EXTRAMURAL RESEARCH FACILITIES CONSTRUCTION PROJECTS

Release Date:  August 11, 2000

PA NUMBER:  PAR-00-129

National Center for Research Resources 

Application Receipt Dates:  October 1 and February 1, annually

PURPOSE

The National Center for Research Resources (NCRR) is authorized under Public 
Law (PL) 103-43, Sections 481A and 481B of the Public Health Service Act 
(PHS), to "make grants to public and nonprofit private entities to expand, 
remodel, renovate or alter existing research facilities or construct new 
research facilities".  The facilities will be used for basic and clinical 
biomedical and behavioral research and research training. 

This program announcement (PA) will be issued yearly.  Funds are expected in 
the NIH Fiscal Year 2001 appropriation for the NCRR Research Facilities 
Improvement Program (RFIP) to award grants competitively.  Special provisions 
are made for institutions of emerging excellence, designated under section 
739 of the PHS Act as revised in PL 102-408. For this PA, the needs of 
smaller and developing institutions will be given special consideration.  The 
NCRR is issuing this PA for support of construction and renovation of 
facilities for biomedical and behavioral research and research training. 

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 Program Announcement 
(PA), Extramural Research Facilities Construction Projects, 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/.

ELIGIBILITY REQUIREMENTS 

Under Section 481A of the PHS Act, domestic, non-Federal, public and private 
non-profit institutions, organizations, and associations that conduct or 
support biomedical or behavioral research are eligible to apply, including, 
for example, allied health professional schools.  Applicants may not submit 
more than one application or apply for other NCRR support from the Research 
Facilities Improvement Program in the same Federal fiscal year for projects 
that encompass the same scope.

Applications are encouraged from institutions of emerging excellence as 
defined in the PHS Act, Section 739 as amended by PL 102-408. For the purpose 
of this Announcement, "institutions of emerging excellence" are defined as 
those health professions schools that received a Fiscal Year 1999/2000 grant 
award from the Centers of Excellence (COE) Program of the Division of 
Disadvantaged Assistance, Bureau of Health Professions, Health Resources and 
Services Administration, DHHS. A list of the Centers of Excellence can be 
found at URL http://www.hrsa.dhhs.gov/bhpr/dhpd/coehome1.htm.  Further 
information about the COE Program is at URL 
http://www-sbp.bcm.tmc.edu/coe/about.html.  The telephone number for the COE 
Program Office is 301-443-2100. 

MECHANISM OF SUPPORT 

This PA will use the NIH research facilities construction grant mechanism 
(CO6). 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 facilities and administrative (F&A) costs or continuation 
costs will be awarded. The initial budget period is usually 2 years in 
length, although extensions may be requested. All funds must be obligated 
within 5 years from the date of award. The anticipated award date is 
September 2001. 

Matching funds (a 1 to 1 match) will be required for the specific project 
awarded in Fiscal Year 2001. Matching funds must be non-Federal funds set 
aside for this project. Under Section 481A, up to 50 percent of the necessary 
and allowable costs of a project may be awarded. The maximum award amount 
will be $3.0 million for applications from Centers of Excellence under 
section 739 of the PHS Act as amended by PL 102-408, and $ 2.0 million for 
other applicant institutions. Regional Primate Research Centers (RPRCs) will 
be required to provide matching funds in a ratio of 1 to 4 ($1 for each $4 of 
Federal funds provided) for a maximum award of $ 2.0 million. A description 
of the sources of non-Federal funding for the project (both matching funds 
and funds needed to complete the total project) must be provided with the 
application. A letter committing matching funds must accompany the 
application and provide assurance of commitment from an appropriate 
institutional official authorized to commit funds at the institution. 

Applications proposing a Federal share of less than $500 thousand or more 
than the maximum Federal award amount specified above will not be accepted. 
Because the nature and scope of the activities proposed in response to this 
PA may vary, it is anticipated that the size of awards will vary also. 

FUNDS AVAILABLE

The Fiscal Year 2001 appropriation for the NIH is expected to include funds 
for this initiative.  Twenty-five percent of these funds will be targeted for 
institutions that have received Fiscal Year 1999/2000 PHS Centers of 
Excellence Awards.  It is anticipated that approximately 40 new CO6 awards at 
different levels will be made. 

RESEARCH OBJECTIVES 

The principal objective of this program is to facilitate and enhance the 
conduct of PHS-supported biomedical and behavioral research by supporting the 
costs of designing and constructing non-Federal basic and clinical research 
facilities to meet the biomedical or behavioral research, research training, 
or research support needs of an institution or a research area at an 
institution. 

Facility construction that may be supported under this program includes 
construction of new facilities, additions to existing buildings, completion 
of uninhabitable "shell" space in new or existing buildings, and major 
alterations and renovations. NOTE: THE USE OF THESE FEDERAL FUNDS TO BUILD 
"SHELL" SPACE IS NOT ALLOWED.  Support for instrumentation or equipment that 
usually would be requested as part of a research project grant will not be 
provided, and neither land acquisition nor off-site improvements will be 
supported. 

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

APPLICATION PROCEDURES 

Applicants must use Standard Form 424, "Application for Federal Assistance." 
Application forms and special instructions for completing them may be 
requested from the program official listed under INQUIRIES or downloaded from 
our web site (http://www.ncrr.nih.gov/resinfra/resfac2000.pdf). Interested individuals are 
advised to consult immediately with appropriate officials at their 
institution before completing the application forms. 

The completed signed original and one exact photocopy of the signed 
application must be submitted to: 

CENTER FOR SCIENTIFIC REVIEW 
NATIONAL INSTITUTES OF HEALTH 
6701 ROCKLEDGE DRIVE, ROOM 1040 MSC 7710 
BETHESDA, MD 20892-7710 
BETHESDA, MD 20817 (express/courier)
TELEPHONE: (301) 435-0715

At the time of submission, one additional copy of the application (with 
appendices, if any) 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 (express/courier)
Telephone: (301) 435-0824
Email: dgpatel@ncrr.nih.gov 

o  Intergovernmental Review -- Executive Order 12372

Applicants are required to comply with Executive Order (E.O.) 12372 as 
implemented by 45 CFR Part 100, Intergovernmental Review of Department of 
Health and Human Services Programs and Activities. E.O. 12372 sets up a 
system for state and local government review of proposed Federal assistance 
applications. Applicants (other than federally recognized Indian tribal 
governments) should contact their State Single Point of Contact (SPOC) as 
early as possible to alert them to the prospective applications and receive 
any necessary instructions on the state process. For proposed projects 
serving more than one state, the applicant is advised to contact the SPOC of 
each affected state. A current list of SPOCs is included in the supplemental 
instructions (States without a SPOC do not participate in this process). The 
SPOC must be given 60 days to review a construction grant application. 
Applicants are to provide the SPOC with a copy of the application NOT LATER 
THAN the time the application is submitted to the Center for Scientific 
Review (CSR), NIH. Applications submitted to NIH in response to this 
solicitation must contain either SPOC comments or documentation indicating 
the date on which the application was submitted to the SPOC for review. The 
SPOC comment period ends 60 days after the application receipt date. The 
granting agency does not guarantee to "accommodate or explain" state process 
recommendations it receives after that date. 

All SPOC comments must be forwarded to both the applicant and to the NCRR 
contact given below. If comments are provided by the SPOC, the applicant may 
wish to submit to the NIH a statement of its reaction to the comments and any 
appropriate changes to its application. If no response is received from the 
SPOC by the end of the 60 days allotted for review of the application, the 
applicant must notify the NIH that no response was received. 

o  Public Disclosure

Applicants must make a public disclosure of the project by publication and 
describe its environmental impact at the time the SPOC is notified. It is 
suggested that the notice be published in a large-circulation newspaper in 
the area. This public disclosure is required by Section 102 of the National 
Environment Policy Act (NEPA) of 1969 and by Federal Executive Order 11514. 
An example is provided in the “Applicant Information and Supplemental 
Instructions”. 

o  Design Standards

Design requirements serve to protect the health and safety of persons using 
the proposed facility, assure that the new facility is accessible to and 
useable by the physically handicapped, control the project's impact on the 
natural environment, conserve energy resources, achieve economy in 
construction costs, and protect against natural disasters such as earthquake 
and flood. 

Specific Considerations in Writing and the Review of the CO6 Application 

The schematic line drawings should be part of the application and easy to 
read. Drawings should clearly indicate all construction and renovations. 
Safety aspects must be incorporated in the design. The facility location must 
be identified with regard to related research facilities. The drawings must 
indicate egress routes and the relationship of rooms. All related specialized 
facilities and the location of major equipment must be shown. 

Provide an organizational chart of the institution that defines the 
administrative authority.  Indicate the official point of contact if an award 
is made. 

Fully justify the cost of the construction. Provide precise cost estimates 
and vendor quotes when available. 

Justify the space requirements for support staff.
 
Clearly describe the impact of the proposed construction on PHS-funded 
research for both existing and future research projects.  Provide a table for 
current and pending research grants indicating the principal investigator, 
source and amount of funding, grant number and start and end dates. 

Provide succinct description of specific research activities that will 
benefit from the proposed construction. Do not provide a description of 
global research activities at the institution. 

Provide biographical sketches (2 pages) of only primary investigators who 
will use the proposed facilities, the principal investigator and the program 
director. 

Limit appendices to specific additional information relevant to the proposed 
project. Do not submit general institutional reports. 

Additional Review Considerations 

Upon receipt, applications will be reviewed for completeness by the CSR and 
responsiveness by NCRR. Those applications judged to be unresponsive, 
incomplete, or ineligible will be returned to the applicant. Applications 
that are complete and responsive 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 
in accordance with the review criteria stated below. As part of the initial 
merit review, a process will be used by the initial review group in which all 
applications 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 the applications under review, will be discussed, assigned a 
priority score, and receive a second level review by the National Advisory 
Research Resources Council.

Applications will be evaluated on the basis of criteria intended to assess 
the following overall questions: (1) How will the proposed change in the 
research environment facilitate the applicant institution's ability to 
conduct, expand, improve, or maintain biomedical/behavioral research? (2) How 
will the proposed project meet national unmet health needs for 
biomedical/behavioral research, research training and/or research support 
facilities? 

Reviewers will consider the following factors: 

o  The impact of the proposed construction on existing and future PHS-
supported biomedical and behavioral research, research training and/or 
research support activities. 

o  The impact of the proposed construction on the planned advancement or 
expansion of the research and research training activities at institutions 
with limited PHS support. 

o  Appropriateness and suitability of the proposed facilities, including 
safety and biohazard aspects, for the research to be conducted and/or 
research support and training to be provided. 

o  Specific deficiencies in the existing research facilities that would be 
remedied and the impact of the proposed project on current and future 
research activities. 

o  The appropriateness of the proposed physical location and layout of the 
new facility and the reasonableness of the proposed time-course, cost and 
sequence for the construction. 

o  Adequacy of the proposed administrative arrangements with respect to 
institutional commitment to use the space for biomedical/behavioral research, 
research training and/or research support and the capabilities of the 
Principal Investigator and staff for scientific and fiscal administration of 
the facility.

Special considerations for an animal facility should include:
o  A detailed description of any biohazard issues.
o  A description of the veterinary support.
o  The training and continued education programs for veterinary staff.
o  A detailed animal census.
o  A description of which animals are used for each project.
o  A description of the composition and procedures of the Institutional 
Animal Care and Use Committee (IACUC).
o  A description of appropriate procedures to ensure that the facility will 
be used as intended.

Facility design considerations:

Architectural
o  Conformance to NIH Guidelines, National Life Safety Code and local codes
o  Occupancy category 
o  Site adjacency and National Fire Protection Agency compliance
o  Building zoning/adjacency such as public, semi private, private 
o  Functional adjacency
o  Proposed conceptual layout
o  Net and gross square feet of proposed layout
o  Biological Safety Level Category
o  List of containment devices in each room
o  Traffic pattern (users, material, animal, patients) 
o  Hazardous waste management
o  Waste management
o  Pest management control
o  Coordination between all disciplines

Mechanical:
o  Proposed HVAC system (equipment, distribution)
o  Proposed Hydronic system (equipment, distribution)
o  Proposed room by room pressurization control
o  Proposed vibration and noise control criteria 
o  Proposed room by room temperature and humidity control 
o  Proposed HVAC system operation during normal and emergency cycle
o  Scientific program standard operating procedures (SOP) during HVAC system 
failure

Plumbing:
o  Proposed specialty systems (water purification, animal water feed, special 
liquid or gases)
o  Proposed potable and  non-potable water systems

Fire Protection:
o  Proposed fire protection barriers
o  Proposed  sprinkler system 
o  Proposed fire alarm system

Electrical:
o  Conformance to National Electrical Code
o  Proposed electrical distribution system (normal, emergency, UPS)
o  Proposed room lighting 
o  Proposed security system
o  Proposed telephone/data/LAN distribution system
o  Proposed equipment monitoring system
 
List of references for the design of facilities supported through the 
Research Facilities Improvement Program:

NIH Design and Policy Guidelines, http://des.od.nih.gov

Primary Containment for Biohazards: Selection, Installation and Use of 
Biological Safety Cabinets, CDC/NIH

Biosafety in Microbiological and Biomedical Laboratories, CDC/NIH

Guide for the Care and Use of Laboratory Animals, National Research Council, 
National Academy Press, Washington, D.C. 1996

AWARD CRITERIA 

Factors considered in making awards include the merit of the proposal; the 
needs of the institution, with special consideration for small institutions 
as well as institutions designated as Centers of Excellence; the commitment 
by the institution of funds needed to complete the project; the availability 
of appropriated funds; prior receipt of a construction award from this 
program; and geographic distribution. 

Award Conditions 

The grantee will begin a process of design approval with the NIH Division of 
Engineering Services (DES) after acknowledging receipt of the Notice of Grant 
Award. This consists of three stages of submission of design documents. Two 
sets each of Schematic Design, Design Development and Final Construction 
Design Documents will be submitted at Stages 1, 2, and 3, respectively.  The 
documents will include detailed cost estimates and are required for final 
review and approval by the DES and NCRR before bids and proposals can be 
solicited by the grantee for the construction contract. Advertisement for 
construction bids and construction may be initiated only after receipt of the 
construction grant award and subsequent approval of the working drawings and 
specifications by NCRR staff. 

Early in the design process, applicants are encouraged to review the "NIH 
Grants Policy Statement," which is available on-line at 
http://grants.nih.gov/grants/policy/nihgps/policy_stmt.htm.  The sections 
related to public policy requirements and construction (i.e. Part III) are 
particularly relevant. NO REQUESTS TO INITIATE CONSTRUCTION, CONSISTENT WITH 
NIH POLICY, WILL BE ENTERTAINED PRIOR TO RECEIPT OF A CONSTRUCTION GRANT 
AWARD FROM NIH AND SUBSEQUENT APPROVAL OF WORKING DRAWINGS AND SPECIFICATIONS 
BY NCRR STAFF. 

The Principal Investigator should be a highly placed institutional official, 
at the level of Dean or equivalent, who has the responsibility for allocation 
of space for the biomedical or behavioral research and research training 
addressed in the submitted application. 

The facility must be utilized for biomedical or behavioral research purposes 
for which it was constructed for at least 20 years beginning 90 days 
following completion of the construction project. Any lease agreement must 
cover a time period sufficient for the usage requirement. The NIH staff will 
evaluate use of the facility periodically to assure its continued use for the 
approved purposes. Failure to comply with the 20-year utilization requirement 
will result in recovery of the Federal share of the value of the facility in 
accordance with Federal Regulations at 45 CFR 74.32. 

INQUIRIES 

Inquiries concerning this PA are encouraged. Direct inquiries regarding 
programmatic issues, requests for application Standard Form 424, application 
supplemental instructions, and SPOC comments, if any, to: 

Dr. W. Fred Taylor
Research Infrastructure
National Center for Research Resources
6705 Rockledge Drive, Room 6142 - MSC 7965
Bethesda, MD 20892-7965
Telephone: (301) 435-0766
FAX: (301) 480-3770
Email:  taylorf@ncrr.nih.gov 

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
Email:  torkashvane@ncrr.nih.gov 

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
Email:  paulk@ncrr.nih.gov 

AUTHORITY AND REGULATIONS 

This program is described in the Catalog of Federal Domestic Assistance No. 
93.389. Awards are 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 52 and 45 CFR Part 74. Applicants are required to comply 
with Executive Order 12372 as supplemented by 45 CFR Part 100, 
Intergovernmental Review of Health and Human Services Programs and 
Activities. 

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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