Release Date:  July 25, 2000 (see replacement PAR-03-077)

PA NUMBER:  PAR-00-124

National Center for Research Resources

Application Receipt Dates:  October 1, 2000 for FY 2001 awards; thereafter,
 June 1, annually


The National Center for Research Resources (NCRR) encourages the submission 
of individual animal resource improvement grant applications from biomedical 
research institutions.  The major objective of this program is to upgrade 
animal facilities to support the conduct of Public Health Service (PHS) 
supported biomedical and behavioral research.  A related objective is to
assist institutions in complying with the USDA Animal Welfare Act and DHHS 
policies related to the care and use of laboratory animals.  Support is 
limited to alterations and renovations (A&R) to improve laboratory animal 
facilities, and the purchase of major equipment items for animal resources, 
diagnostic laboratories, transgenic animal resources, or similar associated 


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 Program Announcement 
(PA), Developing and Improving Institutional Animal Resources, is related to 
one or more of the priority areas. Potential applicants may obtain a copy of 
"Healthy People 2010" at


Any domestic public or private institution, organization, or association is 
eligible to apply for this grant if the institution has one or more research 
projects currently supported by the PHS that involve the use of laboratory 
animals.  Institutions and commercial firms providing only services or 
products and without a clearly defined animal related research component are 
not eligible to apply.  Also, this program will not support requests for 
equipment used for teaching purposes and for housing non-research animals.  
Applications from other Federal agencies or institutions (e.g., Department of 
Veterans Affairs) are limited to requests for equipment only.  Applicants may 
not submit more than one application or apply for other NCRR support for 
developing and improving institutional animal resources in the same Federal 
fiscal year.

For purposes of these guidelines, an "institution" is defined as the 
organizational component identified on page 1, item 11 of the PHS 398 (rev. 
4/98), for which descriptive information is provided on page 9 in the grant 
application form PHS 398 kit.  Separate applications may be submitted from 
different colleges or schools on the same campus of a university within the 
same Federal fiscal year if they have different organizational component 
codes.  If this is done, documentation from an appropriate institutional 
official, stating that the applications are part of a coordinated, campus-
wide plan to improve the animal facilities, must be provided as part of the 
applications.  The applicant institution is strongly encouraged to develop a 
single application for a campus-wide program with a single, centralized 
animal care program whenever possible or feasible.


The mechanism available for the support of these improvement projects is the 
Grant for Repair, Renovation, and Modernization of Existing Research 
Facilities (G20).  The total budget request for the improvement grant 
application and award is limited to $700,000 (direct costs), of which not 
more than $200,000 may be used for moveable equipment.  The entire $700,000 
request may be used for renovation, repair or modernizing the facility and no 
funds targeted for equipment.  This is a change from past announcements.  
Facilities and administrative costs are not provided.  Matching funds from 
non-Federal sources are required, equal to or exceeding one-half of the total 
allowable costs (equipment and A&R) of the requested project ($1 Federal to 
$1 non-Federal).  These matching funds must be applied to the specific 
project described in the application and cannot be met by citing other 
expenditures.  The requirement for matching funds does not apply to Regional 
Primate Resource Centers (RPRCs) or to Minority Graduate and Health 
Profession Schools.

Since the nature and scope of the projects proposed in response to this PA 
might vary, it is anticipated that the size of an award will vary also.

Allowable Costs

Items that may be requested under this grant mechanism include:

o  A&R to improve existing laboratory animal facilities, and allowable fees 
associated with the A&R project.
o  Major resource equipment related to the improvement project, such as 
animal cage systems and cage washers.
o  Equipment items, or an aggregate of identical equipment items, that have a 
total cost of $5,000 (or lower, depending on the institution's definition for 
equipment).  Items that are part of a system and require the purchase of 
small component parts (e.g., a rack and cages or microisolator units) may be 
requested and priced as a single item.  A description of the individual 
components of such systems must be provided.
o  General-purpose equipment items for centralized surgeries, diagnostic 
laboratories, transgenic animal facilities, and other similar associated 
activities when they are an integral part of the animal facility and 
available to all investigators. 
o  Basic equipment such as microscopes necessary for operation of the 
o  Environmental monitoring systems.  However, if such a system has multiple 
uses (e.g., the monitoring of research data), only those costs related to 
monitoring or providing for animal care (e.g., environmental monitoring or 
security) are allowable.

Improvement grants are not intended to provide support for:

o  General operational support for the resource (e.g., funding for personnel 
or consumable supplies for routine animal care).
o  Specialized research equipment or facilities for use by only a few 
o  New construction, including the completion of shell space.
o  Equipment intended for teaching or non-research purposes.
o  Office and research equipment, computers or data processing items.


Animal resource improvement grants are awarded to assist biomedical research 
institutions in upgrading animal facilities and developing administratively 
centralized and uniformly effective programs of research animal care in 
support of PHS-funded research.  Another major objective is to assist 
institutions in complying, and maintaining compliance, with provisions of the 
USDA Animal Welfare Act and DHHS policies related to the care and use of 
laboratory animals.


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. Reviewers are cautioned that their anonymity may 
be compromised when they directly access an Internet site.


Applications are to be submitted on the grant application form PHS 398 (rev. 
4/98).  There is one receipt date per year on October 1 for 2000, then June 1 
thereafter.  Application kits may be obtained from the institution's office 
of sponsored research and from the Division of Extramural Outreach and 
Information Resources, National Institutes of Health, 6701 Rockledge Drive, 
MSC 7910, Bethesda, MD 20892-7910 Telephone: (301) 435-0714, FAX: (301) 480-
0525, email:

Application kits are also available on the internet at:

Prospective applicants are encouraged to review the NIH Grants Policy 
Statement (rev. 10/98) sections dealing with alterations and renovations and 
equipment prior to completing the PHS 398 form.

Applications must follow the instructions provided in the form PHS 398 kit, 
except for the following:

Form Page 1:

Item 2 - Check the box marked "YES" and type in the number and title of this 
program announcement.

Item 5 - Check the box marked "No" at Item 5a.  Item 5b - Not applicable.

Item 6 - The initial budget is for one year.

Form Page 2:

Personnel - Only key personnel, investigators who will use the proposed 
facilities, the principal investigator and the program director should be 
listed here although salary support may not be requested.  This must include 
the chief or consulting veterinarian.

Form Page 4: Detailed Budget for Initial Budget Period

Personnel Category - List only key individuals, and complete columns 1-4; 
salary support should not be requested.

The total cost of the equipment and A&R needed should be entered in the 
rectangular space under the appropriate headings on the left. Equipment 
should be classified as movable or fixed, using the institution's own 
classification guidelines.  Fixed equipment is considered as part of the A&R 
request.  The right hand column should reflect only the PHS request.  The 
Total Direct Costs (bottom right hand column total) should be the total 
request to the PHS.  The total request for PHS support may not exceed 
$700,000, direct costs.  This total may include a request for moveable 
equipment not exceeding $200,000.

Form Page 5 - Budget for Entire Proposed Project Period - Not applicable (do 
not complete this section).

A cost estimate should be provided, and placed after Form Page 4. This 
estimate should detail:

1.  For moveable equipment, the dollar request from NIH, amount to be funded 
from other sources, and total cost.
2.  For eligible A&R and fixed equipment costs, the dollar request from NIH, 
amount to be funded from other sources, and total cost.
3.  For total project cost, the dollar request from NIH, amount to be funded 
from other sources, and total cost. Indicate the source for funding from 
other sources.
4.  For alterations and renovations requests, list separately the projected 
costs of (a) Demolition; (b) General; (c) Plumbing; (d) HVAC; (e) Electrical; 
(f) Architect/Engineer Fee; (g) Other Costs (Specify); and (h) Fixed 
Equipment, with the total eligible A&R costs listed.  If multiple sites are 
involved, the A&R and cost estimates should be described separately for each 
site.  List the total net square feet of floor space to be renovated and the
estimated cost per net sq. ft., excluding fixed equipment.

Additional Form Pages

Biographical Sketch Page - Provide a biographical sketch for key personnel 
who will use the proposed facilities, the principal investigator and the 
program director.  Do not exceed the two-page limitation for each.
Other Support Page - Provide the information requested for all key personnel 
listed above.

Specific Instructions - Research Plan

The following instructions should be used in lieu of the PHS 398 instructions 
for this section of the application; however, revised applications must 
include an introduction addressing criticisms and must highlight changes in 
the application as described in the instructions for PHS 398.  The Research
Plan section of the application (Items A-D) must strictly adhere to a limit 
of 25 pages. The outline suggested below should be followed in describing the 
program.  All information critical to the review must be in the Research 
Plan, not in an appendix.

A.  Specific Aims - Clearly present the aims of the animal resource 
improvement project and relate them to the short- and long-term goals of the 
institution's animal resource program, and the research needs of the 

B.  Background and Significance - This section should address the overall 
animal care and use program and the need for improvements to meet current and 
future laboratory animal needs for biomedical research.


Provide an overall description of the institution's animal care and use 
program. Give relevant background information and describe the current status 
of the institution's animal resource facilities and program as they relate to 
biomedical research and research training. Describe the institution's overall 
involvement in animal-related research.  This section should include a 
description of the following aspects of the animal resource:

1.  Administrative arrangements and structure of the animal resource – The 
lines of authority and responsibility for administering the institution's 
animal care and use program should be clearly presented. The role and 
composition of the Institutional Animal Care and Use Committee (IACUC) and 
how compliance with relevant laws, policies, and guidelines is achieved 
should be included.

2.  Animal care procedures and the animal health program - This section 
should describe housing, caging, feeding, record keeping, sanitation, and 
other animal care practices; animal health program which includes clinical 
services, laboratory support, preventive medicine programs, and any relevant 
specialized procedures; veterinary oversight; vendor surveillance;  
conditioning programs; colony and environmental monitoring; and diagnostic 
capabilities in anatomic pathology, clinical chemistry, hematology, and 
microbiology. Data should be provided to characterize the extent of these 
activities, such as numbers of laboratory procedures for monitoring animal 
health, veterinary inspections for animal health, etc.  If specialized 
equipment items are requested, the husbandry program to utilize this 
equipment should be outlined.

3.  Staffing - Outline the total staff and organization of the animal 
resource, both currently in place and as planned following the requested 
improvements.  Briefly describe the qualifications of the animal care staff 
and the training opportunities available to them.

4.  Animal Program Data - Indicate the number of animals (by species) used or 
produced per year and the average daily census (by species) for each 
facility.  Provide a brief description of all on-campus and off-campus animal 
facilities, including sites where experimental surgery is performed.  
Indicate who manages each facility.  Indicate whether the institution is 
accredited by the American Association for Accreditation of Laboratory Animal 
Care (AAALAC). If equipment is requested for surgical or diagnostic 
facilities, the caseload, species, types and numbers of surgeries or 
diagnostic tests must be documented.

5.  Animal Program Funding - Provide, for the most recently completed Federal 
fiscal year information on:  (1) Investigators currently using the facility, 
including types of animals involved and level of usage; (2) the institution's 
total number and total direct costs of research projects using laboratory 
animals, indicating separately the number and costs of those funded from PHS 
and non-PHS sources; (3) for facilities for which improvement support is 
requested, list by facility name the number of research projects and total 
direct costs of the projects relevant to each.

List all current financial support for the animal resource, including sources 
and amounts (e.g., recharge, core funding from the institution, etc.) and the 
annual operating budget (listed by major categories).  Provide a copy of per 
diem and service charge schedules and indicate their method of determination 
(this information may be included in an Appendix).

6.  Previous and Future Improvements - Expenditures for capital improvements 
(facilities and equipment) during the past five years and future plans for 
meeting such needs should be described.  Any previous support for improvement 
of the institution's animal facilities from the NCRR, NIH should be noted.  
The use of this support and its impact on the animal care program should be 
briefly described.

7.  Program Needs - List deficiencies in the animal care program that have 
been cited by the AAALAC, the IACUC facility review reports, and the 
institution's PHS Animal Welfare Assurance Statement.  Any problems in 
meeting the provisions of the Animal Welfare Act should also be addressed.

8.  Funding – Provide a table listing current and pending research grants 
(from the NIH and other sources) that will be affected by this project.  Give 
details such as the title, principal investigator, starting and ending dates, 
and the amount of the award.


Describe the significance of the proposed resource improvement project to the 
institution's overall biomedical research programs, as well as to specific 
research projects that will be affected.  If appropriate, the application 
should demonstrate both the need for the requested items and a sound plan for 
obtaining or maintaining the entire animal resource at required standards.

C.  Progress Report/Preliminary Studies - Not applicable.

D.  Research Design and Methods

Clearly show how the proposed improvements will expand, improve or maintain 
existing research and research support activities.  Brief descriptions of 
major research projects using the resource should be provided including 
source, time period, and amount of funding and level of animal usage.  Future 
scientific needs to be addressed as part of the improvement should also be 
described. It is important to describe how the requested improvements will 
correct the deficiencies and problems described in the Background section.

Demonstrate how the proposed facility improvement program fits into the 
institution's overall plan to meet or maintain PHS standards for animal care 
and use.  If the project is part of an overall (larger) facility improvement 
plan, the application should describe the larger plan and how the project 
fits into that plan.

Describe and provide detailed justifications for the requested equipment 
items.  The manufacturer, model number, size, capacity, or design criteria, 
total unit cost and facility where it will be used should be included.  
Requests for surgical equipment must be justified by listing the number of 
investigators and PHS grant support received (can be provided in tabular 
form), the caseload, and the types of surgical procedures performed.  Failure 
to adequately justify each requested item will likely result in its deletion 
from the recommended budget.  For any proposed A&R, a narrative summary (as 
outlined below), line drawings, and cost estimates must be provided.  The 
following sample format is suggested:

Narrative Summary

(1) Relate the proposed renovations to the projected animal populations (by 
species) and research projects that will use the facility.
(2) List the functional components, including the size (dimensions) and 
square footage of each component (room, alcove, cubicle) that will be 
directly affected by the renovation project.
(3) List engineering criteria applicable to each component (mechanical, 
electrical, and utilities).  Include information such as the number of air 
changes per hour, electrical power, light levels, hot and cold water, steam.
(4) List appropriate architectural criteria (such as width of corridors and 
doors, surface finishes).
(5) List and justify all fixed equipment items requested for the renovated 
(6) List and justify all movable equipment items requested for the renovated 

Line Drawings

(1) Submit line drawings on 8-1/2" x 11" paper only. (DO NOT SUBMIT 
BLUEPRINTS) These drawings will not be counted against the 25-page limit.  
All floor plans must be legible, with the scale clearly indicated.
(2) The line drawings of the proposed renovation must be at a scale adequate 
to explain the project.  The drawings should indicate size (dimensions), 
function, and net and gross square feet of space for each room.  The total 
net and gross square feet of space to be renovated should also be given.
(3) The plan should indicate the location of the proposed renovation area in 
the building.
(4) Include the as-built drawings of the proposed renovation area and 
indicate any areas which will be demolished.
(5) Changes or additions to existing mechanical and electrical systems should 
be clearly described in notes made directly on the plan or attached to the 
(6) Indicate the type(s) of new finishes to be applied to room surfaces.

Cost Estimates

Detailed cost estimates must be included.  Provide vendor quotes when 

Assurance to Provide Matching Funds

A letter of assurance to provide matching funds and the source of those 
funds, signed by the responsible institutional official authorized to commit 
funds, must be provided with the application. Matching funds must be non-
Federal funds set-aside for this project.

The completed signed original and three exact photocopies of the signed 
application must be submitted to:

BETHESDA, MD  20892-7710
BETHESDA, MD  20817 (for express/courier service)

At the time of submission, two additional copies of the application (with 5 
copies of any appendices) must be sent under separate cover to:

Dr. D.G. Patel
Office of Review
National Center for Research Resources
6705 Rockledge Drive, Room 6018, MSC 7965
Bethesda, MD  20892-7965
Bethesda, MD 20817 (for express/courier service)


Applications will be reviewed for completeness by the Center for Scientific 
Review.  Those applications judged to be incomplete or ineligible will be 
returned to the applicant.  Applications that are complete will be reviewed 
for scientific and technical merit by the Scientific and Technical Review 
Board on Biomedical and Behavioral Research Facilities established for this 
purpose by the NCRR.  As part of the initial merit review, all applications 
will receive a written critique and 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.

Factors considered in the appraisal of an animal resource improvement project 

A.  The Improvement Request

1.  Research to be supported - The overall scope of the ongoing PHS-supported 
biomedical and behavioral research involving laboratory animals which will be 
affected by the proposed improvements will be considered.  In addition, the 
resulting expanded or proposed future biomedical and behavioral research
activities will be considered.

2.  Need - The application should show how the grant support will meet 
current and future laboratory animal research needs, particularly for smaller 
or developing institutions, and how this will help the institution meet or 
maintain standards of the Animal Welfare Act and PHS policies concerning the 
care and use of laboratory animals.

3.  Design Considerations - The proposed project will be judged for technical 
soundness, appropriateness and suitability of the proposed renovation project 
for addressing current and future needs of the institution.

4.  Budget - the budget will be evaluated in relationship to the 
application's responsiveness to these guidelines, justification provided for 
each of the requested items, cost effectiveness, and the institution's 
perceived commitment to the animal care program.

B.  The Animal Care Program

The scope of the animal care and use program to be enhanced by this facility 
improvement request should be carefully defined.  For the purpose of this 
application, the animal care program should cover the entire applicant 

1.  Animal Care - The quality of the animal husbandry program at the 
applicant institution will be assessed.  The extent to which the project will 
enhance the welfare of animals maintained in the facility will be evaluated, 
including advances in the humane treatment of the animals due to husbandry 
changes allowed by the improvements.

2.  Personnel - The technical and professional staff will be evaluated. The 
institution should have a sufficient number of professional staff with 
appropriate qualifications and experience to operate the animal resource in a 
competent manner.  The facility should also have qualified non-professional 
staff and supporting services.

3.  Administrative Arrangements - An evaluation will be made of the 
administrative arrangements for routine management of the animal resource. 
The institutional plan to assure a comprehensive and acceptable animal care 
and use program will be evaluated.  The institution should have a record of 
commitment and a sound plan for financial support of the resource, through a 
recharge system, per diem charges, institutional support, etc.

4.  Resources and environment - The suitability of the institutional setting 
for achieving the goals of the program will be considered.  This will include 
an appraisal of the academic environment and the support for the animal 
resource by the administration and faculty.


Applications will compete with all others in the G20 category for available 
funds.  An institution must have current PHS funding for research involving 
laboratory animals to be eligible for an award. The following will also be 
considered when making funding decisions:

o  Merit of the proposed project as determined by peer review.
o  Institutional assurance of non-federal matching funds.
o  Availability of funds.
o  Facility requirements of the institution.

Evidence of continued PHS research funding will be verified prior to award.

Award Conditions

Following the award, funds for A&R will not be released until final 
architectural drawings, specifications, and updated cost estimates are 
approved by NCRR. The grantee will begin a process of design approval with 
the Division of Engineering Services (DES) immediately upon receipt of the 
Notice of Grant Award.  No requests to initiate the bidding process for 
alterations or renovations will be entertained prior to receipt of the grant 
award from NIH and subsequent approval of working drawings and specifications 
by NIH staff. Responsibility for the planning, direction, and execution of 
the proposed project will be solely that of the applicant. The total project 
period for an application submitted in response to this PA may not exceed 
five years and no indirect costs or continuation costs will be awarded.  The 
initial budget period is for one year.  All funds must be obligated within 5 
years from the date of award.


Inquiries are encouraged.  The opportunity to clarify any issues or questions 
from potential applicants is welcome.

Direct inquiries regarding programmatic issues to:

W. Fred Taylor, Ph.D.
Research Facilities Improvement Program
National Center for Research Resources
6705 Rockledge Drive, Room 6030, MSC 7965
Bethesda, MD  20892-7965
Telephone:  (301) 435-0766
FAX:  (301) 480-3770

Direct inquiries regarding technical programmatic issues (engineering and 
architectural) to:

Mr. Esmail Torkashvan, P.E. 
Research Infrastructure
National Center for Research Resources
6705 Rockledge Drive, Room 6144 - MSC 7965
Bethesda, MD 20892-7965
Telephone: (301) 435-0766
FAX: (301) 480-3770

Questions regarding fiscal matters may be directed to:

Mr. Paul Karadbil
Office of Grants Management
National Center for Research Resources
6705 Rockledge Drive, Room 6086, MSC 7965
Bethesda, MD  20892-7965
Telephone:  (301) 435-0844


This program is described in the Catalog of Federal Domestic Assistance No. 
93.306, Laboratory Animal Sciences and Primate Research.  Awards will be made 
under the authority of the Public Health Service Act, Title III, Section 301 
(Public Law 78.410, as amended; 42 USC 241) and administered under NIH grant 
policies and Federal Regulations 42 CFR Part 52 and 45 CFR Part 74 or 92. 
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 routing 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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