NIH GUIDE, Volume 23, Number 27, July 22, 1994

PA NUMBER:  PAR-94-084

P.T. 34


  Animal Breed. & Facil., Scientific 

National Center for Research Resources

Application Receipt Dates:  October 1, February 1, June 1


The National Center for Research Resources (NCRR) encourages the

submission of individual animal resource improvement grant applications

from small biomedical research institutions.  The major objectives of

this program are to upgrade animal facilities, develop administratively

centralized programs of animal care, and enable institutions to comply

with the USDA Animal Welfare Act and DHHS policies related to the care

and use of laboratory animals.  These awards do not require matching

funds from the awardee institution.  Support is limited to alterations

and renovations (A&R) to improve laboratory animal facilities, and the

purchase of major equipment items for animal resource, diagnostic

laboratory, transgenic animal resources, or similar associated



Any domestic public or private institution, organization, or

association is eligible to apply for this grant if it meets the

following two requirements:  (1) The institution must have one or more

research projects supported by the PHS that involve the use of

laboratory animals, and (2) The institution must have received less

than $1,500,000 (direct costs) of PHS support for research projects

during the most recently completed Federal fiscal year.

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 14, of the form PHS

398 (rev. 9/91), for which descriptive information is provided on page

15 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.  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 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 $300,000 (direct costs), of which

not more than $200,000 may be used for alterations and renovations.

Matching funds are not required.  Because the nature and scope of the

projects proposed in response to this PA may 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 at least $1,000.  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 an integral part of the animal

facility and available to all investigators

o  Basic diagnostic equipment (e.g., microscopes, centrifuges,

refrigerators, etc.) to be used in support of the animal facility, but

not for research

o  Environmental monitoring systems.  However, if such a system has

multiple uses (e.g., the monitoring of research data or security), only

those costs related to monitoring or providing for animal care (e.g.,

environmental monitoring) are allowable

Improvement grants are not intended to provide support for:

o  General operational support for the resource (e.g., funding for

personnel, consumable supplies for routine animal care, or small

equipment items)

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

o  Physical security systems


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.  Another major objective is to assist

institutions in complying, and maintaining compliance, with provisions

of the Animal Welfare Act and PHS policies related to the care and use

of laboratory animals.


Applications are to be submitted on form PHS 398 (rev. 9/91).

Application forms may be obtained from the institution's office of

sponsored research and from the Office of Grants Information, Division

of Research Grants, National Institutes of Health, Westwood Building,

Room 449, Bethesda, MD 20892, telephone (301) 710-0267.  There are

three regular receipt dates per year of October 1, February 1, and June


Prospective applicants are encouraged to review the PHS Grants Policy

Statement (rev. 4/94) 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 2a - Check the box marked "YES" and type in the number and title

of the program announcement.

Item 2b - Insert "G20"

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


Form Page 2:

Personnel - Only key personnel should be listed here even though salary

support is not requested.  This must include the chief or consulting


Form Page 4:  Detailed Budget for Initial Budget Period

Personnel Category - List only key individuals; 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 $300,000.  Of this total, the

A&R request may not exceed $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 between Form Page 4.

This estimate should detail:

1.  For movable equipment, the dollar request from NIH, amount to be

funded from other sources, and total cost.

2.  For eligible A&R 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.

For funding from other sources, please indicate the source(s).

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 all key

personnel, strictly adhering to the 2 page limitation for each.

Other Support Page - Provide the information requested for all key


Specific Instructions - Research Plan

The following instructions should be used in lieu of the PHS 398

instructions for this section of the application.  The Research Plan

section of the application (Items 1-4) 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.

1.  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.

2.  Background and Significance -  This section should address two

areas: the overall animal care and use program and the significance of

the proposed resource improvement project.


Provide an overall description of the institution's animal care and use

program.  Provide 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:

a.  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 IACUC and how compliance with relevant

laws, policies, and guidelines is achieved should be included.

b.  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


c.  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.

d.  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 AAALAC accredited.  If equipment is

requested for surgical or diagnostic facilities, the case load,

species, types and numbers of surgeries or diagnostic tests must be


e.  Animal Program Funding.  Provide, for the most recently completed

Federal fiscal year (indicate year): (1) the institution's total annual

PHS funding (direct costs) for research, both animal related and

non-animal related; (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


f.  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

CMP, NCRR, NIH should be noted.  The use of this support and its impact

on the animal care program should be briefly described.

g.  Program Needs.  List deficiencies in the animal care program which

have been cited by the American Association for Accreditation of

Laboratory Animal Care (AAALAC), the Institutional Animal Care and Use

Committee (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.


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 the resource

will be used by a relatively small number of research projects, a brief

description of those projects, including the source and amount of

funding (direct costs) for the most recently completed Federal fiscal

year should be indicated.  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


3.  Progress Report/Preliminary Studies - Not applicable.

4.  Research Design and Methods

Describe the improvement project and how the requested improvements

will accomplish the goals described in the Specific Aims section above.

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 case load, and the types of

surgical procedures performed.  Failure to adequately justify each

requested item will likely result in its deletion from the recommended


For any proposed A&R, a narrative summary (as outlined below), line

drawings, and cost estimates must be provided.  The following format is


Narrative Summary

(1) Relate the proposed renovations to 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, etc.) 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, etc.;

(4) List appropriate architectural criteria, such as width of corridors

and doors, surface finishes, etc.; (5) List all fixed equipment items

requested for the renovated area; and (6) List all movable equipment

items requested for the renovated area.

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


(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 plan.

(6) Indicate the type(s) of new finishes to be applied to room


Cost Estimates

Detailed cost estimates must be included.

The completed original application (signed original including

appendices, if any) and three exact photocopies of the signed

application must be submitted to:

Division of Research Grants

National Institutes of Health

Westwood Building, Room 240

Bethesda, MD  20892-4500*

At the time of submission, two additional copies of the application

(with appendices, if any) must be sent under separate cover to:

Scientific Review Administrator

Comparative Medicine Review Committee

National Center for Research Resources

Westwood Building, Room 10A16

Bethesda, MD  20892-4500*


All applications will be reviewed for scientific and technical merit by

an appropriate review committee managed by the Office of Review, NCRR.

Second level review will be provided by the National Advisory Research

Resources Council (NARRC).  Review of the applications will be based on

scientific merit, technical soundness, and cost effectiveness.

Factors considered in the appraisal of an animal resource improvement

project include:

A.  The Improvement Request

1.  Need - The application should show how this grant support will help

the institution meet or maintain standards of the Animal Welfare Act

and PHS policies concerning the care and use of laboratory animals.

The amount(s) and source(s) of funding for animal-related biomedical

research which use the resource will be considered.

2.  Scope of Institutional Planning - The institutional plan to assure

a comprehensive and acceptable animal care and use program will be


3.  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.

4.  Animal Welfare - The extent to which the project will enhance the

welfare of animals maintained in the facility to be improved will be

evaluated.  The benefit of the improvements to the welfare of animals

in the facility, including advances in the humane treatment of the

animals due to husbandry changes allowed by the improvements, will be


5.  Design Considerations - The proposed project will be judged for

technical soundness, appropriateness and suitability of the proposed

renovation/project, and ability of the project to correct existing


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 institution.

1.  Animal Care - The quality of the animal husbandry program at the

applicant institution will be assessed.  The application should

demonstrate that animals at all facilities of the institution will

receive uniform, high-quality animal care.

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 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  Quality of the proposed project as determined by peer review

o  Availability of funds

Evidence of continued PHS research funding will be verified prior to


Award Conditions

Following the actual award, funds for A&R will not be released until

final architectural drawings, specifications, and updated cost

estimates are approved by NCRR.  No requests to initiate 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.  Renovations and equipment purchases must be initiated no

later than twelve months after the start date of award.  Awards will be

made for one year and are not renewable.


Inquiries about the program are to be directed to:

Director, Laboratory Animal Sciences Program

Comparative Medicine Program

National Center for Research Resources

Westwood Building, Room 857

Bethesda, MD  20892-4500

Telephone:  (301) 594-7933

Questions regarding fiscal matters are to be directed to:

Mr. Paul Karadbil

Office of Grants and Contracts Management

National Center for Research Resources

Westwood Building, Room 849

Bethesda, MD  20892-4500

Telephone:  (301) 594-7955


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 PHS grants policies and Federal Regulations 42 CFR

Part 52 and 45 CFR Part 74.  This program is not subject to the

intergovernmental review requirements of Executive Order 12372 or

Health Systems Agency review.


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