NCRR SHARED INSTRUMENTATION GRANT RELEASE DATE: December 4, 2002 RFA: RR-03-002 National Center for Research Resources (NCRR) (http://www.ncrr.nih.gov) Application Receipt Date: March 21, 2003 THIS RFA CONTAINS THE FOLLOWING INFORMATION o Purpose of this RFA o Research Objectives o Mechanism of Support o Eligible Institutions o Individuals Eligible to Become Principal Investigators o Where to Send Inquiries o Submitting an Application o Peer Review Process o Review Criteria o Receipt and Review Schedule o Award Criteria o Required Federal Citations PURPOSE The purpose of this Request for Applications (RFA) is to continue the competitive National Center for Research Resources (NCRR) Shared Instrumentation Grant (SIG) Program initiated in Fiscal Year 1982. Results of the most recent study, "The National Survey of Academic Research Instruments and Instrumentation," published in 1997 identified bioanalytical equipment of the type provided through this Program as the top most priority. The objective of the program is to make available to institutions expensive research instruments that can only be justified on a shared-use basis and for which meritorious research projects are described. The SIG Program provides a cost-effective mechanism for groups of NIH-supported investigators to obtain commercially-available, technologically sophisticated equipment costing more than $100,000. RESEARCH OBJECTIVES This program is designed to provide for the acquisition or updating of expensive shared-use instrumentation not generally available through other NIH mechanisms, such as the regular research project, program project, or center grant programs. Proposals for research on advancing the design or for the development of new instrumentation will not be considered. Types of instrumentation supported include, but are not limited to, nuclear magnetic resonance systems, electron and confocal microscopes, mass spectrometers, protein and DNA sequencers, biosensors, x-ray diffractometers and cell sorters. Support will not be provided for general purpose equipment or purely instructional equipment, personal computers, personal workstations, printers, and Ethernet interfaces. Proposals for "stand alone" computer systems will only be considered if the instrument is solely dedicated to the research needs of a broad community of NIH-supported investigators. For purpose of eligibility, a major user group of three or more investigators must be identified. A minimum of three major users must be Principal Investigators on NIH peer reviewed research grants at the time of the application and award. For purposes of this program, research grants are defined as those grants awarded with the following activity codes: P01, R01, U01, R35, and R37. The application should also show a clear need for the instrumentation by projects supported by multiple NIH peer review research grants (including, but not limited to those listed above) and demonstrate that these projects will require at least 75 percent of the total usage of the instrument. Major users can be individual researchers, or a group of investigators within the same department or from several departments at the applicant institution. NIH extramural awardees from other nearby institutions may also be included. If the major user group does not require total usage of the instrument, access to the instrument should be made available to other users upon the advice of the internal advisory committee (see below). These users need not be NIH awardees, but priority should be given to NIH-supported scientists engaged in biomedical/behavioral research. To promote cost effectiveness, to encourage optimal sharing among individual investigators, research groups and departments, and to foster a collaborative multidisciplinary environment, the instrument should be integrated into a central core facility, whenever possible. Each applicant institution must propose a Principal Investigator who can assume administrative/scientific oversight responsibility for the instrumentation requested. This person need not be an NIH grantee. An internal advisory committee must be named to assist the Principal Investigator in administering the grant and overseeing the responsibility for the instrument. The membership of this committee should be broadly based and include members without a conflict of interest who can resolve disputes if they arise. The Principal Investigator and the advisory committee are responsible for the development of guidelines for: o Maximum utilization of the instrument, including time allocation. o A detailed plan for the day-to-day management of the instrument. o A financial plan for the long term operation and maintenance of the instrument during the post award period. During the post award period, the Principal Investigator will also be responsible for obtaining appropriate no-cost extensions of the project period if needed. Ninety days following the end of the project period, a final progress report is required that describes the instrument purchased, and a list of all users and description of the value of the instrument to the investigators and to the institution as a whole. The Principal Investigator and the advisory committee are also responsible for the relocation of the instrument within the institution if the major user group is significantly altered. MECHANISM OF SUPPORT This RFA will use the SIG mechanism (S10). SIG provides support for expensive state-of-the-art instrumentation utilized in both basic and clinical research. Applications are limited to instruments that cost at least $100,000 per instrument or integrated instrument system. The maximum award is $500,000. Since the nature and scope of the instruments that may be requested will vary, it is anticipated that the size of an award will vary also. Awards will be made for the direct costs only. The institution must meet those costs (not covered in the normal purchase price) required to place the instrumentation in operational order as well as the maintenance, support personnel, and service costs associated with maximum utilization of the instrument. There is no upper limit on the cost of the instrument, but the maximum award is $500,000. Grants will be awarded for a period of one year and are not renewable. Supplemental applications will not be accepted. The program does not provide facilities and administrative (F&A) costs or support for construction or alterations and renovations. Cost sharing is not required. If the amount of funds requested does not cover the total cost of the instrument, the application should describe the proposed source(s) of funding for the balance of the cost of the instrument. Documentation of the availability of the remainder of funding, signed by an appropriate institutional official, must be presented to NCRR prior to issuance of award. Applicants proposing purchase of an instrument that the institution is planning to lease prior to award are urged to consult with their institutional sponsored projects office regarding applicable NIH policy prior to executing the leasing agreement. If the leasing agreement was executed more than one year prior to submission of the SIG application, the applicant must provide strong justification for the requested Federal funds. Further, the instrument must be considered state-of-the-art at the time of submission of the SIG application. Award adjustments may be necessary. Execution of a purchase order or agreement, making a down payment or other formal commitment to purchase the equipment prior to award must be in compliance with NIH policy regarding pre-award cost authority [see NIH Grants Policy Statement (Rev.3/01), Allowability of Costs/Activities, Preaward (Preagreement) Costs, page 96]. Non- compliance with this policy automatically eliminates an applicant from eligibility for an award. FUNDS AVAILABLE The NCRR intends to commit approximately $50,000,000 in FY 2004 to fund about 150 new grants in response to this RFA. Because the nature and scope of the research proposed may vary, it is anticipated that the size of each award will also vary. Although the financial plans of the NCRR 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 if your institution has any of the following characteristics: o Non-profit organization o Public or private institutions, such as universities, colleges, and hospitals. o Domestic Under the general research support authority of Section 301(a)(3) of the Public Health Service Act, Shared Instrumentation Grant awards are made to public and non-profit domestic institutions only. These institutions include health professional schools, other academic institutions, hospitals, health departments, and research organizations. Note that Federal institutions, foreign institutions, and for-profit institutions are not eligible to apply. A Federal institution is defined by the NIH as a Cabinet-level department or independent agency of the executive branch of the Federal Government or any component organization of such a department or agency. To be eligible to apply, three or more NIH funded investigators (Principal Investigators of active P01, R01, U01, R35 or R37 research grants) who will be users of the requested instrument must be identified. Applications will be accepted that request a single, commercially- available instrument or integrated instrument system which costs at least $100,000. There is no restriction on the number of applications an institution can submit to the SIG program each year provided the applications request different types of equipment. However, if two or more applications are submitted for similar equipment (for example, two 600 MHz NMR spectrometers) from the same institution, documentation from a high level institutional official must be provided stating that this is not an unintended duplication, but part of a campus wide institutional plan. An application requesting more than one type of instrumentation (for example, a mass spectrometer and a confocal microscope) will not be considered responsive to this RFA and will be returned. INDIVIDUALS ELIGIBLE TO BECOME PRINCIPAL INVESTIGATORS Racial/ethnic minority individuals, women and persons with disabilities are encouraged to apply as Principal Investigators. The identified Principal Investigator of the SIG application does not need to have an active NIH research grant or to be a user of the requested equipment. 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 programmatic or scientific issues to: Marjorie A. Tingle, Ph.D. Shared Instrumentation Grant Program National Center for Research Resources 6705 Rockledge Drive, Room 6148, MSC 7965 Bethesda, MD 20892-7965 Telephone: (301) 435-0772 FAX: (301) 480-3659 Email: SIG@ncrr.nih.gov o Direct your questions about financial or grants management matters to: Ms. Janelle D. Wiggins Office of Grants Management National Center for Research Resources 6705 Rockledge Drive, Room 6086, MSC 7965 Bethesda, MD 20892-7965 Telephone: (301) 435-0843 Email: JanelleW@ncrr.nih.gov 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/html in an interactive format. For further assistance contact GrantsInfo, Telephone (301) 435-0714. SUPPLEMENTAL INSTRUCTIONS: Follow the PHS 398 instructions with the following special instructions below. Do not use the format for Modular or Just-in-Time applications. Other Support pages are required (see below). 1. Form Page 1 (Face Page) Item 1. Name the type of instrument requested. Item 2. Check the box marked "YES" and enter the number and title of this RFA. Item 4. Not applicable Item 5. Not applicable Item 6. The dates should be 04/01/04 through 03/31/05. Items 7A and 7B, 8A and 8B. Use these blocks to give the total amount requested from NCRR for this instrument or system. The direct costs and total costs for the budget period and project period must be the same. 2. Form Page 2. Complete the abstract as directed. Under "Key Personnel," give the data on the Principal Investigator and the major user group as required. 3. Form Page 3. Complete. Insert page number(s) for user and accessory table(s) (see Research Projects) Form page 4. Describe the instrument requested including manufacturer and model number. Use a continuation page(s) as necessary. The model chosen should be justified by comparing its performance with other available instruments where appropriate. Specific features and any accessories should be justified, both in this section and in the description of research projects. Provide a detailed budget breakdown of the main equipment and accessories requested including tax and import duties, if applicable. An itemized quote from a vendor should be included. If a project involves a potential biohazard, funds for accessory containment equipment for the instrument or instrument system may be included in the requested budget. Form page 5. Budget Estimates for All Years. Not applicable; do not complete. Modular Budget Format Page. Not applicable Biographical Sketch Format Page. In addition to the personnel listed on page 2, include a biographical sketch of the person(s) who will be in charge of maintenance and operation of the instrument and a brief statement of the qualifications of the individual(s). Biographical sketches should not exceed 4 pages for each individual. Resources Format Page. Not applicable Checklist Form Page. Check all that apply. Personal Data Form Page. Complete Other Support Format Page. Provide the requested information for each major user. Personnel Report Format Page. Not applicable Targeted/Planned Enrollment Format Page. Not applicable Enrollment Format Page. Not applicable Research Plan section of the application. (If this is a revised application, note the special instructions on page 15 in the PHS 398 instructions regarding completion of this section of the application). Do not include what would normally be in Items a-d of the Research Plan but provide information relative to the points identified under criteria for review including: Instrument Requested Describe the instrument requested. Inventory similar instruments existing at the applicant institution, neighboring research institutions, or otherwise accessible; describe why they are unavailable or inappropriate for the proposed research. Provide a clear justification why new or updated equipment, including accessories, is needed. Include specific documentation on the current usage and downtime of existing instruments and a realistic estimate of the projected usage for the requested instrument. Be quantitive. Research Projects Give a brief description of the major users projects. Since the projects have been previously peer reviewed, the project descriptions should be concise and focus on the benefit of the instrument to the research objectives of each user. Sufficient technical detail (preliminary data and/or supplemental information) should be included within the research plan to evaluate whether the instrument is appropriate, would be effectively employed, and would provide advantages over other methods. The need for special features and accessories must be justified. If possible, each user should highlight those publications that demonstrate the user's expertise in using the requested instrumentation. If the number of projects is large and broadly diversified, select out a smaller representative group. Use a table to list the names of the users, brief titles of the projects, the NIH grant numbers and the estimated percentage of use. Make a separate table to indicate the user's needs for the requested accessories. List the page number of each table under Table of Contents (Form Page 3). For minor users, only include a very brief (one-paragraph) summary of the research related to the need for the instruments. The combined project descriptions of the user groups should not exceed 25 pages. Technical Expertise Describe the technical expertise present at the institution to set up, run and maintain the instrument. Specify who will operate the instrument and train new users. Organizational/Management Plan Describe the organizational plan to administer the grant. Include how the instrument will be utilized, how requests are made, how time will be allocated among major and minor users and plans for attracting new users. List the names and titles of the members of the local advisory committee to oversee instrument use. Indicate the role and responsibility of the advisory committee in developing and implementing policies and procedures to assure equitable use of the instrument. Submit a specific financial plan for long-term operation and maintenance of the instrument. Explain how the costs to place the instrument in operational order as well as the maintenance, support personnel, and service costs associated with effective use of the instrument will be met. Institutional Commitment Describe the institutional infrastructure available to support the instrumentation. Provide documentation (e.g., separate letters signed by appropriate institutional officials) specifically describing the required institutional commitment (in dollars) in support of the proposed plan. Overall Benefit Explain how the instrument will impact NIH funded research and contribute to the institution's long-range biomedical research goals. 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 AND APPLICATION TO THE NIH: Submit a signed, typewritten original of the application, including the Checklist, and five signed, photocopies, in one package to: CENTER FOR SCIENTIFIC REVIEW NATIONAL INSTITUTES OF HEALTH 6701 ROCKLEDGE DRIVE, ROOM 1040 - MSC 7710 BETHESDA, MD 20892-7710 BETHESDA, MD 20817 (for express/courier service) Do not send applications for different instruments in the same package. APPLICATION PROCESSING: Applications must be received by March 21, 2003. If an application is received after that date, it will be returned to the applicant without review. 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. The CSR will not accept any application that is essentially the same as one already reviewed. This does not preclude the submission of substantial revisions of applications already reviewed, but such applications must include the Introduction addressing the previous critique. JOINT NIH/NSF SUBMISSION A recent NIH/NSF Memorandum of Understanding permits the joint agency review and funding of requests for a single instrument costing more than $500,000, which would normally be eligible for submission to both NIH and NSF. Such a request may be submitted to the NIH for the March 21 deadline for review by NIH with NSF participation, thus avoiding separate agency peer review. Under this arrangement, the agencies may offer joint funding in excess of their current award limits. Applicants contemplating joint NIH-NSF submission are strongly urged to contact both the NSF Division for Biological Infrastructure (NSF contact: Multi-User Biological Instrumentation Program Officer: dbiiid@nsf.gov; (703-292-8470) and the NCRR SIG Program (Dr. Marjorie A. Tingle 301-435-0772; SIG@ncrr.nih.gov) for information concerning eligibility and required documentation. PEER REVIEW PROCESS Upon receipt, applications will be reviewed for completeness by the CSR and responsiveness by the NCRR. 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 specially convened initial review groups of the CSR 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 priority will be discussed, assigned a priority score and receive a second level of review by the National Advisory Research Resources Council (NARRC). REVIEW CRITERIA o The Scientific Need The extent to which an award for the specific instrument would meet the scientific needs and enhance the planned research endeavors of the major users by providing an instrument that is unavailable or to which availability is highly limited. o Technical Expertise The availability and commitment of the appropriate technical expertise within the major user group or the institution for use of the instrumentation. o Management Plan The adequacy of the organizational plan for use of the instrument and the internal advisory committee for oversight of the instrument including sharing arrangements. o Institutional Commitment The institution's commitment for continued support of the utilization and maintenance of the instrument. o Overall Benefit The benefit of the proposed instrument to the overall research community it will serve. RECEIPT AND REVIEW SCHELDULE Applications must be received by March 21, 2003. Approximately half of the applications will be reviewed at the September 2003 NARRC meeting and the remainder at the NARRC meeting in January 2004. Funding decisions on all applications received for the March 21, 2003, deadline will not be made until the program receives an appropriation for FY 2004. The Council date will not affect the likelihood of funding. AWARD CRITERIA In making funding decisions, the NCRR will give consideration to ensure program balance among various types of instruments supported and geographic distribution of awards. o Scientific merit (as determined by peer review) o Availability of funds o Programmatic priorities REQUIRED FEDERAL CITIATIONS 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 all 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 No.93.371, Biomedical Technology. Awards will be made under authorization of the Public Health Service Act, Title IV, Part A (Public Law 78-410, as amended by Public Law 99-158, 42 USC 241 and 285) and administered under NIH grants policies and Federal Regulations 42 CFR Part 52 and 45 CFR Part 74. This program is not subject to the intergovernmental review requirements of Executive Order 12372 or Health Systems Agency review. The DHHS strongly encourages all grant and contract recipients to provide a smoke-free workplace and promote the non-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 DHHS mission to protect and advance the physical and mental health of the American people.


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