EXTRAMURAL RESEARCH FACILITIES CONSTRUCTION PROJECTS

Release Date:  December 22, 1998

PA NUMBER:  PAR-99-032

P.T.

National Center for Research Resources

Application Receipt Date:  February 25, 1999

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), as
amended by the National Institutes of Health (NIH) Revitalization Act, 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 will be issued yearly.  Contingent on the availability
of appropriated funds, the Fiscal Year 1999 appropriation for the NIH is expected
to include $30 million in the budget of the NCRR for extramural research
facilities construction grants to be awarded competitively. Special provisions
are made for institutions of emerging excellence, designated under section 739
of the PHS Act as revised in PL 102-408.  The NCRR is issuing this Program
Announcement (PA) RR-99-023 for support of construction and renovation of
facilities for biomedical and behavioral research and research training.

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.

Applications are particularly 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 program announcement, "institutions of emerging excellence" are defined
as those health professions schools that received a Fiscal Year 1998 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/dda/coedig.htm and 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 is 301-443-2100.

An institution may submit only one application in response to this PA; two
components of the same institution, e.g., a medical school and a dental school,
even if separated geographically, may not submit separate applications

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
indirect costs or continuation costs will be awarded.  The initial budget period
may be either two or three years in length.  All funds must be obligated within
5 years from the date of award.  The anticipated award date is September 30,
1999.

Matching funds (a 1 to 1 match) will be required for the specific project awarded
in fiscal year 1999.  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 $1.5 million
for applications from centers of emerging excellence under section 739 of the PHS
Act as amended by PL 102-408, and $1.0 million for other applicant institutions. 
Regional Primate Research Center's (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 $1.0 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 concerning
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 an award will vary also.

FUNDS AVAILABLE

Contingent on appropriated funds, the Fiscal Year 1999 appropriation for the NIH
is expected to include $30 million for this initiative.  Twenty-five percent of
these funds ($7.5 million) will be targeted for institutions of emerging
excellence that have received Fiscal Year 1998 PHS Centers of Excellence Awards. 
It is anticipated that approximately 25 new 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 THAT 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.

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
at www.ncrr.nih.gov/resinfra.htm. Individuals submitting applications are advised
to consult immediately with appropriate officials at their institution before
completing the application forms.

Submit a signed, typewritten original of the application, including appendices,
and one signed photocopies, including appendices, in one package to:

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

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) 435-0811
Email:  dgpatel@ncrr.nih.gov

Applications must be received by February 25, 1999.  An application must be
received by the specified date or it will be returned to the applicant without
review.  However, an application received after the deadline may be acceptable
if it carries a legible proof-of-mailing date assigned by the carrier and the
proof-of-mailing date is not later than 1 week prior to the deadline date.  If
the receipt date falls on a weekend, it will be extended to the following Monday;
if the date falls on a holiday, it will be extended to the following workday. 
The receipt date will be waived only in extenuating circumstances.  To request
a waiver, include an explanatory letter with the signed, completed application.
No request for a waiver will be considered prior to receipt of the application,
and there is no guarantee that the waiver will be granted.

o  Intergovernmental Review -- Executive Order 12372

Applicants are required to comply with Executive Order (E.O.) 12372 as
supplemented 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 application kit.  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 also 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 additional instructions.

o  Design Standards

Design requirements are imposed 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 C06 Applications

o  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 such as showers and gowning rooms, support facilities, and the
location of major equipment must be shown.

o  Provide an organizational chart of the institution which defines the
administrative authority.

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

o  Justify the space requirements for support staff.

o  Clearly describe the impact of the proposed construction on PHS-funded
research for both existing and future research projects.

o  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.

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

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

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.  As part of the
initial merit review, a process may be used by the initial review group in which
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 application 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.

AWARD CRITERIA

Factors considered in making awards include the merit of the proposal; the needs
of the institution, with special consideration for institutions designated as
institutions of emerging excellence; the commitment of funds needed to complete
the project by the institution; the availability of appropriated funds; prior
support of a construction program by NCRR; and overall programmatic priorities
including geographic distribution of the awards.

Award Conditions

The grantee will begin a process of design approval with the 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 NIH staff.

Early in the design process, applicants are encouraged to review the "Public
Health Service Grants Policy Statement," DHHS Publication No. (OASH) 94-50,000
(Rev.) April 1, 1994 as updated; the sections related to public policy
requirements and construction are particularly relevant. 

NO REQUESTS TO INITIATE CONSTRUCTION, CONSISTENT WITH PUBLIC HEALTH SERVICE
POLICY, WILL BE ENTERTAINED PRIOR TO RECEIPT OF A CONSTRUCTION GRANT AWARD FROM
NIH AND SUBSEQUENT APPROVAL OF WORKING DRAWINGS AND SPECIFICATIONS BY NIH 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 Regulation 45 CFR 74.32.

INQUIRIES

Inquiries concerning this PA are encouraged. A pre and post award technical
workshop to assist applicants and grantees unfamiliar with the requirements for
extramural construction applications and to clarify any issues or questions from
potential applicants will be held on December 10 and 11, 1998 in Bethesda,
Maryland.  For additional information regarding the workshop, please call (301)
435-1302.  A summary of the presentations and issues discussed will be provided
upon request for those unable to attend.

Direct inquiries regarding programmatic issues, requests for application Standard
Form 424 and special application 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

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 and Public
Law 103-43, 42 USC 241, 285, and 481) and administered under PHS 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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