FEDERAL AGENCY:

NATIONAL INSTITUTES OF HEALTH, DEPARTMENT OF HEALTH AND HUMAN SERVICES

AUTHORIZATION:

Public Health Service Act, as amended, Sections 301 and 412, Public Law 78-410; 42 U.S.C. 241; Public Law 100-607; 42 U.S.C. 285a-1; Public Law 99-500.

To reduce cancer incidence, morbidity, and mortality through an orderly sequence from research on interventions and their impact in defined populations to the broad, systematic application of the research results through dissemination and diffusion strategies. Primary emphasis is on the inclusion of a cancer prevention and control intervention in any proposed study. Cancer Prevention and Control research studies are classified into one of five phases that represent the orderly progression noted in the definition: (1) Hypothesis development; (2) methods development and testing; (3) controlled intervention trials to establish cause-and-effect relationships; (4) research in defined populations; and (5) demonstration and implementation studies. A primary interest is in research on cancer control interventions in Phases 2 through 5. Cancer Prevention and Control programs include those in the following areas: (1) chemoprevention; (2)cancer communications; (3) nutrition, diet, and physical activity; (4) screening and early detection, including biomarker development and validation; (5) biobehavioral mechanisms; (6) tobacco control; (7) special populations research; (8) cancer survivorship; (9) health services and outcomes research; and (10) surveillance research. Small Business Innovation Research (SBIR) program: To expand and improve the SBIR program; to increase private sector commercialization of innovations derived from Federal research and development; and to foster and encourage participation of socially and economically disadvantaged small business concerns and women-owned small business concerns in technological innovation. Small Business Technology Transfer (STTR) program: To stimulate and foster scientific and technological innovation through cooperative research and development carried out between small business concerns and research institutions; to foster technology transfer between small business concerns and research institutions; to increase private sector commercialization of innovations derived from Federal research and development; and to foster and encourage participation of socially and economically disadvantaged small business concerns and women-owned small business concerns in technological innovation.

TYPES OF ASSISTANCE:

Project Grants. Place Cursor Here for Definition

USES AND USE RESTRICTIONS:

Grants and cooperative agreements may be made to eligible institutions for the support of cancer research projects. The grants and cooperative agreements may be used for personnel, consultant costs, equipment, supplies, travel, patient costs, animals, alterations and renovations, miscellaneous items, and indirect costs. Restrictions are imposed against the use of funds for entertainment, foreign travel (unless specifically authorized), office equipment, and other items not normally necessary for the effective prosecution of such research. SBIR Phase I grants (of approximately 6- months' duration) are to establish the technical merit and feasibility of a proposed research effort that may lead to commercial product or process. Phase II grants are for the continuation of the research initiated in Phase I, and that are likely to result in commercial products or processes. Only Phase I awardees are eligible to apply for Phase II support. STTR Phase I grants (normally of 1-year duration) are to determine the scientific, technical, and commercial merit and feasibility of the proposed cooperative effort that has potential for commercial application. Phase II funding is based on results of research initiated in Phase I and scientific and technical merit and commercial potential of Phase II application. The SBIR Fast-Track Initiative provides additional assistance to applicants by expediting the decision and award of SBIR Phase II funding for scientifically meritorious applications for projects that have a high potential for commercialization. Fast-Track is a parallel review option whereby Phase I and Phase II projects are reviewed concurrently with the aim of reducing or eliminating the funding gap between Phase I and Phase II.

ELIGIBILITY REQUIREMENTS:

Applicant Eligibility:   The awardee will be a university, college, hospital, public agency, nonprofit research institution or for-profit organization that submits an application and receives a grant or cooperative agreement for support of research by a named principal investigator. SBIR grants can be awarded only to domestic small businesses (entities that are independently owned and operated for profit, are not dominant in the field in which research is proposed, and have no more than 500 employees). Primary employment (more than one- half time) of the principle investigator must be with the small business at the time of award and during the conduct of the proposed project. In both Phase I and Phase II, the research must be performed in the U.S. and its possessions. To be eligible for funding, a grant must be approved for scientific merit and program relevance by a scientific review group and a national advisory council. STTR grants can be awarded only to domestic small business concerns (entities that are independently owned and operated for profit, are not dominant in the field in which research is proposed and have no more than 500 employees) which "partner" with a research institution in cooperative research and development. At least 40 percent of the project is to be performed by the small business concern and at least 30 percent by the research institution. In both Phase I and Phase II, the research must be performed in the U.S. and its possessions. To be eligible for funding, a grant application must be approved for scientific merit and program relevance by a scientific review group and a national advisory council.

Beneficiary Eligibility:   University, college, hospital, public agency, nonprofit research institutions or for-profit organizations will benefit.

Credentials/Documentation:   Costs will be determined in accordance with OMB Circular No. A-87 for State and local governments. For-profit organizations' costs are determined in accordance with 48 CFR, Subpart 31.2 of the Federal Acquisition Regulations. For other grantees, costs will be determined in accordance with HHS Regulations 45 CFR, Part 74, Subpart Q. For SBIR and STTR grants, applicant organization (small business concern) must present in a research plan an idea that has potential for commercialization and furnish evidence that scientific competence, experimental methods, facilities, equipment, and funds requested are appropriate to carry out the plan. Grant forms PHS 6246-1 and PHS 6246-2 are used to apply for SBIR Phase I and Phase II, respectively. Grant forms PHS 6246-3 and PHS 6246-4 are used to apply for STTR Phase I and Phase II, respectively.

Pre-application Coordination:   Not applicable. This program is excluded from coverage under E.O. 12372.

Application Procedure:   Application form PHS-398 (Rev. April 1998) is the standard form that can be obtained from the Division of Extramural Outreach and Information Resources, National Institutes of Health, 6701 Rockledge Drive, MSC 7910, Bethesda, MD 20892-7910. Telephone (301) 435-0714, E-mail ASKNIH@odrockml.od.nih.gov. The standard application forms as furnished by DHHS and required by 45 CFR, Part 92 for State and local governments, must be used for this program. This program is subject to the provisions of 45 CFR, Part 92 for State and local governments and OMB Circular No. A-110 for nonprofit organizations. SBIR and STTR Grant Solicitations and SBIR Contract Solicitation may be obtained electronically through the NIH's "Small Business Funding Opportunities" home page at http://www.nih.gov/grants/funding/sbir.htm on the World Wide Web. A limited number of hard copies of these publications are produced. Subject to availability, they may be obtained by contacting the NIH support services contractor: phone: (301) 206-9385; fax: (301) 206-9722; e-mail: a2y@cu.nih.gov. The Solicitations include submission procedures, review considerations, and grant application or contract proposal forms. SBIR and STTR grant applications should be submitted to the Center for Scientific Review, 6701 Rockledge Drive, Room 1040 - MSC 7710, Bethesda, MD 20892-7710.

Award Procedure:   Grants and cooperative agreements are funded based on scientific merit, program relevance, and program balance and are made annually. Initial award provides funds for first budget period (usually 12 months) and Notice of Grant Award (Form PHS 1533) indicates support recommended for remainder of project period, allocation of Federal funds by budget categories, and special conditions, if any. All accepted SBIR/STTR applications are evaluated for scientific and technical merit by an appropriate scientific peer review panel and by a national advisory council or board. All applications receiving a priority score compete for available SBIR/STTR set-aside funds on the basis of scientific and technical merit and commercial potential of the proposed research, program relevance, and program balance among the areas of research.

Deadlines:   New: February 1, June 1, and October 1. Renewals and supplements: March 1, July 1, and November 1. SBIR Applications: April 15, August 15, and December 15. STTR Applications: April 1, August 1, and December l.

Range of Approval/Disapproval Time:   Regular Grants: Approximately 10 months. SBIR/STTR: About 7-l/2 months.

Appeals:   A principal investigator (P.I.) may question the substantive or procedural aspects of the review of his/her application by communicating with the staff of the Institute. A description of the NIH Peer Review Appeal procedures is available on the NIH home page www.nih.gov/1997/97.11.21/n2.html.

Renewals:   Applications submitted for renewal are reviewed and selected for funding on a competitive basis.

ASSISTANCE CONSIDERATIONS:

Formula and Matching Requirements:   This program has no statutory formula or matching requirements.

Length and Time Phasing of Assistance:   Grants and cooperative agreements average from 3 to 4 years, up to a maximum of 5 years. Renewals may be awarded for additional periods of up to 5 years based on competitive peer review. Funding is provided through Monthly Demand Payment System or an Electronic Transfer System. SBIR: Normally, Phase I awards are for 6 months; normally, Phase II awards are for 2 years. STTR: Normally, Phase I awards are for 1 year; normally, Phase II awards are for 2 years.

POST ASSISTANCE REQUIREMENTS:

Reports:   Progress reports are required each year. Annual financial status report is required 90 days after the end of a budget period. Special reports may be requested by DHHS. Terminal reports are required 6 months after the end of a project.

Audits:   In accordance with the provisions of OMB Circular No. A- 133 (Revised, June 24, 1997), "Audits of States, Local Governments, and Nonprofit Organizations," nonfederal entities that expend financial assistance of $300,000 or more in Federal awards will have a single or a program-specific audit conducted for that year. Nonfederal entities that expend less than $300,000 a year in Federal awards are exempt from Federal audit requirements for that year, except as noted in Circular No. A-133. In addition, grants and cooperative agreements are subject to inspection and audits by DHHS and other Federal government officials.

Records:   Expenditures and other financial records must be retained for 3 years from the day on which the grantee submits the last financial status report for the report period.

FINANCIAL INFORMATION:

Account Identification:   75-0849-0-1-552.

Obligations:   (Grants) FY 01 $183,665,000; FY 02 est $219,537,000; and FY 03 est $244,257,000.

Range and Average of Financial Assistance:  
$14,645 to $5,382,316; Average: $862,000.

In fiscal year 2001, of 78 competing applications, 39 were funded (50.00 percent); 213 total competing and noncompeting awards were made. It is estimated that 255 total awards will be made in fiscal year 2002 and 274 total awards are estimated for fiscal year 2003.

REGULATIONS, GUIDELINES, AND LITERATURE:

Grants: 42 CFR 52; 45 CFR 74 and PHS Grants Policy Statement, DHHS Publication No. (OASH) 94- 50,000, (Rev.) April 1, 1994.

INFORMATION CONTACTS:

Regional or Local Office:   Not applicable.

Headquarters Office:   Program Contacts: For chemoprevention, nutrition and diet, screening and early detection, community oncology and rehabilitation and pain management, Dr. Peter Greenwald, Director, Division of Cancer Prevention, National Cancer Institute, National Institutes of Health, Public Health Service, Department of Health and Human Services, 6130 Executive Boulevard, MSC 7309, Rockville, MD 20852. Telephone: (301) 496-6616. For public health applications, biobehavioral mechanisms, special populations, and surveillance, Dr. Barbara Rimer, Director, Division of Cancer Control and Population Science, National Cancer Institute, National Institutes of Health, Public Health Service, Department of Health and Human Services, 6130 Executive Boulevard, Rockville, MD 20852. Telephone: (301) 594-6756. Grants Management Contact: Leo F. Buscher, Jr., Grants Management Officer, National Cancer Institute, National Institutes of Health, Public Health Service, Department of Health and Human Services, EPS-234, Rockville, Maryland, 20892. Telephone: (301) 496-7753. Use the same numbers for FTS.

Web Site Address:  
http://www.nih.gov
http://cancer.gov; http://cancercontrol.cancer.gov
http://cancer.gov/prevention

EXAMPLES OF FUNDED PROJECTS:

Projects include: (1) Smoking Prevention - Transdisciplinary Tobacco Use Research Centers (TTURCs); (2) Nutrition - National 5-A-Day for Better Health Program; (3) Cooperative Family Registries for Breast/Ovarian and Colorectal Cancer; (4) Study of Tamoxifen and Raloxifene for the Prevention of Breast Cancer (STAR); (5) Special Populations - National Black Leadership Initiative on Cancer (NBLIC); (6) Chemoprevention of Skin Cancer by Celecoxib; (7) Early Detection - Prostate, Lung, Colon, Ovarian Cancer Trial (PLCO); (8) Selenium and Vitamin E Cancer Prevention Trial for Prostate Cancer (SELECT); (9) Prostate Cancer Prevention Trial (PCPT); and (9) Early Detection Research Network.

CRITERIA FOR SELECTING PROPOSALS:

The major elements in evaluating proposals include assessments of: (1) The scientific merit and general significance of the proposed study and its objectives; (2) the technical adequacy of the experimental design and approach; (3) the competency of the proposed investigator or group to successfully pursue the project; (4) the adequacy of the available and proposed facilities and resources; (5) the necessity of the budget components requested in relation to the proposed project; and (6) the relevance and importance to announced program objectives.