nih.gov/oma/manualchapters/management/1820.
- For PA templates, including PARs, see http://deaintranet.nci.nih.gov:80/dea/pa/palist.htm
- For limited competition (Letter RFA) templates, see http://deaintranet.nci.nih.gov:80/forms/rfa_limcomp.htm.
Obtaining Approval to Issue an RFA
When published, the RFA must specify:
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The goals of the initiative and the criteria against which applications will be reviewed.
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The estimated amount of the funds set aside for the program.
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The estimated number of awards to be made.
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The deadline for the submission of applications.
Obtaining approval to issue RFAs involves first obtaining approval of the concept and then obtaining approval of the full text of the RFA.
Concept Approval
The concept to be addressed in the RFA must be approved by the division director and the Executive Committee (EC). New RFAs must also be approved by the Board of Scientific Advisors (BSA).
The procedure for obtaining EC approval of the concept is as follows:
1. The PD presents the idea for the RFA to the division director.
2. The division director approves the idea.
3. The PD contacts the Executive Secretary of the Executive Committee (EC) to schedule a time to present the idea to the EC at the regularly scheduled concept meetings. These meetings are held three times each year. To find the dates of these meetings, see http://deaintranet.nci.nih.gov/rfaindex.htm. For cooperative agreements only, the PD contacts the Chief of the Research Contracts Branch (RCB) to obtain approval to issue the RFA as a cooperative agreement.
4. The PD prepares a Request for Concept Approval form and submits it to the EC.
5. The EC approves the request. For RFA renewals, the EC also determines whether BSA approval is required.
6. The PD contacts the Executive Secretary of the BSA to schedule a presentation of the idea at the next meeting of the BSA (BSA meetings are held three times each year, generally in March, June and November.) and sends the approved request to the Executive Secretary for distribution to the members of the BSA.
Approval of the Content of the RFA
After the BSA approves the concept:
1. The PD modifies the RFA draft based on the discussion of the BSA.
2a. The PD submits the draft RFA to the DEA RFA Officer.
2b. For cooperative agreements only, the PD also writes a memo of justification for the use of the cooperative agreement mechanism using a template provided by the RFA Officer and sends this memo to the RFA Officer.
2c. For cooperative agreements only, the PD submits the draft RFA to the Chief of RCB.
3. The RFA Officer coordinates the review of the draft RFA by the Grants Review Branch (GRB) and the Special Review and Resources Branch (SRRB).
4. The RFA Officer sends the comments of the GRB and the SRRB to the PD for final revisions.
5. For cooperative agreements only, the RFA sends the final RFA and the memo of justification to the NIH Office of Extramural Programs (OEP) for approval of the funding mechanism.
6. The PD and the RFA officer review the final text for compliance with NIH policies and procedures. For cooperative agreements, this review also involves responding to comments and suggestions for OEP.
7. The RFA Officer submits the RFA to the NIH Guide Office for publication.
8. The RFA is published in the NIH Guide. (The announcement should be published at least 90 days before the deadline for the receipt of applications.)
Approval to Reissue RFAs
Members of the program staff may want to reissue an RFA to support activities that have not been completed (e.g., clinical studies, technology development) or to support a consortium to pursue further research in the area. If restricting the submission of applications to current grantees can be justified, the RFA may be reissued as a limited competition RFA. For information about limited competition RFAs, see Soliciting Applications from Current Grantees.
The process of reissuing an RFA should be initiated about 15 months before the grants issued under the existing RFA expire. The timeline for obtaining approval to reissue the RFA is similar to the timeline for obtaining initial approval for RFAs. If the EC determines that the scope of work is substantially the same as that approved for the original RFA, approval by the BSA may not be required.
Advising Grantees about Obtaining New Support When an RFA Expires
As noted in Approval to Reissue RFAs, an RFA may be reissued. If, however, the RFA is not reissued, PDs may advise applicants to seek continued support under the funding mechanisms (R01, P01) for investigator-initiated research grants.
Cooperative agreements may not be submitted for renewal unless they are submitted in response to a specific RFA or PA. If a renewal application previously funded as an RFA cooperative agreement is submitted as an investigator-initiated competitive renewal under the R01 or P01 mechanism and the PD believes that continuing the activity as a cooperative agreement is warranted, the PD may request approval to convert the application/award to a cooperative agreement.
For information about converting investigator-initiated applications/award to cooperative agreements, see Converting Grants to Cooperative Agreements.
Obtaining Approval to Issue a PA
The process for obtaining approval of a PA differs from that of obtaining approval for an RFA in that:
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PAs do not require the approval of the Board of Scientific Advisors(BSA).
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PAs cannot be used to solicit applications for cooperative agreements.
Concept Approval
The concept to be addressed in the PA must be approved by the division director and the Executive Committee (EC).
The procedure for obtaining EC approval of the concept is as follows:
1. The PD presents the idea for the PA to the division director.
2. The division director approves the idea.
3.The PD contacts the Executive Secretary of the Executive Committee (EC) to schedule a time to present the idea to the EC.
4. The PD prepares a Request for Concept Approval form and submits it to the EC.
5. The EC approves the request.
Approval of the Content of the PA
After the concept of the PA has been approved:
1. The PD modifies the PA draft based on the discussion of the EC.
2. The PD submits the draft PA to the RFA Officer.
3. The RFA Officer coordinates the review of the draft PA by the Grants Review Branch (GRB) and the Special Review and Resources Branch (SRRB).
4. The RFA Officer sends the comments of the GRB and the SRRB to the PD for final revisions.
5. The PD and the RFA Officer review the final text for compliance with NIH policies and procedures.
6. The PD submits the PA to the NIH Guide Office for publication.
Approval to Reissue PAs
Program announcements issued by NCI remain active for two years from the date on which they were issued unless otherwise specified by the extramural division directors (EDD). Requests to reissue PAs are considered at a single meeting of the EDD in July of each year.
Three months before the meeting, the DEA Program Coordination and Referral Branch (PCRB) will contact the PD for all expiring PAs. If the division wishes to reissue the PA, PCRB helps to prepare the materials to be submitted to the EDD.
The full text of the policy is located at http://deaintranet.nci.nih.gov:80/dea/rfa/pa_expirationdate.htm.
Issuing Solicitations for Applications from Current Grantees
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Limited Competition Solicitations (Letter RFAs)
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To notify researchers who might compete for these awards, requests for limited competition applications should be published in the NIH Guide. These notices should contain a justification for the use of this funding mechanism. |
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Administrative Supplement Solicitation
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Decisions as to whether to issue administrative supplements are made by NCI staff. Peer review is not required. Solicitations for administrative supplements require concept approval. Although publication of these solicitations is not required, they are typically published in the NIH Guide. Notices about the availability of administrative supplements are also distributed through listservs and displayed on websites. |