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NEUROIMAGING THE EFFECTS OF DRUGS OF ABUSE ON THE DEVELOPMENT OF THE HUMAN 
NERVOUS SYSTEM 

RELEASE DATE:  February 6, 2003
 
RFA NUMBER: DA-04-002
 
National Institute on Drug Abuse (NIDA) 
(http://www.nida.nih.gov)

CATALOG OF FEDERAL DOMESTIC ASSISTANCE NUMBER:  93.279
 
LETTER OF INTENT RECEIPT DATE:  May 19, 2003

APPLICATION RECEIPT DATE:  June 18, 2003
 
THIS REQUEST FOR APPLICATIONS (RFA) CONTAINS THE FOLLOWING INFORMATION

o Purpose of this RFA
o Research Objectives
o Mechanism of Support 
o Funds Available
o Eligible Institutions
o Individuals Eligible to Become Principal Investigators
o Special Requirements
o Where to Send Inquiries
o Letter of Intent
o Submitting an Application
o Peer Review Process
o Review Criteria
o Receipt and Review Schedule
o Award Criteria
o Required Federal Citations

PURPOSE OF THIS RFA

The purpose of this RFA is to support studies that take advantage of the 
rapidly evolving methodology of neuroimaging to further our understanding of 
the consequences of drug exposure, abuse and addiction on the developing 
human brain.  Neuroimaging is progressing rapidly and new techniques are 
continually being developed and refined providing a window into the 
structural (e.g., anatomical magnetic resonance imaging, diffusion tensor 
imaging), neurochemical (e.g., positron emission tomography, magnetic 
resonance spectroscopy), and functional neurobiology (e.g., functional 
magnetic resonance imaging, optical imaging, electroencephalography, 
magnetoencephalography) of the nervous system.  Recent research using these 
techniques has shown that exposure to drugs of abuse can have demonstrable 
effects on the human brain, effects that are very likely to be strongly 
influenced by the developmental state of the nervous system at the time that 
exposure occurs.  Research that addresses the effects of drug exposure during 
development, spanning the continuum of development from in utero exposure 
through the transition to adulthood, is greatly needed. With this RFA we seek 
to encourage investigators experienced in the field of drug abuse, as well as 
researchers from the spectrum of disciplines that investigate neurobiological 
and neurobehavioral aspects of typical and atypical development, to apply 
their knowledge and expertise to the complexities of the effects of drugs of 
abuse on the developing human brain.  Research proposed in response to this 
RFA need not involve subjects or participants that have been exposed to drugs 
of abuse, but may investigate brain areas and maturational processes that 
have been demonstrated to be affected by drug exposure.  Investigators 
proposing such studies, however, must provide a clear statement indicating 
how the research will advance our understanding of the ways in which exposure 
to drugs of abuse alter the normal development of the nervous system.
 
RESEARCH OBJECTIVES

Background

Investigations of the effects of drugs of abuse in animal models have yielded 
considerable insight into the structural and functional effects of drug 
exposure on the developing nervous system.  Human cohort studies have added 
significantly to our understanding of the behavioral consequences of early 
exposure to drugs of abuse and, recently, functional neuroimaging studies 
have informed us greatly about drug exposure effects in adults.  But very 
little is known about the consequences of drug exposure on the development of 
the human nervous system.  For the most part, then, we currently have a very 
limited appreciation of the linkages between the effects of drugs of abuse on 
human behavior and the neurobiological basis of these effects and, most 
especially, the ways in which the effects of drugs of abuse may differ as a 
function of the developmental context in which exposure occurs. The rapid 
development of brain imaging technology and the continual emergence of new 
imaging techniques hold great promise for revealing the possible brain 
alterations that drugs of abuse may cause during development in infants, 
children and adolescents.  At the most fundamental level, it remains to be 
securely defined whether or not, in fact, exposure to at least some drugs of 
abuse has demonstrable effects on the developing nervous system (whether 
these effects are shown to exist in morphological alterations, differences in 
functional activation of specific brain areas, neurocognitive deficits, 
etc.).  In those cases where effects can be shown, there remain many 
questions of fundamental importance in understanding the interplay between 
drug exposure, neurobiological development and behavior.  

Although studies of the development of the human brain indicate that it 
nearly achieves its ultimate size in relatively early childhood, it is now 
well accepted that the maturation of the brain continues well into 
adolescence, and that considerable plasticity endures even in adulthood.  
Moreover, different developmental epochs are defined by different, albeit 
overlapping, processes such as neurogenesis, migration and pattern formation, 
differentiation, and the establishment and refinement of connections.  Of 
importance, therefore, for understanding the effects of drugs of abuse is to 
define the differences in the effects of drug exposure when it occurs early 
in development, (i.e., in utero or infancy) vs. later in development (e.g., 
in early childhood, late childhood, or adolescence).  Can differences in drug 
effects be related to the processes that predominate in the developmental 
continuum at the time of exposure, thus suggesting the mechanism of action of 
the drug under study?  Comparisons among the effects of drugs of abuse can 
also be instructive.  Different drugs of abuse can produce similar behavioral 
effects.  Can comparisons of the functional activation patterns under the 
influence of different drugs identify common neurobiological mechanisms?  
Drugs of abuse are known to affect certain neurotransmitter systems (e.g., 
the catecholamine pathways), but many other disorders also affect these 
systems and some of these disorders present with behavioral manifestations 
similar to those seen with exposure to drugs.  What can be learned about the 
actions of drugs of abuse from studies of other 
neurobiological/neurobehavioral conditions, and vice-versa?

Epidemiologic data have shown that a substantial number of infants have been 
born prenatally exposed to drugs, and a growing number of children are 
beginning to experiment with drugs at an early age.  The purpose of this RFA 
is to encourage developmental (including cognitive developmental) 
researchers, drug addiction researchers, neuroimaging researchers, and 
researchers from other fields that intersect with the study of drug abuse to 
apply brain imaging techniques to define and characterize the neurobiological 
consequences of drug exposure in the developing brain.  Neuroimaging 
techniques now allow structural, functional and metabolic/biochemical 
measures to be made on human brain from birth onward.  The intent of this RFA 
is to take advantage of these new methodologies to fund outstanding research 
aimed at assessing the neurobiological consequences of early exposure that 
can be related to the behavioral alterations that drug abuse and addiction 
produce.

Areas of interest

Research applications in these broad categories might include, but are not 
limited to:

o Fundamental to the goals of this RFA are: 1) documentation of the effects 
of exposure to abused drugs on the development of the human nervous system, 
and 2) the determination of the effects of the time of exposure on 
neurobiological and neurobehavioral development.  It is well documented that 
the effects of in utero exposure to some teratogens is greatly affected by 
the specific prenatal time at which exposure occurs.  One can surmise that 
this is also true for exposure to drugs of abuse, but little data are 
available that directly address this issue.  

o Of critical importance to our understanding of the neurobiological bases of 
the effects of exposure to drugs of abuse during development are 
investigations that seek to correlate imaging data with careful 
neurocognitive and neurobehavioral assessments (particularly those suited to 
pediatric populations).  Studies that propose to define the relationships 
between the behavioral consequences of drug exposure and the neurobiological 
aspects of development are strongly encouraged.

o As mentioned previously, the study of animal models has greatly increased 
our knowledge of the effects of drugs of abuse on the development of the 
nervous system.  Worthy of investigation, also, is the possibility that 
studies of drug effects in the human nervous system can inform investigations 
of animal models.  For example, can the results of functional or chemical 
imaging studies in humans demonstrate activation in brain areas that had 
previously not been thought to be affected by drugs of abuse, thus providing 
a starting point for the initiation of more mechanistic investigations in 
animal systems?  The rapid advancement of neuroimaging techniques, both in 
terms of sensitivity and resolution, raise this possibility.  Applications 
proposing to conduct parallel studies of drug effects during development in 
both humans and animals, and especially non-human primates, are of particular 
interest.

o New imaging modalities (e.g., Diffusion Tensor Magnetic Resonance Imaging) 
are now making it possible to analyze connectional patterns in the human 
brain and the potential effects of extrinsic influences on pathway 
development.  Animal studies have provided strong evidence that alterations 
in the structure and function of a specific area of the brain, whether as a 
result of normal development or perturbation, almost invariably have both 
retrograde and anterograde effects.  Studies of the effects of drug exposure 
on the development, refinement, and maintenance of connections within the 
brain are encouraged.

o Both behavioral and pharmacological treatments have been shown to be 
effective in the treatment of drug abuse and its consequences.  Advances in 
neuroimaging technologies, especially those that can provide information on 
the functional state of the brain, may now provide us with the opportunity to 
describe relationships between the therapeutic effect of different treatments 
and the underlying neurobiology.  Is the effectiveness of specific 
therapeutic regimens affected by the age of the individual undergoing 
treatment?  Does the maturational state of specific areas of the brain, those 
involved in decision-making for instance, compromise the potential efficacy 
of certain therapies?  Does use of medications for treatment of a disorder, 
for example treatment of ADHD with stimulants, differentially affect neural 
development from when drug exposure occurs for nonmedical purposes or as a 
function of the time at which stimulant treatment is instituted?  Does 
illicit drug use, in combination with use of medications, affect neural 
development?

o More knowledge of nervous system development is needed for adolescents and 
young adults who are infected with the human immunodeficiency virus (HIV), 
and who are also using drugs of abuse. These individuals face risks to 
neurological development, cognitive functioning, and mental health that may 
be associated with the infection and with the use of illicit drugs. In 
addition, many are likely to be taking highly active antiretroviral 
medications. Greater understanding of the effects of exposure to drugs of 
abuse in combination with HIV infection, as well as consequences of the 
complex exposure to virus, drugs of abuse, and powerful medications may be 
facilitated by carefully designed neuroimaging studies.   

o Numerous studies have demonstrated gender differences in neurological 
development and in the development of specific cognitive capacities and 
abilities.  Does exposure to drugs of abuse, at specific times in 
development, have differential effects that can be related to the sex/gender 
of the exposed individual?  To hormonal state?  Of particular interest in 
this regard is the increasing use of anabolic/androgenic steroids among 
adolescents. Psychological and psychiatric effects of steroid abuse have been 
well documented.  Relatively little is known, however, about the relative 
frequency and severity of these effects as a function of age and gender and 
the possible neurobiological mechanisms that underlie these effects.

o Inhalants (e.g., volatile gases, solvents, and aerosols) are among the most 
commonly abused drugs in school-aged children.  Severe neurological effects 
of the chronic use of inhalants have been documented in adults, but very 
little is known about the neurobiological effects of exposure to this class 
of drugs on the human brain during development.  Studies that seek to define 
the effects of inhalants on the developing human brain are encouraged.

o Many drugs of abuse have similar cognitive and behavioral effects (e.g., 
cocaine and methamphetamine both affect reasoning and concentration) while 
concurrently producing differing effects (e.g., cocaine seems to have a 
lesser effect on tasks that call for organizing information than 
methamphetamine).  Can these similarities and differences be explained by the 
involvement of common neurobiological pathways?  Are the differences and 
similarities in the effects of drugs, and the underlying neurobiological 
mechanisms, dependent upon the age at exposure?  Studies comparing the 
developmental consequences of exposure to different drugs are needed.

o Drug abuse can result in behavioral manifestations, such as stereotypies, 
mood dysregulation, learning and memory deficits, and many others, that are 
shared with conditions and disorders with very different etiologies.  
Moreover, it has been well documented that drugs of abuse differentially 
affect specific neurotransmitter systems, as do specific developmental 
disorders and psychiatric conditions.  Do these common behavioral 
manifestations and/or the involvement of certain neurotransmitters reflect 
common underlying neurobiological processes?  Treatment regimes for specific 
disorders that employ psychoactive drugs, also, have documented effects on 
neurotransmitter systems affected by some drugs of abuse.  Do such treatments 
interact with the effects of exposure to abused drugs, or alter the 
likelihood of progression to addiction? Further, some forms of mental illness 
and some developmental disabilities are characterized by their emergence 
during a specific period in the lifetime of the affected individual.  Can 
drug exposure at a similar time result in similar effects?  Research that 
seeks to demonstrate commonalities between the consequences of drug abuse and 
other disorders with similar neurobiological and neurobehavioral 
manifestations is particularly encouraged.

o The neural circuits that mediate motivation and reward are intimately 
involved with many aspects of both the effects of drugs of abuse and the 
course of development of addiction.  Relatively little is known of the 
maturation of these areas of the human brain (e.g., the amygdala, nucleus 
accumbens, orbitofrontal cortex, etc.) or of the effects of drug exposure on 
either their function or development.  Of great interest, then, are studies 
of the effects of exposure on these areas and differences in these effects as 
a function of developmental stage at the time of exposure.  Further, these 
same circuits have been implicated in some psychiatric disorders and may play 
a role in the behavioral manifestations of certain developmental 
disabilities. Studies that compare the function of these circuits in such 
disorders, with comparisons to the effects of drug abuse, are also 
encouraged.

o Evidence that the psychological and physical consequences of drug exposure 
can vary greatly dependent on a number of factors, even in a single 
individual, attests to the complex nature of drug effects.  Concurrent use of 
multiple drugs further complicates efforts to understand the neurobiological 
bases of the consequences of drug abuse.  Thus, studies that can take 
advantage of populations of individuals exposed only to single drugs to 
explore underlying neural mechanisms, development and behavior are greatly 
needed. 

MECHANISM OF SUPPORT
 
This RFA will use the NIH R01 award mechanism.  As an applicant you will be 
solely responsible for planning, directing, and executing the proposed 
project.  This RFA is a one-time solicitation.  Future unsolicited, 
competing-continuation applications based on this project will compete with 
all investigator-initiated applications and will be reviewed according to the 
customary peer review procedures.  The anticipated award date is April 2004.  
Applications that are not funded in the competition described in this RFA may 
be resubmitted as NEW investigator-initiated applications using the standard 
receipt dates for NEW applications described in the instructions to the PHS 
398 application.

This RFA uses just-in-time concepts.  It also uses the modular as well as the 
non-modular budgeting formats (see 
http://grants.nih.gov/grants/funding/modular/modular.htm).  Specifically, if 
you are submitting an application with direct costs in each year of $250,000 
or less, use the modular format.  Otherwise follow the instructions for non-
modular research grant applications.  This program does not require cost 
sharing as defined in the current NIH Grants Policy Statement at 
http://grants.nih.gov/grants/policy/nihgps_2001/part_i_1.htm.

FUNDS AVAILABLE
 
NIDA intends to commit approximately $3 million in FY 2004 to fund 8 to 10 
new and/or competitive continuation grants in response to this RFA.  An 
applicant may request a project period of up to 5 years and a budget for 
direct costs of up to $500,000 per year.  Because the nature and scope of the 
proposed research will vary from application to application, it is 
anticipated that the size and duration of each award will also vary.  
Although the financial plans of NIDA provide support for this program, awards 
pursuant to this RFA are contingent upon the availability of funds and the 
receipt of a sufficient number of meritorious applications.  
 
ELIGIBLE INSTITUTIONS
 
You may submit (an) application(s) if your institution has any of the 
following characteristics:

o For-profit or non-profit organizations 
o Public or private institutions, such as universities, colleges, hospitals, 
and laboratories 
o Units of State and local governments
o Eligible agencies of the Federal government  
o Domestic or foreign
o Faith-based or community-based organizations

INDIVIDUALS ELIGIBLE TO BECOME PRINCIPAL INVESTIGATORS   

Any individual with the skills, knowledge, and resources necessary to carry 
out the proposed research is invited to work with their institution to 
develop an application for support.  Individuals from underrepresented racial 
and ethnic groups as well as individuals with disabilities are always 
encouraged to apply for NIH programs.   
 
SPECIAL REQUIREMENTS 

Principal Investigators will be required to attend an annual meeting in the 
Washington, DC metropolitan area.  The travel budget should therefore reflect 
appropriate allocation for this activity.  The purpose of these annual 
meetings will be to share scientific information, assess progress, identify 
and solve common methodological problems, and identify new research 
opportunities.
 
WHERE TO SEND INQUIRIES

We encourage inquiries concerning this RFA 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:

o Direct your questions about scientific/research issues to:

Laurence R. Stanford, Ph.D.
Division of Treatment Research and Development
National Institute on Drug Abuse/NIH/DHHS
6001 Executive Boulevard, Room 4232, MSC 9551
Bethesda, MD  20892-9551
Telephone:  (301) 402-3869
FAX:  (301) 443-6814
Email:  [email protected]

o Direct your questions about peer review issues to:

Teresa Levitin, Ph.D.
Office of Extramural Affairs
National Institute on Drug Abuse/NIH/DHHS
6001 Executive Boulevard, Room 3158, MSC 9547
Bethesda, MD  20892-9547
Telephone:  (301) 443-2755
FAX:  (301) 443-0538
Email:  [email protected]

o Direct your questions regarding financial or grants management matters to:

Gary Fleming, J.D., M.A.
Grants Management Branch
National Institute on Drug Abuse/NIH/DHHS
6001 Executive Boulevard, Room 3131, MSC 9541
Bethesda, MD  20892-9541
Telephone:  (301) 443-6710
FAX:  (301) 594-6847
Email:  [email protected]

LETTER OF INTENT
 
Prospective applicants are asked to submit a letter of intent that includes 
the following information:

o Descriptive title of the proposed research
o Name, address, and telephone number of the Principal Investigator
o Names of other key personnel 
o Participating institutions
o Number and title of this RFA 

Although a letter of intent is not required, is not binding, and does not 
enter into the review of a subsequent application, the information that it 
contains allows NIDA staff to estimate the potential review workload and plan 
the review.
 
The letter of intent is to be sent by the date listed at the beginning of 
this document.  The letter of intent should be sent to:

Director
Office of Extramural Affairs
National Institute on Drug Abuse/NIH/DHHS
6001 Executive Boulevard, Room 3158, MSC 9547
Bethesda, MD  20892-9547
Rockville, MD 20852 (for express/courier service)
Telephone:  (301) 443-2755
FAX:  (301) 443-0538
Email:  [email protected]

SUBMITTING AN APPLICATION

Applications must be prepared using the PHS 398 research grant application 
instructions and forms (rev. 5/2001).  The PHS 398 is available at 
http://grants.nih.gov/grants/funding/phs398/phs398.html in an interactive 
format.  For further assistance contact GrantsInfo, Telephone (301) 710-0267, 
Email: [email protected].
 
SPECIFIC INSTRUCTIONS FOR MODULAR GRANT APPLICATIONS: Applications requesting 
up to $250,000 per year in direct costs must be submitted in a modular grant 
format.  The modular grant format simplifies the preparation of the budget in 
these applications by limiting the level of budgetary detail.  Applicants 
request direct costs in $25,000 modules.  Section C of the research grant 
application instructions for the PHS 398 (rev. 5/2001) at 
http://grants.nih.gov/grants/funding/phs398/phs398.html includes step-by-step 
guidance for preparing modular grants.  Additional information on modular 
grants is available at 
http://grants.nih.gov/grants/funding/modular/modular.htm.

USING THE RFA LABEL: The RFA label available in the PHS 398 (rev. 5/2001) 
application form must be affixed to the bottom of the face page of the 
application.  Type the RFA number on the label.  Failure to use this label 
could result in delayed processing of the application such that it may not 
reach the review committee in time for review.  In addition, the RFA title 
and number must be typed on line 2 of the face page of the application form 
and the YES box must be marked. The RFA label is also available at: 
http://grants.nih.gov/grants/funding/phs398/label-bk.pdf.
 
SENDING AN APPLICATION TO THE NIH: Submit a signed, typewritten original of 
the application, including the Checklist, and three signed, photocopies, in 
one package to:
 
Center For Scientific Review
National Institutes Of Health/DHHS
6701 Rockledge Drive, Room 1040, MSC 7710
Bethesda, MD  20892-7710
Bethesda, MD  20817 (for express/courier service)
 
At the time of submission, two additional copies of the application must be 
sent to:

Director
Office of Extramural Affairs
National Institute on Drug Abuse
6001 Executive Boulevard, Room 3158, MSC 9547
Bethesda, MD  20892-9547
Rockville, MD  20852 (for courier or express delivery)
 
APPLICATION PROCESSING: Applications must be received on or before the 
application receipt date listed in the heading of this RFA.  If an 
application is received after that date, it will be returned to the applicant 
without review.

Although there is no immediate acknowledgement of the receipt of an 
application, applicants are generally notified of the review and funding 
assignment within 8 weeks. 

The Center for Scientific Review (CSR) will not accept any application in 
response to this RFA that is essentially the same as one currently pending 
initial review, unless the applicant withdraws the pending application.  
However, when a previously unfunded application, originally submitted as an 
investigator-initiated application, is to be submitted in response to an RFA, 
it is to be prepared as a NEW application.  That is the application for the 
RFA must not include an Introduction describing the changes and improvements 
made, and the text must not be marked to indicate the changes.  While the 
investigator may still benefit from the previous review, the RFA application 
is not to state explicitly how.

PEER REVIEW PROCESS  
 
Upon receipt, applications will be reviewed for completeness by the CSR and 
responsiveness by NIDA.

Incomplete and/or non-responsive applications will be returned to the 
applicant without further consideration.

Applications that are complete and responsive to the RFA will be evaluated 
for scientific and technical merit by an appropriate peer review group 
convened by the NIDA in accordance with the review criteria stated below.  As 
part of the initial merit review, all applications will:

o Receive a written critique
o Undergo a process in which only those applications deemed to have the 
highest scientific merit, generally the top half of the applications under 
review, will be discussed and assigned a priority score
o Receive a second level review by the National Advisory Council on Drug 
Abuse.
 
REVIEW CRITERIA

The goals of NIH-supported research are to advance our understanding of 
biological systems, improve the control of disease, and enhance health.  In 
the written comments, reviewers will be asked to discuss the following 
aspects of your application in order to judge the likelihood that the 
proposed research will have a substantial impact on the pursuit of these 
goals: 

o Significance 
o Approach 
o Innovation
o Investigator
o Environment
  
The scientific review group will address and consider each of these criteria 
in assigning your application's overall score, weighting them as appropriate 
for each application.  Your application does not need to be strong in all 
categories to be judged likely to have major scientific impact and thus 
deserve a high priority score.  For example, you may propose to carry out 
important work that by its nature is not innovative but is essential to move 
a field forward.

(1) SIGNIFICANCE:  Does your study address an important problem? If the aims 
of your application are achieved, how do they advance scientific knowledge?  
What will be the effect of these studies on the concepts or methods that 
drive this field?

(2) APPROACH:  Are the conceptual framework, design, methods, and analyses 
adequately developed, well integrated, and appropriate to the aims of the 
project?  Do you acknowledge potential problem areas and consider alternative 
tactics?

(3) INNOVATION:  Does your project employ novel concepts, approaches or 
methods? Are the aims original and innovative?  Does your project challenge 
existing paradigms or develop new methodologies or technologies?

(4) INVESTIGATOR: Are you appropriately trained and well suited to carry out 
this work?  Is the work proposed appropriate to your experience level as the 
principal investigator and to that of other researchers (if any)?

(5) ENVIRONMENT:  Does the scientific environment in which your work will be 
done contribute to the probability of success?  Do the proposed experiments 
take advantage of unique features of the scientific environment or employ 
useful collaborative arrangements?  Is there evidence of institutional 
support?

ADDITIONAL REVIEW CRITERIA: In addition to the above criteria, the following 
items will be considered in the determination of scientific merit and the 
priority score:  

o PROTECTIONS OF HUMAN SUBJECTS FROM RESEARCH RISK:  The involvement of human 
subjects and protections from research risk relating to their participation 
in the proposed research will be assessed.  (See criteria included in the 
section on Federal Citations, below).

o 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.  Plans for the recruitment and retention of subjects will also be 
evaluated. (See Inclusion Criteria included in the section on Federal 
Citations, below).

ADDITIONAL CONSIDERATIONS

o BUDGET:  The reasonableness of the proposed budget and the requested period 
of support in relation to the proposed research.

RECEIPT AND REVIEW SCHEDULE

Letter of Intent Receipt Date:  May 19, 2003
Application Receipt Date:  June 18, 2003
Peer Review Date:  November/December 2003
Council Review:  February 2004
Earliest Anticipated Start Date:  April 2004

AWARD CRITERIA

Award criteria that will be used to make award decisions include:

o Scientific merit (as determined by peer review)
o Availability of funds
o Programmatic priorities
 
REQUIRED FEDERAL CITATIONS 

MONITORING PLAN AND DATA SAFETY AND MONITORING BOARD: Research components 
involving Phases I and II clinical trials must include provisions for 
assessment of patient eligibility and status, rigorous data management, 
quality assurance, and auditing procedures.  In addition, it is NIH policy 
that all clinical trials require data and safety monitoring, with the method 
and degree of monitoring being commensurate with the risks (NIH Policy for 
Data Safety and Monitoring, NIH Guide for Grants and Contracts, June 12, 
1998: http://grants.nih.gov/grants/guide/notice-files/not98-084.html).  

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 AMENDMENT "NIH 
Guidelines for Inclusion of Women and Minorities as Subjects in Clinical 
Research - Amended, October, 2001," published in the NIH Guide for Grants and 
Contracts on October 9, 2001
(http://grants.nih.gov/grants/guide/notice-files/NOT-OD-02-001.html);
a complete copy of the updated Guidelines are available at 
http://grants.nih.gov/grants/funding/women_min/guidelines_amended_10_2001.htm.   
The amended policy incorporates: the use of an NIH definition of clinical 
research; updated racial and ethnic categories in compliance with the new OMB 
standards; clarification of language governing NIH-defined Phase III clinical 
trials consistent with the new PHS Form 398; and updated roles and 
responsibilities of NIH staff and the extramural community.  The policy 
continues to require for all NIH-defined Phase III clinical trials that: a) 
all applications or proposals and/or protocols must provide a description of 
plans to conduct analyses, as appropriate, to address differences by 
sex/gender and/or racial/ethnic groups, including subgroups if applicable; and 
b) investigators must report annual accrual and progress in conducting 
analyses, as appropriate, by sex/gender and/or racial/ethnic group 
differences.

INCLUSION OF CHILDREN AS PARTICIPANTS IN RESEARCH INVOLVING HUMAN SUBJECTS: 
The NIH maintains a policy that children (i.e., individuals under the age of 
21) must be included in all human subjects research, conducted or supported 
by the NIH, unless there are scientific and ethical reasons not to include 
them. This policy applies to all initial (Type 1) applications submitted for 
receipt dates after October 1, 1998.

All investigators proposing research involving human subjects should read the 
"NIH Policy and Guidelines" on the inclusion of children as participants in 
research involving human subjects that is available at 
http://grants.nih.gov/grants/funding/children/children.htm. 

REQUIRED EDUCATION ON THE PROTECTION OF HUMAN SUBJECT PARTICIPANTS: NIH policy 
requires education on the protection of human subject participants for all 
investigators submitting NIH proposals for research involving human subjects.  
You will find this policy announcement in the NIH Guide for Grants and 
Contracts Announcement, dated June 5, 2000, at 
http://grants.nih.gov/grants/guide/notice-files/NOT-OD-00-039.html.

HIV/AIDS COUNSELING AND TESTING POLICY FOR THE NATIONAL INSTITUTE ON DRUG 
ABUSE:  Researchers funded by NIDA who are conducting research in community 
outreach settings, clinical, hospital settings, or clinical laboratories and 
have ongoing contact with clients at risk for HIV infection, are strongly 
encouraged to provide HIV risk reduction education and counseling.  HIV 
counseling should include offering HIV testing available on-site or by 
referral to other HIV testing service for persons at risk for HIV infection 
including injecting drug users, crack cocaine users, and sexually active drug 
users and their sexual partners.  For more information see 
http://grants.nih.gov/grants/guide/notice-files/NOT-DA-01-001.html.

NATIONAL ADVISORY COUNCIL ON DRUG ABUSE RECOMMENDED GUIDELINES FOR THE 
ADMINISTRATION OF DRUGS TO HUMAN SUBJECTS:  The National Advisory Council on 
Drug Abuse recognizes the importance of research involving the administration 
of drugs to human subjects and has developed guidelines relevant to such 
research.   Potential applicants are encouraged to obtain and review these 
recommendations of Council before submitting an application that will 
administer compounds to human subjects.  The guidelines are available on 
NIDA's Home Page at http://www.nida.nih.gov under the Funding, or may be
obtained by calling (301) 443-2755.

PUBLIC ACCESS TO RESEARCH DATA THROUGH THE FREEDOM OF INFORMATION ACT: The 
Office of Management and Budget (OMB) Circular A-110 has been revised to 
provide public access to research data through the Freedom of Information Act 
(FOIA) under some circumstances.  Data that are (1) first produced in a 
project that is supported in whole or in part with Federal funds and (2) cited 
publicly and officially by a Federal agency in support of an action that has 
the force and effect of law (i.e., a regulation) may be accessed through FOIA.  
It is important for applicants to understand the basic scope of this 
amendment.  NIH has provided guidance at 
http://grants.nih.gov/grants/policy/a110/a110_guidance_dec1999.htm.

Applicants may wish to place data collected under this PA 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.

URLs IN NIH GRANT APPLICATIONS OR APPENDICES: All applications and proposals 
for NIH funding must be self-contained within specified page limitations. 
Unless otherwise specified in an NIH solicitation, Internet addresses (URLs) 
should not be used to provide information necessary to the review because 
reviewers are under no obligation to view the Internet sites.   Furthermore, 
we caution reviewers that their anonymity may be compromised when they 
directly access an Internet site.

HEALTHY PEOPLE 2010: The Public Health Service (PHS) is committed to achieving 
the health promotion and disease prevention objectives of "Healthy People 
2010," a PHS-led national activity for setting priority areas. This RFA is 
related to one or more of the priority areas. Potential applicants may obtain 
a copy of "Healthy People 2010" at http://www.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 authorization of Sections 301 
and 405 of the Public Health Service Act as amended (42 USC 241 and 284 and 
administered under NIH grants policies described at 
http://grants.nih.gov/grants/policy/policy.htm and under Federal Regulations 
42 CFR 52 and 45 CFR Parts 74 and 92.  All awards are subject to the terms 
and conditions, cost principles, and other considerations described in the 
NIH Grants Policy Statement.  The NIH Grants Policy Statement can be found at 
http://grants.nih.gov/grants/policy/policy.htm.

The PHS strongly encourages all grant recipients to provide a smoke-free 
workplace and discourage the use of all tobacco products.  In addition, 
Public Law 103-227, the Pro-Children Act of 1994, prohibits smoking in 
certain facilities (or in some cases, any portion of a facility) in which 
regular or routine education, library, day care, health care, or early 
childhood development services are provided to children.  This is consistent 
with the PHS mission to protect and advance the physical and mental health of 
the American people.



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