Part I Overview Information

Department of Health and Human Services

Participating Organizations
National Institutes of Health (NIH), (http://www.nih.gov)

Components of Participating Organizations
National Center for Research Resources (NCRR), (http://www.ncrr.nih.gov/)

Title: Shared Instrumentation Grant Program

Announcement Type
This is a reissue of PAR-04-029 which was previously released December 3, 2003.

Update: The following update relating to this announcement has been issued:

Program Announcement (PA) Number: PAR-05-028

Catalog of Federal Domestic Assistance Number(s)
93.389

Key Dates
Release Date: December 10, 2004
Letters Of Intent Receipt Date(s): Not applicable
Application Receipt Dates(s): March 22, 2005
Peer Review Date(s): June-July, October-November
Council Review Date(s): September 15, 2005, January 19, 2006
Earliest Anticipated Start Date: April 1, 2006
Expiration Date: March 23, 2005

Due Dates for E.O. 12372
Not Applicable.

Additional Overview Content

Executive Summary

Table of Contents

Part I Overview Information

Part II Full Text of Announcement

  Section I. Funding Opportunity Description
    1. Research Objectives

  Section II. Award Information
    1. Mechanism(s) of Support
    2. Funds Available

  Section III. Eligibility Information
    1. Eligible Applicants
      A. Eligible Institutions
      B. Eligible Individuals
    2.Cost Sharing or matching
    3. Other - Special Eligibility Criteria

  Section IV. Application and Submission Information
    1. Address to Request Application Information
    2. Content and Form of Application Submission
    3. Submission Dates and Times
         A. Receipt and Review and Anticipated Start Dates
           1. Letter of Intent
         B. Sending an Application to the NIH
         C. Application Processing
    4. Intergovernmental Review
    5. Funding Restrictions
    6. Other Submission Requirements

  Section V. Application Review Information
    1. Criteria
    2. Review and Selection Process
         A. Additional Review Criteria
         B. Additional Review Considerations
         C. Sharing Research Data
         D. Sharing Research Resources
    3. Anticipated Announcement and Award Dates

  Section VI. Award Administration Information
    1. Award Notices
    2. Administrative and National Policy Requirements
        A. Cooperative Agreement Terms and Conditions of Award
          1. Principal Investigator Rights and Responsibilities
          2. NIH Responsibilities
          3. Collaborative Responsibilities
          4. Arbitration Process
    3. Reporting

  Section VII. Agency Contact(s)
    1. Scientific/Research Contact(s)
    2. Peer Review Contact(s)
    3. Financial/ Grants Management Contact(s)

  Section VIII. Other Information - Required Federal Citations

Part II - Full Text of Announcement
Section I. Funding Opportunity Description

1. Research Objectives

The purpose of this funding opportunity 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.

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 Principal Investigator also will be responsible for:

See Section VIII, Other Information – Required Federal Citations, for policies related to this announcement.

Section II. Award Information

1. Mechanism(s) of Support

This funding opportunity will use the S10 (SIG) award mechanism. As an applicant, you will be solely responsible for planning, directing, and executing the proposed project. 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.12/03), Allowability of Costs/Activities, Preaward (Preagreement) Costs, page 94]. Non-compliance with this policy automatically eliminates an applicant from eligibility for an award.

2. Funds Available

Although the financial plans of the IC(s) provide support for this program, awards pursuant to this funding opportunity are contingent upon the availability of funds and the receipt of a sufficient number of meritorious applications. Awards are for one year only. The anticipated start date is April 1, 2006.

Section III. Eligibility Information

1. Eligible Applicants

1.A. Eligible Institutions

You may submit an application if your institution has any of the following characteristics:

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.

1.B. Eligible Individuals

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.

2. Cost Sharing or Matching
Cost sharing is not required.

3. Other-Special Eligibility Criteria

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.

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 announcement and will be returned without review.

Section IV. Application and Submission Information

1. Address to Request Application Information

The PHS 398 application instructions are available at http://grants.nih.gov/grants/funding/phs398/phs398.html in an interactive format. Applicants should use the currently approved version of the PHS 398. For further assistance contact GrantsInfo, Telephone (301) 435-0714, Email: GrantsInfo@nih.gov.

Telecommunications for the hearing impaired: TTY 301-451-5936.

2. Content and Form of Application Submission

Applications must be prepared using the most current PHS 398 research grant application instructions and forms. Applications must have a D&B Data Universal Numbering System (DUNS) number as the universal identifier when applying for Federal grants or cooperative agreements. The D&B number can be obtained by calling (866) 705-5711 or through the web site at http://www.dnb.com/us/. The D&B number should be entered on line 11 of the face page of the PHS 398 form.

The title and number of this funding opportunity must be typed on line 2 of the face page of the application form and the YES box must be checked.

3. Submission Dates and Times
Applications must be received by March 22, 2005. Submission times N/A.

3.A. Receipt, Review and Anticipated Start Dates

Letter of Intent Receipt Date: Not applicable
Application Receipt Date(s): March 22, 2005
Peer Review Date: June-July, October-November
Council Review Date: September 15, 2005, January 19, 2006
Earliest Anticipated Start Date: April 1, 2006

3.A.1. Letter of Intent
A letter of intent is not required for the funding opportunity.

3.B. Sending an Application to the NIH

Applications must be prepared using the PHS 398 research grant application instructions and forms as described above. 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 (U.S. Postal Service Express or regular mail)
Bethesda, MD 20817 (for express/courier service; non-USPS service)

3.C. Application Processing

Applications must be received on or before the application receipt date described above (Section IV.3.A). If an application is received after that date, it will be returned to the applicant without review. Upon receipt, applications will be evaluated for completeness by CSR and responsiveness by NCRR.

The NIH will not accept any application in response to this funding opportunity that is essentially the same as one currently pending initial review unless the applicant withdraws the pending application. The NIH will not accept any application that is essentially the same as one already reviewed. This does not preclude the submission of a substantial revision of an application already reviewed, but such application must include an Introduction addressing the previous critique.

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

4. Intergovernmental Review
This initiative is not subject to intergovernmental review.

5. Funding Restrictions

All NIH awards are subject to the terms and conditions, cost principles, and other considerations described in the NIH Grants Policy Statement. The Grants Policy Statement can be found at http://grants.nih.gov/grants/policy/policy.htm (See also Section VI.3. Reporting)

Pre-Award Costs are allowable. A grantee may, at its own risk and without NIH prior approval, incur obligations and expenditures to cover costs up to 90 days before the beginning date of the initial budget period of a new or competing continuation award if such cost: are necessary to conduct the project, and would be allowable under the grant, if awarded, without NIH prior approval. If specific expenditures would otherwise require prior approval, the grantee must obtain NIH approval before incurring the cost. NIH prior approval is required for any costs to be incurred more than 90 days before the beginning date of the initial budget period of a new or competing continuation award.

The incurrence of pre-award costs in anticipation of a competing or non-competing award imposes no obligation on NIH either to make the award or to increase the amount of the approved budget if an award is made for less than the amount anticipated and is inadequate to cover the pre-award cost incurred. NIH such borrowing must not impair the grantee's ability to accomplish the project objectives in the approved time frame or in any way adversely affect the conduct of the project. See NIH Grants Policy Statement http://grants.nih.gov/archive/grants/policy/nihgps_2003/index.htm.

6. Other Submission Requirements

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). This requirement supercedes the instructions for the Other Support pages in the PHS 398.

1. Form Page 1 (Face Page)

Item 1. Name the type of instrument requested.

Item 4. Not applicable

Item 5. Not applicable

Item 6. The dates should be 04/01/06 through 03/31/07.

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)

4. 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 human or infectious materials, which could create a potential biohazard, are to be analyzed, funds for accessory containment equipment for the instrument may be requested in the budget. In this case, a signed letter from the institutional biosafety committee stating that they have reviewed the proposed containment plan and that the plan adheres to documented biosafety regulations, is required in the application.

5. 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).

Resources Format Page. Not applicable.

Other Support Format Page. Provide the requested information for each major user.

Research Plan

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:

Justification of Need

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. Such documentation should be expressed as hours of use, setup time, etc., per day or week, not simply as percentage of available time. Be specific and quantitative.

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. Individual projects that require a specific option or upgrade (e.g., a UV laser) should describe the specific studies that utilize this option. 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, train new users and ensure that it is operated safely.

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. Describe a plan for managing access to the instrument if users projects involve human subjects, animals or human of infectious materials. 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.

Plan for Sharing Research Data
Not Applicable.

Sharing Research Resources
Not Applicable.

Section V. Application Review Information

1. Criteria
Only the review criteria described below will be considered in the review process.

2. Review and Selection 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 PA 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:

In making funding decisions, the NCRR will give consideration to ensure program balance among various types of instruments supported and geographic distribution of awards.

Review Criteria:

Justification of Need:
Is the need for the instrument clearly and adequately justified? Is the equipment essential and appropriate?

Technical Expertise:

Does the institution have the technical expertise to make effective use of the requested equipment? How well qualified are the participating investigators to operate and maintain the instrument, conduct the projects, and evaluate the research results? How will new users be trained? How will biosafety procedures be implemented?

Research Projects:

Will research with the requested instrument advance the knowledge and understanding of the proposed projects? How would the research project of each major user be enhanced?

Administration:

Is the plan for the management and maintenance of the requested instrument appropriate? Is the membership of the advisory committee broadly based to oversee the use of the instrument for a wide range of biomedical investigators? How will research time be allocated among the projects? Are the sharing arrangements equitable? If needed, are the policies to manage human subject, animal or biohazardous materials projects adequate? Is the financial plan for long term operation and maintenance of the instrument reasonable?

Institutional Commitment:

What is the evidence of institutional commitment for continued support of the utilization and maintenance of the instrument? Is there appropriate documentation (letters from institutional officials)?

Overall Benefit:
Will the instrument requested benefit the overall research community and have a significant impact on NIH-funded research?

2.A. Additional Review Criteria
Not Applicable.

2.B. Additional Review Considerations

Budget: The reasonableness of the proposed budget and the requested period of support in relation to the proposed research. The priority score should not be affected by the evaluation of the budget.

2.C. Sharing Research Data
Not Applicable.

2.D. Sharing Research Resources
Not Applicable.

3. Anticipated Announcement and Award Dates
Not Applicable.

Section VI. Award Administration Information

1. Award Notices

After the peer review of the application is completed, the Principal Investigator will also receive a written critique called a Summary Statement.

A formal notification in the form of a Notice of Grant Award (NGA) will be provided to the applicant organization. The NGA signed by the grants management officer is the authorizing document.

Selection of an application for award is not an authorization to begin performance. Any costs incurred before receipt of the NGA are at the recipient's risk. These costs may be reimbursed only to the extent considered allowable pre-award costs. See also Section IV.5 Funding Restrictions.

The Notice of Grant Award will be sent to the authorized business official via e-mail or postally. 2. Administrative and National Policy Requirements All NIH grant and cooperative agreement awards include the NIH Grants Policy Statement as part of the notice of grant award. For these terms of award, see the NIH Grants Policy Statement Part II: Terms and Conditions of NIH Grant Awards, Subpart A: General (http://grants.nih.gov/archive/grants/policy/nihgps_2003/index.htm) and Part II Terms and Conditions of NIH Grant Awards, Subpart B: Terms and Conditions for Specific Types of Grants, Grantees, and Activities (http://grants.nih.gov/archive/grants/policy/nihgps_2003/index.htm).

2.A. Cooperative Agreement Terms and Conditions of Award
Not Applicable.

3. Reporting

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 Final Progress Report instructions are available at http://www.ncrr.nih.gov/biotech/btforms.asp.

Section VII. Agency Contacts

We encourage your inquiries concerning this funding opportunity 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:

1. Scientific/Research Contacts:

Marjorie A. Tingle, Ph.D.
Shared Instrumentation Grant Program
National Center for Research Resources
6701 Democracy Blvd, Bldg 1, Room 958 MSC 4874
Bethesda, MD 20892-4874 (courier service 20817)
Telephone: (301) 301-435-0772
Fax: (301) 480-3659
Email: SIG@mail.nih.gov

2. Peer Review Contacts:
Not applicable.

3. Financial or Grants Management Contacts:

Ms. Jenelle D. Wiggins
Office of Grants Management
National Center for Research Resources
6701 Democracy Blvd. Bldg 1, Room 1038 MSC 4874
Bethesda, MD 20892-4874 (courier service 20817)
Telephone: (301) 435-0843
Fax: (301) 480-3777
Email: JWiggins@mail.nih.gov

Section VIII. Other Information

Required Federal Citations

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 PA 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. 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.


Weekly TOC for this Announcement
NIH Funding Opportunities and Notices


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