NCRR HIGH END INSTRUMENTATION PROGRAM

RELEASE DATE:  May 29, 2003

RFA:  RR-03-009  

National Center for Research Resources (NCRR)
 (http://www.ncrr.nih.gov)

CATALOG OF FEDERAL DOMESTIC ASSISTANCE NUMBER:  93.389

LETTER OF INTENT RECEIPT DATE:  August 15, 2003

APPLICATION RECEIPT DATE:  September 19, 2003  

THIS RFA CONTAINS THE FOLLOWING INFORMATION

o   Purpose of this RFA
o   Research Objectives
o   Mechanism(s) of Support
o   Funds Available
o   Eligible Institutions
o   Individuals Eligible to Become Principal Investigators
o   Where to Send Inquiries
o   Letter of Intent
o   Submitting an Application
o   Peer Review Process
o   Review Criteria
o   Receipt and Review Schedule
o   Award Criteria
o   Required Federal Citations

PURPOSE

In recognition of the need for and advantages of continuing investment in 
new instrumentation for the advancement of biomedical research, the 
National Center for Research Resources (NCRR) is reissuing the High End 
Instrumentation (HEI) Program for the support of research 
instrumentation.  Awards will be made for up to a maximum of $2.0 million 
in direct costs for a single major item of equipment.  Instruments in 
this category include, but are not limited to, structural and functional 
imaging systems, macromolecular NMR spectrometers, high-resolution mass 
spectrometers, electron microscopes, and supercomputers.

RESEARCH OBJECTIVES

With advances in technological development, biomedical scientists require 
ever more powerful tools for their research.  As new instruments with 
enhanced performance become available, their importance for research 
increases along with the costs.  Although the Shared Instrumentation 
Grant Program (SIG) provides a cost-effective mechanism for groups of NIH 
supported investigators to obtain commercially available equipment 
costing between $100,000 and $500,000, there is a continuing need for an 
NIH program that provides expensive, high-end instruments to the broad 
community of basic and clinical scientists.  To meet the demands of the 
community, the NCRR initiated this HEI program in FY 2002 to support 
expensive, high-end instruments.

Examples of key instruments in this category include but are not limited 
to:

Biomedical Imagers:  The boundaries of imaging technology have been 
extended to acquire functional, biochemical and physiological information 
in intact biological systems including humans.  This has led to an 
increased demand for multinuclear spectroscopy and functional magnetic 
resonance and PET imaging instruments.

Nuclear Magnetic Resonance Spectrometers:  There is a significant demand 
for increased sensitivity and resolution of high-field NMR spectrometers 
to determine three-dimensional structures of large proteins and protein 
complexes in extremely small samples.  This need is magnified by the 
extended run time for data collection at lower fields, which limits 
access to these instruments.  

Mass Spectrometers:  Instruments that combine electrospray ionization 
with Fourier transform ion cyclotron resonance (FTICR) mass spectrometry 
are now available.  The FTICR methods provide very high resolution and 
accurate molecular weight measurement to study large biopolymers and 
their interactions.

Electron Microscopes:  The frontier of cell biology now focuses on 
elucidating the nature and function of cell organelles and the role of 
complex protein machines.  Such studies require intermediate voltage 
electron microscopes with field emission illumination for high resolution 
imaging of single molecules.  Such microscopes are also needed to perform 
computer reconstruction at the subnanometer scale for macromolecular 
assemblies that are too large and complex to study by x-ray 
crystallography and NMR spectroscopy.

Supercomputers:  Computational biologists require computers or clusters 
of computers with high-performance visualization hardware, parallel 
architectures, and large data storage and transfer capabilities at 
increased speed.  Applications for general use computer networks will not 
be accepted.  Application for synchrotron equipment, with the exception 
of detectors, will not be accepted.

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.  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 
institutions may also be included.

It is expected that most of the equipment requested in the HEI Program 
will be of a specialized nature and will require a high level of 
technical expertise to operate the instrument and conduct experiments.  
Therefore, for the requested instrument to be used effectively and to 
avoid abuse of instrumentation, which frequently occurs in an open access 
environment, the bulk of the research time may have to be reserved for a 
few investigators.  Alternatively, some type of instruments might be 
accessed by the research community through collaborations with 
appropriate investigators.  Other types of instruments requested may not 
be as dedicated and will serve a broadly diversified biomedical 
community.  In any case, priority for instrument use should be given to 
NIH-supported scientists engaged in biomedical/behavioral research.

The Principal Investigator must be able to assume administrative and 
scientific oversight responsibility for the instrument requested.
  
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 
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 a description of the value of the instrument to 
the investigators and to the institution as a whole.

MECHANISM OF SUPPORT

This RFA will use the National Institutes of Health (NIH) S10 mechanism.  
The program will assist in the acquisition of major research equipment 
that is too costly for support through the (SIG) program.  Awards will be 
made for the direct cost of the instrument only.  No indirect costs are 
provided.  Matching funds are not required; however, commitment of an 
appropriate level of institutional support to insure the associated 
infrastructure is expected (building alterations, or renovations, post-
award service contracts and technical personnel).  Support for operation 
and maintenance and trained personnel may also be obtained from the 
research project grants of the users or supplements to them.  The 
anticipated award date is July 1, 2004.

The program will provide 12-month, nonrenewable awards up to a maximum of 
$2.0 million.  Only one major item of equipment can be requested per 
application.  Supplemental applications will not be accepted.  Although 
the focus of the HEI Program is on a new generation of instruments that 
cost over $1.0 Million, the floor for the program has been set at 
$750,000.  Applications for routine instruments such as mid-field NMR 
spectrometers, multi-photon microscopes and other applications for 
requests totaling over $750,000 which are the result of an overestimation 
of price and/or an excessive number of accessories, will be returned as 
not being responsive.  Identical or very similar applications may not be 
submitted to the SIG Program and the HEI Program.  However, a revised 
application based on a previously reviewed SIG submission may be 
submitted to the HEI program.  In order to submit a revised application, 
the investigator must have received the summary statement from the 
previous review and must address the criticisms raised, in the 
Introduction.  An institution may submit more than one application, but 
the instruments requested should be substantially different.  It is 
anticipated that only a few grants will be awarded in a given 
technological area.  Generally, if the funds requested do not cover the 
total cost of the instrument, documentation of the availability of the 
remainder of the funding, signed by an appropriate institutional 
official, must be submitted to NCRR prior to issuance of an award.

FUNDS AVAILABLE

The NCRR intends to commit approximately $22M in FY 2004 to fund 
approximately 11 to 16 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 
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

Foreign institutions are not eligible to apply.

Under the general research support authority of Section 301(a)(3) of the 
Public Health Service Act, High End 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.
Since this program interfaces with other programs, it is strongly urged 
that applicants contact the staff person in the Division of Biomedical 
Technology of NCRR before submitting a proposal.

INDIVIDUALS ELIGIBLE TO BECOME PRICIPAL INVESTIGATORS

Any individual with 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 encourage to apply for NIH programs.

Although it is not required, it is strongly recommended that the 
Principal Investigator be a scientist with expertise in the unique 
technical area.  It is not required that the Principal Investigator be an 
NIH awardee.

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, and financial or grants management 
issues:

o   Direct your questions about programmatic or scientific issues to:

Marjorie A. Tingle, Ph.D
High End Instrumentation Grant Program
National Center for Research Resources
1 Democracy Building, Room 958
6701 Democracy Boulevard, MSC 4874
Bethesda, MD 20892-4874
Telephone:  (301) 435-0772
FAX:  (301) 480-3659
Email:  HEI@mail.nih.gov

o   Direct your questions about financial or grants management matters to:

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

LETTER OF INTENT

Prospective applicants are asked to submit a letter of intent that 
includes the following information:

o   Descriptive title of the proposed research
o   Name, address, and telephone number of the Principal Investigator
o   Names of other key personnel
o   Participating institutions
o   Number and title of this RFA

Although a letter of intent is not required, is not binding, and does not 
enter into the review of a subsequent application, the information that 
it contains allows IC staff to estimate the potential review workload and 
plan the review.

The letter of intent is to be sent by the date listed at the beginning of 
this document.  The letter of intent should be sent to:

Marjorie A. Tingle, Ph.D
Program Director
High End Instrumentation Grant Program
National Center for Research Resources
1 Democracy Building, Room 958
6701 Democracy Boulevard, MSC 4874
Bethesda, MD 20892-4874
Telephone:  (301) 435-0772
Fax:  (301) 480-3659
Email:  HEI@mail.nih.gov

SUBMITTING AND 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/phs398.html in 
an interactive format.  For further assistance contact Grants Info, 
Telephone (301) 435-0714.  Email:  GrantsInfo@nih.gov

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).  This requirement 
supercedes the instructions for the Other Support pages in the PHS398.

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 07/01/04 through 06/30/05

Item 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 other 
participating investigators. 

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 form 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).  

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 
participating investigator.

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 and the significance of the technology 
to biomedical research.  For a new generation instrument present the 
design concept, rationale and development methods in sufficient detail to 
allow evaluation of its technical feasibility.  Inventory current and 
related instrumentation at the applicant institution or nearby 
institutions and describe why they are unavailable or inappropriate for 
the proposed research.  Provide a clear justification why a new 
instrumentation, including accessories is needed.  Include specific 
documentation on the current usage and downtime of existing instruments 
and a realistic estimate of the projected usage of the requested 
instrument.

Research Projects

Give a brief description of the users' focusing on the benefit of the 
instrument to the research objectives of each user.  Sufficient technical 
detail (results of preliminary data and/or supplemental information) 
should be included to evaluate whether the instrument requested 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 users' 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) after 
resources.

Technical Expertise

Describe the technical expertise available at the applicant institution 
to set up, run and maintain the instrument.  Specify how and by whom the 
instrumentation will be operated and maintained.  Are there any 
collaborations between disciplinary and interdisciplinary scientists for 
developing the technical aspects of the instrumentation?  Outline the 
roles of the technical staff in training new users and in facilitating 
the adoption of these state-of-the-art techniques in the users' research 
programs.

Institutional Commitment

Explain how the requested instrumentation will contribute to the 
institution's biomedical research goals.   Describe the institutional 
infrastructure (space, environment and utilities) available to support 
the instrumentation.  Indicate if the institution has any history of 
making technology available and for keeping instruments in top operating 
condition.

Administration of the Instrument

Describe the organizational plan for administering the grant.  Include 
how the instrument will be utilized, how request are made, how time will 
be allocated to competing research projects and how schedules are posted.  
How will the results obtained be disseminated broadly to enhance 
scientific understanding?  What are the plans for attracting new users?  
Include the names and titles of members of local and/or external advisory 
committees to oversee its use.  Describe the role and responsibility of 
the advisory committee(s) in developing policies and procedures to assure 
equitable use of the instrument time and their meeting schedules.  

Financial Administration

Provide a financial plan for long-term operation of the instrument.  
Specify how and by whom the requested instrumentation will be operated 
and maintained.  Pertinent data on user charges, salaries of technical 
support personnel, maintenance contracts, instrument upgrades, shop 
charges and other expenses, should be included.  Specify the plans for 
fully funding the instrument.  Specify the sources and amounts of cost 
sharing funds (private, state or institutional funds) and a projection of 
when they will be available.  Give a time frame or prospects for delivery 
of the instrument.  Provide documentation (separate letters signed by 
appropriate institutional officials) specifically describing the 
institutional commitment (in dollars) in support of the instrument.

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 AN APPLICATION TO 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 on or before the 
application receipt date listed in the heading of this RFA.  If an 
application is received after that date, it will be returned to the 
applicant without review.

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

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.  This does not preclude the submission of substantial 
revisions of applications already reviewed, but such applications must 
include the Introduction addressing the previous critique.

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   Justification of Need:
Is the need for the instrument clearly and adequately justified?  Is the 
equipment essential and appropriate?  Will the instrument requested have 
a significant impact on biomedical/behavorial research and contribute to 
the advancement of human health?

o   Technical Expertise:
Does the institution have the high-level technical expertise and access 
to the necessary infrastructure 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?  Are there collaborations in place between 
disciplinary and interdisciplinary scientists?

o   Research Projects:
Will research with the requested instrument advance the knowledge and 
understanding of the proposed projects?  Will the results be disseminated 
broadly to enhance scientific and technological understanding?  Are there 
appropriate plans in place for record keeping and bioinformatics?

o   Institutional Commitment:
What is the evidence of institutional commitment to support the 
instrument?  Is institutional infrastructure (technical support, space, 
environment and utilities) available to support the instrument?  Is there 
an institutional track record for making technology available?

o   Administration:
Is the plan for the management and maintenance of the requested 
instrument appropriate?  Are there plans for maximizing the effectiveness 
of the investment in instrumentation?  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?

o   Financial Plan:
Is the financial plan for fully funding the purchase and long-term 
operation and maintenance of the instrument reasonable?  Is there 
appropriate documentation (letters from institutional officials)? 
advisory committee for oversight of the instrument including sharing 
arrangements.

ADDITIONAL CONSIDERATIONS

BUDGET:  The reasonableness of the proposed budget and the requested 
period of support in relation to the proposed research.

RECEIPT AND REVIEW SCHEDULE

Letter of Intent Receipt Date:  August 15, 2003
Application Receipt Date:  September 19, 2003
Peer Review Date:  February/March 2004
Council Review:  May 2004
Earliest Anticipated Start Date:  September 2004

AWARD CRITERIA

In making funding decisions, the NCRR will give consideration to:

o   Scientific merit (as determined by peer review)
o   Availability of funds
o   Programmatic priorities

REQUIRED FEDERAL CITIATIONS

URLs IN NIH GRANT APPLICATIONS OR APPENDICIES:  All applications and 
proposals for NIH funding must be self-contained within specified page 
limitations.  Unless otherwise specified in all NIH solicitation, 
Internet address (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 
"Health 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 REGUALATIONS:  This program is described in the Catalog of 
Federal Domestic Assistance NO.93.389, 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, daycare, 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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