FOIA Findings
CFS Specific Grants Submitted to CFS SEP 2003-2007 (FOIA Cort Johnson)
Background
The FOIA was submitted in an attempt to figure where the roadblocks in the CFS grant funding process at the NIH are. The very low numbers of awarded grants of the past five years (8) suggested that success rates of CFS grant proposals were either very low or very few researchers were applying for grants or both.
This document charts the fate of CFS specific grants to the CFS SEP and the Neuroimmune RFA Review Panels from 2003-2007.
First Time Grant Success Rate: A primary reason of the FOIA was to determine the success rate of first-time CFS grant applications. NIH officials have stated that the CFS grant success rates are similar to those found NIH-wide but its been unclear whether they were lumping in CFS grants with FM and other grants or if they were including continuation grants; i.e. already approved grants whose funding need at some point to be renewed by the panel in their statistics. Both of those would likely increase the grant success rate. This FOIA specified that only CFS-specific grants be included.
(*Unfortunately since the NIH refused to provide titles, authors, etc. of the rejected grants its impossible to tell how many of those were first-time grants and how many were rejected renewals. Several factors argue against having many rejected renewals; renewal grant acceptance rates are generally much higher than first time grant success rates and the low numbers of active grants suggests few renewal grants would be present. I assume that all of the rejected grants are first-time grants. An appeal of the NIHs decision is underway)
A Very Low Reward Rate - Based on the supposition that all the rejected grants were first time applications the first-time grant success rate for CFS researchers was 8/57=14%. Even with the special grant package of 2006 (RFA) the NIH managed to fund on average just over I new grant a year on CFS.
High Levels of Rejection Early in the Process the most common fate of a CFS research grant application (@30%) was to be triage reviewed non-competitive (see below for explanation)/ These are grants that the review panel unanimously agreed fell into the bottom fifty percent in terms of quality. They are given comments but not a full review and are returned to the applicant unscored.
CFS advocates have repeatedly raised the specter of high rates of grant rejections before review panels composed of few researchers with experience with CFS issues. A grant application by Andrew Lloyd provides a case in point. Dr. Lloyds application before an RFA review panel with more CFS expertise reportedly just missed the cutoff point. After Dr. Lloyd reconstituted his application to incorporate the RFA reviewers suggestions it was judged non-competitive by a subsequent CFS SEP review panel and was returned unscored.
Difficulty Getting Past the CFS SEP Review Panel - The biggest single roadblock for CFS researchers was getting past the initial review panel. Of the 57 new CFS grants over half (29) were stopped at the review panel stage for various reasons (triage reviewed non-competitive/application withdrawn (see below)).
High Rejection Rates at the Institute Level the last stage of the review process, the final review before an Institute panel, was even more difficult. The last review for a CFS grant is before an Institute review boards. The FOIA data indicates that over the past five years 28 new CFS grants (ICD Withdrawn/Pending Award/Awarded (see below)) appeared before Institute Review Panels. A CFS grant application had about a 25% of getting funded at this stage; the Institutes funded 28%, rejected 46% and placed 26% in an unfunded holding category (Pending Award).
RFA Acceptance Rates vs. PA Acceptance Rates. Greatly reduced acceptance rates for Program Announcement initiated grant proposals (8%) indicates that CFS researchers have only a small chance of getting their grants funded under the dominant funding mechanism they available to them at the NIH. RFA initiated grant proposals, on the other hand, had a 31% chance of getting funded.
Seventy-five percent of PA grants were halted at the review panel (Non-competitive -9, Withdrawn for Amendment 12); fifty percent of RFA grants were.
While withdrawn for amendment was a common fate (@30%) of a grant initiated through a program announcement (PA), none of the neuro-immune grant applications were withdrawn for amendment.
PA initiated grants also far lower acceptance rates at the last step in the grant acceptance process; the Institute Review. While all five of the RFA grants that made it to the final review were funded (100% success rate) a PA initiated grant had a less than 1 chance in four of being funded (23%).
The differing outcomes for RFA vs. PA grant applications indicate the Institutes are unlikely to fund CFS research grants if they have not specifically committed funds to do so ahead of time. It implies that under business as usual conditions CFS grants get lost in the competitive grant review process and suggests that special circumstances (e.g. RFAs) are needed to get the Institutes to concentrate their focus on CFS. It also indicates that if the NIH is committed to building a viable CFS research program it needs to institute programs with dedicated funding such as RFAs, Research Centers or Centers of Excellence.
The Missing Neuro-immune RFA Grants? Dr. Hanna reported the NIH was pleased with the response of the researcher community to the one funded grant effort for CFS the NIH has produced over the past five years the Neuroimmune RFA of 2006. At one point relatively early in the process Dr. Hanna reported that 29 applications had been received. But the FOIA only lists 16 applications (code (0D06-002) eight of which were rejected immediately (non-competitive), three of which were pending award and have not been funded, and five which were funded.
Its known that early in the process Dr. Hoffeld returned grants he felt did not fit the subject matter of the grant. This raises the question whether Dr. Hoffeld rejected almost half the grants submitted to the RFA panel before they made it to the first review.
Conclusions. CFS researchers have little chance of getting their grants funded under the dominant funding mechanism used in the CFS program at the NIH the program announcement. According the FOIA from 2003 through the first part of 2007 the NIH funded only eight new grants on CFS. These are remarkably low figures for a disease the Department of Health and Human Services own studies shows afflicts approximately a million Americans, causes high rates of disability and costs the economy tens of billions of dollars a year.
Summary Table
Grant Status
Number
Triage Reviewed Judged Non-Competitive
17
Administratively Withdrawn by Institute or Center Director
13
Applications Withdrawn For Amendment
12
Pending Award ($0 Funded)
7
Funded Grants (First time) Awarded
8
Continuation/Enlargement Grants Awarded
9
To Be Paid
4
Total Grant Reviews By CFS SEP 70
*Grey = not-funded
Green = funded
Grant Status Explanation
Triage Reviewed Non-Competitive (17) These grants are given comments but not a full review and are returned to the applicant unscored.
Administratively Withdrawn by the Institute or Center Director (13) these grants made it through the review process and to a final review by the Institutes where they were rejected.
Applications Withdrawn for Amendment (12) These applications were withdrawn for amendment by the applicants. Why this occurred is unclear.
Continuation/ Enlargement Grants (9) These are already awarded grants which came up for review again and were rewarded again. In one case a small (R21) grant was turned into a large (RO1) grant.
Funded Grants (8) As opposed to continuation grants these are new first time applications which were rewarded.
Pending Award ($0 Funded) These are grants which may or may not receive funding in the future but which have received no funding.
To Be Paid (4) These are grants whose funds have been awarded but had not yet been disbursed. Most appear to be continuing funding for first time grants originating in the Neuroimmune RFA; they are not new grants.
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APPENDIX: FOIA DATA
NON-FUNDED GRANTS
Triage Reviewed Judged Non-Competitive (17)
Grant Title Investigator PA/RFA Year Award Grant Status
X X X PA02-034 2003 $0 Non-Competitive
X X X PA02-034 2003 $0 Non-Competitive
X X X PA02-034 2005 $0 Non-Competitive
X X X PA02-034 2005 $0 Non-Competitive
X X X PA02-034 2005 $0 Non-Competitive
X X X PA05--03 2006 $0 Non-Competitive
X X X OD06-002 2006 $0 Non-Competitive
X X X OD06-002 2006 $0 Non-Competitive
X X X OD06-002 2006 $0 Non-Competitive
X X X OD06-002 2006 $0 Non-Competitive
X X X OD06-002 2006 $0 Non-Competitive
X X X OD06-002 2006 $0 Non-Competitive
X X X OD06-002 2006 $0 Non-Competitive
X X X OD06-002 2006 $0 Non-Competitive
X X X PA05--03 2006 $0 Non-Competitive
X X X PA05--03 2006 $0 Non-Competitive
X X X PA05--03 2007 $0 Non-Competitive
Made it to the Final Review Rejected (Administratively Withdrawn by Institute or Center Director) (13)
Grant Title Investigator PA/RFA FY Award Grant Status
X X X PA 02-034 2003 $0 Administratively Withdrawn by ICD
X X X PA 02-034 2003 $0 Administratively Withdrawn by ICD
X X X PA 02-034 2004 $0 Administratively Withdrawn by ICD
X X X PA 02-034 2004 $0 Administratively Withdrawn by ICD
X X X PA 02-034 2004 $0 Administratively Withdrawn by ICD
X X X PA 02-034 2004 $0 Administratively Withdrawn by ICD
X X X PA 02-034 2004 $0 Administratively Withdrawn by ICD
X X X PA 02-034 2004 $0 Administratively Withdrawn by ICD
X X X PA 02-034 2004 $0 Administratively Withdrawn by ICD
X X X PA 02-034 2005 $0 Administratively Withdrawn by ICD
X X X PA 05-030 2006 $0 Administratively Withdrawn by ICD
X X X PA 05-030 2006 $0 Administratively Withdrawn by ICD
X X X PA 05-030 2006 $0 Administratively Withdrawn by ICD
Applications Withdrawn For Amendment by Applicant (12)
Grant Title Investigator PA/RFA FY Award Grant Status
X X X PA 02-034 2003 $0 Application Withdrawn For Amendment
X X X PA 02-034 2004 $0 Application Withdrawn For Amendment
X X X PA 02-034 2005 $0 Application Withdrawn For Amendment
X X X PA 02-034 2005 $0 Application Withdrawn For Amendment
X X X PA 02-034 2005 $0 Application Withdrawn For Amendment
X X X PA 02-034 2005 $0 Application Withdrawn For Amendment
X X X PA 02-034 2006 $0 Application Withdrawn For Amendment
X X X PA 05-030 2006 $0 Application Withdrawn For Amendment
X X X PA 02-034 2006 $0 Application Withdrawn For Amendment
X X X PA 05-030 2006 $0 Application Withdrawn For Amendment
X X X PA 05-030 2007 $0 Application Withdrawn For Amendment
X X X PA 05-030 2007 $0 Application Withdrawn For Amendment
Pending Award - $0 Funded (7)
Grant Title Investigator PA/RFA Year Award Grant Status
X X X PA02-034 2006 $0 Pending Award
X X X OD06-002 2006 $0 Pending Award
X X X OD06-002 2006 $0 Pending Award
X X X PA 05-030 2006 $0 Pending Award
X X X PA 05-030 2006 $0 Pending Award
X X X OD06-002 2007 $0 Pending Award
X X X PA 05-030 2007 $0 Pending Award
FUNDED GRANTS
First Time Grants Awarded (8)
Grant Title Investigator PA/RFA Year Award Grant Status
I RO1 HDO43301-01A1 CF in Adolescents Taylor PA02-034 2003 509,257 Awarded
1 R21 AI054478-01 Sleep/Cytokines Natelson PA02-034 2003 629,309 Awarded
1 RO1 ES0115382-01 Proteomics CSF Baraniuk OD06-002 2006 379,720 Awarded
1 RO1 NS055670-01 ANS in CFS Biaggioni OD06-002 2006 385,500 Awarded
1 RO1 NS055672-01 CBT and CFS Antoni OD06-002 2006 342,219 Awarded
1 R21 AA16636-01 Neuropeptide Y Fletcher OD06-002 2006 200,321 Awarded
1 R21 AA167-1-01 Mast Cells Theoharides OD06-002 2006 275,906 Awarded
1 R01 A10565723-01A2 Biomarkers Fletcher PA02-034 2007 381,875 Awarded
Continuation/Enlargement Grants Awarded (9)
Grant Title Investigator PA/RFA Year Award Grant Status
2 RO1 A1054478-02 Sleep/Cytokines Natelson PA02-034 2004 334,904 Awarded
5 R01 HD043301-02 CF in Adolescents Taylor PA02-034 2004 567,009 Awarded
5 R01 A1054478-04 Sleep/Cytokines Natelson PA02-034 2005 643,2007 Awarded
5 R01 HD043301-03 CF in Adolescents Taylor PA02-034 2005 568,159 Awarded
5 R01 A1054478-04 CF in Adolescents Taylor PA02-034 2006 627,427 Awarded
5 R01 HD043301-04 Biomarkers Fletcher PA02-034 2006 499,114 Awarded
5 R01 A1054478-05 Sleep/Cytokines Natelson PA02-034 2007 572,643 Awarded
5 R01 ES015382- 02 Proteomics CSF Baraniuk OD06-002 2007 374,068 Awarded
5 R21 AA016636-02 Neuropeptide Y Fletcher OD06-002 2007 194,989 Awarded
To Be Paid (4)
Grant Title Investigator PA/RFA Year Award Grant Status
X X X PA02-034 2007 481,756 To Be Paid
X X X OD06-002 2007 383,750 To Be Paid
X X X OD06-002 2007 344,250 To Be Paid
X X X OD06-002 2007 153,281 To Be Paid
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Institute Participation
AI National Institute of Allergy and Infectious Diseases (NAIAD) - $3,189,365
HD- National Institute of Child Health and Human Development (NICHD) - $1,644,435
NS- National Institute of Neurological Disorders and Stroke (NINDS) - $737,719
ES National Institute of Environmental Health Services (NIEHS) - $753,788
AA National Institute of Alcoholic Abuse and Alcoholism (NIAAA) - $671,216
Trans-NIH Working is comprised of representatives from nine Institutes with a purported interest in CFS.