Full Text PAR-97-020
NIH GUIDE, Volume 25, Number 44, December 20, 1996
PA NUMBER:  PAR-97-020
P.T. 34

  Instrumentation, Medical 
  Instrumentation, Scientific 

National Center for Research Resources
Application Receipt Date:  March 26, 1997
The National Center for Research Resources (NCRR) is continuing its
competitive Shared Instrumentation Grant (SIG) Program initiated in
Fiscal Year 1982.  The (1996) National Report on Academic Research
Equipment and Equipment Needs for Biological Sciences, co-sponsored
by the National Institutes of Health (NIH) and the National Science
Foundation (NSF), identified research equipment of the type provided
through this program as top-priority.  The objective of the program
is to make available to institutions with a high concentration of
NIH-supported biomedical investigators expensive research instruments
which can only be justified on a shared-use basis and for which
meritorious research projects are described.  Awards under this
Program Announcement (PA) will use the Shared Instrumentation Grant
mechanism (S10).
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 institutions only.  For purposes of
these guidelines, an "institution" is defined as the organizational
component identified on page 1, item 11 of the  PHS 398 (rev. 5/95),
for which descriptive information is provided on page 9-10 in the PHS
398 kit.  These institutions include health professional schools,
other academic institutions, hospitals, health departments, and
research organizations. Federal institutions, foreign institutions,
and for-profit institutions are not eligible to apply.  Racial/ethnic
minority individuals, women, and persons with disabilities are
encouraged to apply as Principal Investigators.
An eligible institution may submit more than one application for
different instrumentation for the March 26, 1997, deadline.  However,
if several applications are submitted for similar instrumentation
from one or more eligible institutions on the same campus of a
university, documentation from a high administrative official must be
provided stating that this is not an unintended duplication but part
of a campus- wide institutional plan.
Shared Instrumentation Grants (S10) provide support for expensive
state-of-the-art instruments utilized in both basic and clinical
research. Applications are limited to instruments that cost at least
$100,000 per instrument or system.  The maximum award is $400,000.
Because the nature and scope of the instruments that may be requested
will vary, it is anticipated that the size of an award will vary
This program is designed to meet the special problems of acquisition
and updating of expensive shared-use instruments which are 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 microscopes, mass
spectrometers, protein sequencer / amino acid analyzers, x-ray
diffractometers, and cell sorters.  Support will not be provided for
general purpose equipment or purely instructional equipment, personal
computers, personal work stations, 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.
Awards will be made for the direct costs of the acquisition of new,
or the updating of existing, research instruments.  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 $400,000.
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 indirect 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 sources(s)
of funding for the balance of the cost of the instrument.
Documentation of the availability of the remainder of the funding,
signed by an appropriate institutional official, must be presented to
NCRR prior to the issuance of an award.  Requests for a multiple
instrument purchase totaling over $400,000 must specify and justify
which instrument(s) should be supported within the $400,000 ceiling.
Applicants proposing the direct purchase of an instrument that the
institution has secured or is planning to secure via a leasing
agreement are strongly encouraged to consult with their institutional
sponsored projects office regarding applicable PHS 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.
Since the intent of the program is to promote sharing, 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,
R29, R35, and R37.  The application must show a clear need for the
instrumentation by projects supported by multiple NIH research awards
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
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. These
users need not be NIH awardees, but priority should be given to
NIH-supported scientists engaged in biomedical/behavioral research.
To encourage optimal sharing among individual investigators, research
groups, and departments, and to foster a collaborative
multidisciplinary environment, instruments should be integrated into
central core facilities, whenever possible.
Each applicant institution must propose a Principal Investigator who
can assume administrative/scientific oversight responsibility for the
instrumentation requested.  An internal advisory committee to assist
in this responsibility should also be utilized.  The Principal
Investigator and the advisory group are responsible for the
development of guidelines for shared use of the instrument, for
preparation of all reports required by the NIH, for relocation of the
instrument within the grantee institution if the major user group is
significantly altered, and for continued support for the maximum
utilization and maintenance of the instrument in the post-award
A plan should be proposed for the day-to-day management of the
instrument including designation of a qualified individual to
supervise the operation of the instrument and to provide technical
expertise to the users.  Specific plans for sharing arrangements and
for monitoring the use of the instrument should be described.  If a
grant award is made, a final progress report is required that
describes the use of the instrument, listing all users and indicating
the value of the instrumentation to the research of the major users
and to the institution as a whole.  This report is due within 90 days
following the end of the project period.
Applications are to be submitted on the grant application form PHS
398 (rev. 5/95).  Application kits are available at most
institutional offices of sponsored research and may be obtained from
the Office of Extramural Outreach and Information Resources, 6701
Rockledge Drive, MSC 7910, Bethesda, MD 20892-7910, telephone (301)
710-0267, email: asknih@odrockm1.od.nih.gov.
1.  Form page 1 (Face page of the application) -
Item 1.  Name the type of instrument requested.  (Note in bold type
at the bottom of the face page if a duplicate application has been
sent to NSF or to another organization or agency.)
Item 2.  Check the box marked "YES" and enter the title and number of
this program announcement.
Item 4.  If human subjects are involved in the research, follow the
instructions for completing Item 4 on the Face Page of Form PHS 398,
certifying that an Institutional Review Board (IRB) approved by PHS
has reviewed and approved the protocols involving human subjects.  If
the protocols are ongoing and have already received prior IRB review
and approval within one year of the submission date of this
application, then additional IRB review is not necessary. However,
this fact must be noted in Item 4 on the Face Page, and, if space is
insufficient, the date(s) of prior IRB review and approval of each
protocol involving human subjects should be listed in the "Research
Item 5.  If live vertebrate animals are involved in the research,
follow the instructions for completing Item 5 on the Face Page of
Form PHS 398, verifying that an Institutional Animal Care and Use
Committee (IACUC) approved by PHS (OPRR) has reviewed and approved
the protocols involving animals.  If the protocols are ongoing and
have already received prior IACUC review and approval within three
years of the submission date of this application, then additional
IACUC review is not necessary.  However, this fact must be noted in
Item 5 on the Face Page and, if space is insufficient, the date(s) of
prior IACUC review and approval of each protocol involving animals
should be listed in the "Research Plan."
Item 6.  Write in 04/01/98 through 03/31/99.
Item 8A.  Use this block to give the total amount requested from NCRR
for this instrument or system.
Item 11.  Insert the appropriate code identification.
2.  Form page 2.  Complete the abstract as directed.  Under "Key
Personnel," give data on the Principal Investigator and the major
user group as required.
3.  Form page 4.  Describe the instrument requested including
manufacturer and model number.  The model chosen should be justified
by comparing its performance with other available instruments.
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.
4.  Form page 5.  Budget Estimates for All Years.  Not applicable; do
not complete.
5.  Form page 6 - Biographical Sketch.  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 2 pages for each individual.
6.  Form page 7 - Other Support.  Provide the requested information
for each major user and for each application for the same
instrumentation sent to NSF or another organization or agency.
7.  Form page 8 - Resources.  Not applicable; do not complete.
8.  Research Plan section of the application.  (If this is a revised
application, note the special instructions on page 15 in the PHS 398
kit regarding completion of this section of the application.)
Provide information relative to the points identified under criteria
for review including:
a.  Inventory similar instruments existing at the institution or
otherwise accessible; describe why they are unavailable or
inappropriate for the proposed research and provide a clear
justification why new or updated equipment is needed, including
accessories.  Include specific documentation on the current usage of
existing instruments and a realistic estimate of the projected usage
for the requested instrument.
b.   Since the projects of the major users have been previously peer
reviewed, the project descriptions should be brief and focused on a
clear explanation of how the requested instrument would be utilized
to enhance the progress or expand the scope of the ongoing funded
research.  Descriptions should not exceed two pages per user.
Sufficient technical detail (preliminary data and/or supplemental
information) should be included to evaluate whether the instrument is
appropriate, would be effectively employed, and would provide
advantages over other methods.  The needs of the research projects
should be clearly tied to the requested instrument and should
indicate the benefit of the instrument to the research objectives of
each major user.  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. List the page number of this table under "Table of
Contents" (Form page 3) after "Resources".   Make a separate table to
indicate the major users' needs for requested accessories.  If
possible, each user should highlight those publications that
demonstrate the user's expertise in using the requested
c.  Describe the organizational plan to administer the grant.
Include membership of the  advisory committee, policies and
procedures for assuring use and equitable sharing of the instrument
and plans for including minor or outside users.
d.  Submit a specific plan for long-term operation and maintenance of
the instrument.  Provide documentation (e.g., separate letters signed
by appropriate institutional officials) describing the required
institutional commitment in support of the proposed plan.
Applications must be received by March 26, 1997.  Applications
received after this date will not be accepted for review in this
competition and will be returned to the applicant.  The completed,
signed original and four exact photocopies of the signed application
and any appendix material* must be sent to:
6701 ROCKLEDGE DRIVE, ROOM 1040 - MSC 7710
BETHESDA, MD  20892-7710
BETHESDA, MD  20817 (for express/courier service)
One copy of the application and appendix material must be addressed
Shared Instrumentation Program
Biomedical Technology
National Center for Research Resources
6705 Rockledge Drive, Room 6154 - MSC 7965
Bethesda, MD  20892-7965
Applications that are complete and responsive to the program
announcement will be evaluated for scientific and technical merit by
an appropriate peer review group convened in accordance with NIH peer
review procedures.  As part of the initial merit review, all
applications will receive a written critique and may undergo a
process in which only those applications deemed to have the highest
scientific merit, generally the top half of applications under
review, will be discussed, assigned a priority score, and receive a
second level review by the National Advisory Research Resources
Council, NCRR.
Applications are reviewed by specially convened initial review groups
of the Division of Research Grants (DRG) for scientific and technical
merit and for program considerations by the National Advisory
Research Resources Council (NARRC) of the NCRR.  Approximately half
of the applications will be reviewed at the September 1997 NARRC
meeting and the remainder at the NARRC meeting in February 1998.
Funding decisions on all applications received for the March 26,
1997, deadline will not be made until the program receives an
appropriation for FY 1998.  The Council date will not affect funding
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 NIH  for the March
26 (SIG) 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 of $400,000.  Applicants contemplating joint NIH-NSF
submission are strongly urged to contact both the NSF Division of
Biological Infrastructure [NSF contact: Dr. Karl A. Koehler
703-306-1472; kkoehler@NSF.gov] and the NCRR SIG Program [Dr.
Marjorie A. Tingle 301-435-0772; SIG@EP.NCRR.NIH.GOV] for information
concerning eligibility and required documentation.
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.
In making funding decisions, the NCRR will give consideration to
ensure program balance among various types of instruments supported
and/or geographic distribution of awards.
Inquiries are encouraged.  The opportunity to clarify any issues or
questions from potential applicants is welcome.
Direct inquiries regarding programmatic or scientific issues to:
Marjorie A. Tingle, Ph.D.
Shared Instrumentation Grant Program
National Center for Research Resources
6705 Rockledge Drive, Room 6154, MSC 7965
Bethesda, MD  20892-7965
Telephone:  (301) 435-0772
FAX:  (301) 480-3659
Direct inquiries regarding fiscal matters to:
Ms. Carmen Herbert
Office of Grants and Contracts Management
National Center for Research Resources
6705 Rockledge Drive, Room 6205, MSC 7965
Bethesda, MD  20892-7965
Telephone:  (301) 435-0837
Email:  CarmenH@ep.ncrr.nih.gov
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, Titles III and
IV, (Public Law 78-410, as amended by Public Law 99-158, 42 USC 241
and 287) and administered under PHS 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 PHS 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 PHS
mission to protect and advance the physical and mental health of the
American people.

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