EXTRAMURAL RESEARCH FACILITIES IMPROVEMENT PROGRAM
Release Date: August 21, 2001 (see NOT-RR-02-011)
PA NUMBER: PAR-01-130
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
Sections 481A and 481B of the Public Health Services Act, as amended by
Sections 303 and 304 of Public Law (PL) 106-505, to make grants or
contracts 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.
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. In
response to this PA, an institution may submit two applications to the
Research Facilities Improvement Program in the same fiscal year for
projects that encompass different scopes. However, only one
application per Entity Identification Number is allowed.
Applications are encouraged from institutions of emerging excellence,
which are defined as recipients of a Center of Excellence award in
the fiscal year preceding the fiscal year in which an application is
submitted in response to this PA. Centers of Excellence (COE) awards
are made by the Division of Health Professions Diversity, Bureau of
Health Professions, Health Resources and Services Administration, DHHS.
A list of the Centers of Excellence, and further information about this
program can be found at URL http://bhpr.hrsa.gov/kidscareers/coe.htm.
The telephone number for additional information on the COE awards is
301-443-2100.
For this PA, the needs of smaller and developing institutions will be
given special consideration.
MECHANISM OF SUPPORT
This PA will use the NIH research facilities construction grant
mechanism (C06). 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 awards will be issued during June and September.
Matching funds ($1 to $1) will be required for the specific project
awarded in Fiscal Year 2002. Matching funds must be non-Federal funds
set aside for this project and must be in hand at the time the award
is made. Under Section 481A, up to 50 percent of the necessary and
allowable costs of a project may be awarded: grant funds may not be
used for the acquisition of land or for off-site improvements. The
maximum award amount will be $3.0 million for applications from Centers
of Excellence under section 736 of the PHS Act as amended by PL 105-
392, 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. In unusual and compelling circumstances, the Director,
NCRR, may waive some or all of the requirement for non-Federal matching
funds [Section 481A (e)(4) of the Public Health Service Act as amended
by Public Law 106-505]. For additional information, please refer to
URL: http://www.ncrr.nih.gov/resinfra/pawaiver.pdf.
ALLOWABLE COSTS
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. The acquisition and installation
of fixed equipment such as casework, fume hoods, large autoclaves, or
biological safety cabinets are allowed. Support for instrumentation or
equipment that usually would be requested as part of a research project
grant will not be provided. NOTE: THE USE OF THESE FEDERAL FUNDS TO
BUILD "SHELL" SPACE OR ACQUIRE LAND OR MAKE OFF-SITE IMPROVEMENTS IS
NOT ALLOWED.
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.
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," modified in accordance with the instructions contained in
the document Application Information and Supplemental Instructions:
Extramural Research Facilities Construction Projects. The applicant’s
full street address is required in column # 5 of the Standard Form 424.
Application forms and the supplemental instructions required 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/resfac.pdf). Interested individuals
are advised to consult with appropriate officials at their institution
before completing the application forms.
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 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 Program Official listed under INQUIRIES. 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 C06
Application
The schematic line drawings must be part of the application and easy to
read. Drawings must 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.
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 that list current and pending research grants and indicate the
principal investigator, grant number, source and amount of funding, and
start and end dates.
Provide succinct descriptions 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 investigators who
will be major users of the proposed facilities, the principal
investigator and the program director.
Limit appendices to only additional information relevant to the
proposed project. Do not submit general institutional reports.
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:
o NIH Design and Policy Guidelines, http://des.od.nih.gov
o Primary Containment for Biohazards: Selection, Installation
and Use of Biological Safety Cabinets, CDC/NIH
o Biosafety in Microbiological and Biomedical Laboratories,
CDC/NIH
o Guide for the Care and Use of Laboratory Animals, National
Research Council, National Academy Press, Washington, D.C. 1996
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 using the review criteria
stated below. As part of the initial merit review, a process may 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) To what extent will the
proposed change in the research environment facilitate the applicant
institution's ability to conduct, expand, improve, or maintain
biomedical/behavioral research? (2) Explain how the proposed project
will meet unmet national health needs for biomedical/behavioral
research, research training and/or research support facilities?
Reviewers will also 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.
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 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
and be a minimum of 20 years in length from the completion of the
facility. An annual progress report is required for 20 years Federal
interest in the facility as a condition of this award and must include
a list of publications originating from the use of this project
facility. This list should be limited to those scientific papers
acknowledging NCRR support including grant numbers. 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. Willie D. McCullough
Division of Research Infrastructure
National Center for Research Resources
6705 Rockledge Drive, Room 6132 - MSC 7965
Bethesda, MD 20892-7965
Telephone: (301) 435-0766
FAX: (301) 480-3770
Email: mcculloughw@ncrr.nih.gov
Direct inquiries regarding technical programmatic issues (engineering
and architectural) to:
Mr. Esmail Torkashvan, P.E.
Division of Research Infrastructure
National Center for Research Resources
6705 Rockledge Drive, Room 6136 - 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 Sections 481A and
481B of the Public Health Services Act, as amended by Sections 303 and
304 of Public Law (PL) 106-505 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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